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ConsolidatedISOSupplementProceduresspecifictoISO
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ISO2014
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International
Organization
for
Standardization
1,chemindela
VoieCreuze
Casepostale56
CH1211
Geneva20
Tel.+4122
7490111
Fax+4122733
3430
Email
central@iso.org
Web
www.iso.org
InternationalElectrotechnicalCommission
3,ruedeVaremb
Casepostale131
CH1211Geneva20
Tel.+41229190211
Fax+41229190300
Emailinmail@iec.org
Webwww.iec.org
PublishedinSwitzerland
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Contents
INTRODUCTIONTOTHECONSOLIDATEDISOSUPPLEMENT
Foreword
1Organizationalstructureandresponsibilitiesforthetechnicalwork
1.1Roleofthetechnicalmanagementboard
1.2Advisorygroupstothetechnicalmanagementboard
1.3Jointtechnicalwork
1.4RoleoftheChiefExecutiveOfficer
1.5Establishmentoftechnicalcommittees
1.6Establishmentofsubcommittees
1.7Participationintheworkoftechnicalcommitteesandsubcommittees
1.8Chairsoftechnicalcommitteesandsubcommittees
1.9Secretariatsoftechnicalcommitteesandsubcommittees
1.10Projectcommittees
1.11Editingcommittees
1.12Workinggroups
1.13Groupshavingadvisoryfunctionswithinacommittee
1.14Adhocgroups
1.15Liaisonbetweentechnicalcommittees
1.16LiaisonbetweenISOandIEC
1.17Liaisonwithotherorganizations
2DevelopmentofInternationalStandards
2.1Theprojectapproach
2.2Preliminarystage
2.3Proposalstage
2.4Preparatorystage
2.5Committeestage
2.6Enquirystage
2.7Approvalstage
2.8Publicationstage
2.9Maintenanceofdeliverables
2.10Technicalcorrigendaandamendments
2.11Maintenanceagencies
2.12Registrationauthorities
2.13Copyright
2.14Referencetopatenteditems(seealsoAnnexI)
3Developmentofotherdeliverables
3.1TechnicalSpecifications
3.2PubliclyAvailableSpecifications(PAS)
3.3TechnicalReports
4Meetings
4.1General
4.2Procedureforcallingameeting
4.3Languagesatmeetings
4.4Cancellationofmeetings
4.5Distributionofdocuments
5Appeals
5.1General
5.2Appealagainstasubcommitteedecision
5.3Appealagainstatechnicalcommitteedecision
5.4Appealagainstatechnicalmanagementboarddecision
5.5Progressofworkduringanappealprocess
ISO/IECANNEXES
AnnexA(normative)Guides
AnnexB(normative)ISO/IECproceduresforliaisonandworkallocation
AnnexC(normative)Justificationofproposalsfortheestablishmentofstandards
AnnexD(normative)Resourcesofsecretariatsandqualificationsofsecretaries
AnnexE(normative)Generalpolicyontheuseoflanguages
AnnexF(normative)Optionsfordevelopmentofaproject
AnnexG(normative)Maintenanceagencies
AnnexH(normative)Registrationauthorities
AnnexI(normative)GuidelineforImplementationoftheCommonPatentPolicyforITUT/ITUR/ISO/IEC
AnnexJ(normative)Formulatingscopesoftechnicalcommitteesandsubcommittees
AnnexK(normative)Projectcommittees
ANNEXESAPPLICABLETOISOONLY
AnnexSA(normative)ISOCodeofConduct
AnnexSB(normative)Documentdistribution
AnnexSC(normative)Strategicbusinessplans
AnnexSD(normative)Matrixpresentationofprojectstages
AnnexSE(normative)Numberingofdocuments
AnnexSF(normative)Hostingmeetings
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AnnexSG(normative)Second(andsubsequent)languagetextsforISOstandards
AnnexSH(normative)Proceduresforthestandardizationofgraphicalsymbols
AnnexSI(normative)ProcedureforthedevelopmentofInternationalWorkshopAgreements(IWA)
AnnexSJ(normative)Forms
AnnexSK(CurrentlyblankPlaceholderfornewannexes)
AnnexSL(normative)Proposalsformanagementsystemstandards
AnnexSM(normative)GlobalrelevanceofISOtechnicalworkandpublications
AnnexSN(CurrentlyblankPlaceholderfornewannexes)
AnnexSO(informative)PrinciplesfordevelopingISOandIECStandardsrelatedtoorsupportingpublicpolicyinitiatives
AnnexSP(normative)EnvironmentalmanagementSector,aspectandelementpolicy
AnnexSQ(normative)Selectioncriteriaforpeopleleadingthetechnicalwork
AnnexSR(normative)Statementsintendedtolimitthepurposeoruseofdeliverables
AnnexSS(normative)OptionaluseoftheCommitteeDraft(CD)stageGuidanceforcommittees
Referencedocuments
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INTRODUCTIONTOTHECONSOLIDATEDISOSUPPLEMENT
0.1WhatistheConsolidatedISOSupplement?
TheISO/IECDirectivesdefinethebasicprocedurestobefollowedinthedevelopmentofInternationalStandardsandotherpublications.ThisConsolidatedISOSupplement
(alsoreferredtoastheISOSupplement)containsboththeISO/IECDirectives,Part1andtheproceduresspecifictoISOwhichwereformerlyreferredtoastheISO
Supplement.
Part1oftheISO/IECDirectives,togetherwiththisConsolidatedISOSupplement,providethecompletesetofproceduralrulestobefollowedbyISOcommittees.Thereare,
however,otherdocumentstowhichreferencemayneedtobemade.Inparticular,forcommitteescooperatingwithCENundertheAgreementontechnicalcooperation
betweenISOandCEN(ViennaAgreement),referenceshouldbemadetotheGuidelinesforChairmenandSecretariatsontheimplementationoftheViennaAgreement.
AttentionisalsodrawntothefactthatISO/IECJTC1InformationtechnologyhasadoptedISO/IECDirectives,Part1togetherwiththeJTC1Supplement.
0.2ThestructureofthisConsolidatedISOSupplement
TheclausestructureoftheConsolidatedISOSupplementfollowsthatofPart1oftheISO/IECDirectives.Inordertoassistincrossreferencingthetexts,theISOspecificclauses
arehighlightedinblueundertheclausesoftheISO/IECDirectives.Ifthereisnohighlightedbluetextunderaparticularclause,itmeansthattherearenoISOspecificclauses.
TablesandannexesbeginningwithSinthisConsolidatedISOSupplementarealluniquetoISOanddonotfollowtheorderintheISO/IECDirectives.Whereareferenceinan
ISOannex(i.e.beginningwithS)ismadetoanannexintheISO/IECDirectives,Part1,thisisexplicitlyindicated.
ThefollowingclausesthathavebeenmodifiedwithrespecttothepreviouseditionoftheISOSupplement:Foreword,1.5,1.8,1.9,1.12,1.13,2.1,2.3,2.5,2.6,2.9,3.2,AnnexF,
AnnexSA,AnnexSB,AnnexSD,AnnexSE,AnnexSF,AnnexSI,AnnexSK,AnnexSL,AnnexSNandtheReferencedocumentsannex.Thetrackchangeversionofthisfourth
editionshouldbeconsultedforthedetailsofthechangesmade.
Foreword
TheISO/IECDirectivesarepublishedintwoparts:
Part1:Proceduresforthetechnicalwork
Part2:RulesforthestructureanddraftingofInternationalStandards
Furthermore,theInternationalOrganizationforStandardization(ISO),theInternationalElectrotechnicalCommittee(IEC)andISO/IECJointTechnicalCommittee(JTC)1
havepublishedindependentsupplementstoPart1,whichincludeproceduresthatarenotcommon.
ThispartsetsouttheprocedurestobefollowedwithinISOandtheIECincarryingouttheirtechnicalwork:primarilythedevelopmentandmaintenanceofInternational
Standardsthroughtheactivitiesoftechnicalcommitteesandtheirsubsidiarybodies.
ISO,IECandISO/IECJTC1provideadditionalguidanceandtoolstoallthoseconcernedwiththepreparationoftechnicaldocumentsontheirrespectivewebsites
(www.iso.org/directives;http://www.iec.ch/members_experts/refdocs/andhttp://www.jtc1.org).
Thiseleventheditionincorporateschangesagreedbytherespectivetechnicalmanagementboardssincepublicationofthenintheditionin2012.Procedureswhicharenot
commontotheISO/IECDirectivesarepublishedseparatelyintheISOSupplement(alsoreferredtoastheConsolidatedISOSupplement),theIECSupplementortheISO/IEC
JTC1Supplement,respectively.TheSupplementsaretobeusedinconjunctionwiththisdocument.
Thefollowingclauseshavebeenmodifiedwithrespecttothepreviousedition:Foreword,1.4,1.5,1.7,1.8,1.9,1.12,1.17,2.1,2.2,2.3,2.6,3.1,3.2,3.3,AnnexB,AnnexIand
AnnexK.Thetrackchangesversionofthistentheditionshouldbeconsultedforthedetailsofthechangesmade.
TheseprocedureshavebeenestablishedbyISOandIECinrecognitionoftheneedforInternationalStandardstobecosteffectiveandtimely,aswellaswidelyrecognizedand
generallyapplied.Inordertoattaintheseobjectives,theproceduresarebasedonthefollowingconcepts.
a) Moderntechnologyandprojectmanagement
Withintheframeworkoftheseprocedures,theworkmaybeacceleratedandthetaskofexpertsandsecretariatsfacilitatedbothbymoderntechnology(e.g.ITtools)and
projectmanagementmethods.
b) Consensus
Consensus,whichrequirestheresolutionofsubstantialobjections,isanessentialproceduralprincipleandanecessaryconditionforthepreparationofInternational
Standardsthatwillbeacceptedandwidelyused.Althoughitisnecessaryforthetechnicalworktoprogressspeedily,sufficienttimeisrequiredbeforetheapprovalstage
forthediscussion,negotiationandresolutionofsignificanttechnicaldisagreements.
Forfurtherdetailsontheprincipleofconsensus,see2.5.6.
c) Discipline
Nationalbodiesneedtoensuredisciplinewithrespecttodeadlinesandtimetablesinordertoavoidlonganduncertainperiodsofdeadtime.Similarly,toavoidre
discussion,nationalbodieshavetheresponsibilityofensuringthattheirtechnicalstandpointisestablishedtakingaccountofallinterestsconcernedatnationallevel,and
thatthisstandpointismadeclearatanearlystageoftheworkratherthan,forexample,atthefinal(approval)stage.Moreover,nationalbodiesneedtorecognizethat
substantialcommentstabledatmeetingsarecounterproductive,sincenoopportunityisavailableforotherdelegationstocarryoutthenecessaryconsultationsathome,
withoutwhichrapidachievementofconsensuswillbedifficult.
d) Costeffectiveness
Theseprocedurestakeaccountofthetotalcostoftheoperation.Theconceptoftotalcostincludesdirectexpenditurebynationalbodies,expenditurebytheofficesin
Geneva(fundedmainlybytheduesofnationalbodies),travelcostsandthevalueofthetimespentbyexpertsinworkinggroupsandcommittees,atbothnationaland
internationallevel.
Opportunitiesforremoteparticipationatmeetingsshouldbesoughttotheextentpossible.
e) GlobalrelevanceofISOInternationalStandards
ItisISO'saimandexpectationthateachofitsInternationalStandardsrepresentsaworldwideconsensusandrespondstoglobalmarketneeds.Inordertoachievethisaim,
ithasbeenrecognizedthatspecialmeasuresareneededinparticulartoensurethattheneedsofdevelopingcountriesaretakenintoaccountinISO'stechnicalwork.One
suchmeasureistheinclusionofspecificprovisionsfortwinning,i.e.partnershipsbetweendevelopedanddevelopingcountries,inthisISOSupplementtotheISO/IEC
Directives.(See1.7,1.8.1,1.8.3,1.9.2,1.9.3,and1.9.4.)
Whilsttheseprovisionsarenecessarilylimitedtothetechnicalwork,twinningmayoccuratmultiplelevels,inparticulartoassistincapacitybuildingindeveloping
countriesoftheirstandardization,conformityassessmentandITinfrastructures,withtheaimoftheirultimatelybeingselfsufficientincarryingouttheiractivities.
f) Committeespecificprocedures
TheISO/IECDirectives(andConsolidatedISOSupplement)havebeendevelopedbasedonmanyyearsofexperiencewithstandardsdevelopmentacrossmanycommittees
andfields.Therefore,committeesshouldhavelittle,ifany,needtodevelopcommitteespecificprocedures(CSP)(whichincludecommitteedecisionswhicharedefacto
procedures).WhereacommitteefeelsthattheISO/IECDirectives(orConsolidatedISOSupplement)donotadequatelyaddressaspecificissue,thecommitteeshould
submitarequestforarevision/expansionoftheISO/IECDirectives(orConsolidatedISOSupplement)totheISOTechnicalManagementBoardratherthandevelopa
committeespecificprocedure.IncaseswhereacommitteefeelstheISO/IECDirectives(orConsolidatedISOSupplement)donotatalladdressaspecificoperationalissue,
thecommitteemaydevelopaCSP,includingaclearrationalefortheprocedure,andsubmititfortheconsiderationoftheISOTechnicalManagementBoardwhowillmake
everyefforttorespondquicklytotherequest.
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g) Exclusionofabstentionsincountingvotes
Inallvotesthroughoutthevariousstagesofdevelopmentofadeliverable,abstentionsareexcludedwhenthevotesarecounted.
h) Addressingsustainabilityinstandards
WhendevelopingstandardscommitteesareencouragedtorefertotheISOGuideforaddressingsustainabilityinstandards(Guide82)whichisavailableat:
http://isotc.iso.org/livelink/livelink?func=ll&objId=8389141&objAction=browse&viewType=1.
NOTE1
Whereverappropriateinthisdocument,forthesakeofbrevitythefollowingterminologyhasbeenadoptedtorepresentsimilaroridenticalconceptswithinISOandIEC.
Term
ISO
IEC
nationalbody
memberBody(MB)
NationalCommittee(NC)
technicalmanagementboard(TMB)
TechnicalManagementBoard(ISO/TMB)
Standardization
ManagementBoard(SMB)
ChiefExecutiveOfficer(CEO)
SecretaryGeneral
GeneralSecretary
officeoftheCEO
CentralSecretariat(CS)
CentralOffice(CO)
councilboard
Council
CouncilBoard(CB)
advisorygroup
TechnicalAdvisoryGroup(TAG)
AdvisoryCommittee
Forotherconcepts,ISO/IECGuide2applies.
NOTE2
Inadditionthefollowingabbreviationsareusedinthisdocument.
JTAB
JointTechnicalAdvisoryBoard
JCG
JointCoordinationGroup
JPC
JointProjectCommittee
JTC
JointTechnicalCommittee
JWG
jointworkinggroup
TC
technicalcommittee
SC
Subcommittee
PC
projectcommittee
WG
workinggroup
PWI
preliminaryworkitem
NP
newworkitemproposal
WD
workingdraft
CD
committeedraft
DIS
draftInternationalStandard(ISO)
CDV
committeedraftforvote(IEC)
FDIS
finaldraftInternationalStandard
PAS
PubliclyAvailableSpecification
TS
TechnicalSpecification
TR
TechnicalReport
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1 Organizationalstructureandresponsibilitiesforthetechnicalwork
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1 Organizationalstructureandresponsibilitiesforthetechnicalwork
1.1 Roleofthetechnicalmanagementboard
Thetechnicalmanagementboardoftherespectiveorganizationisresponsiblefortheoverallmanagementofthetechnicalworkandinparticularfor:
a) establishmentoftechnicalcommittees;
b) appointmentofchairsoftechnicalcommittees;
c) allocationorreallocationofsecretariatsoftechnicalcommitteesand,insomecases,subcommittees;
d) approvaloftitles,scopesandprogrammesofworkoftechnicalcommittees;
e) ratificationoftheestablishmentanddissolutionofsubcommitteesbytechnicalcommittees;
f) allocationofpriorities,ifnecessary,toparticularitemsoftechnicalwork;
g) coordinationofthetechnicalwork,includingassignmentofresponsibilityforthedevelopmentofstandardsregardingsubjectsofinteresttoseveraltechnicalcommittees,
orneedingcoordinateddevelopment;toassistitinthistask,thetechnicalmanagementboardmayestablishadvisorygroupsofexpertsintherelevantfieldstoadviseiton
mattersofbasic,sectoralandcrosssectoralcoordination,coherentplanningandtheneedfornewwork;
h) monitoringtheprogressofthetechnicalworkwiththeassistanceoftheofficeoftheCEO,andtakingappropriateaction;
i) reviewingtheneedfor,andplanningof,workinnewfieldsoftechnology;
j) maintenanceoftheISO/IECDirectivesandotherrulesforthetechnicalwork;
k) considerationofmattersofprincipleraisedbynationalbodies,andofappealsconcerningdecisionsonnewworkitemproposals,oncommitteedrafts,onenquirydraftsor
onfinaldraftInternationalStandards.
NOTE1
Explanationsofthetermsnewworkitemproposal,committeedraft,enquirydraftandfinaldraftInternationalStandardaregiveninClause2.
NOTE2
FordetailedinformationabouttheroleandresponsibilitiesoftheISOtechnicalmanagementboard,seetheISO/TMBRulesofProcedure
http://www.iso.org/iso/home/standards_development/list_of_iso_technical_committees/iso_technical_committee.htm?commid=4882545andfortheIECseehttp://www.iec.ch/dyn/www/f?
p=103:47:0::::FSP_ORG_ID,FSP_LANG_ID:3228,25.
1.2 Advisorygroupstothetechnicalmanagementboard
1.2.1 Agrouphavingadvisoryfunctionsinthesenseof1.1g)maybeestablished
a) byoneofthetechnicalmanagementboards;
b) jointlybythetwotechnicalmanagementboards.
NOTE
InIECcertainsuchgroupsaredesignatedasAdvisoryCommittees.
1.2.2 Aproposaltoestablishsuchagroupshallincluderecommendationsregardingitstermsofreferenceandconstitution,bearinginmindtherequirementforsufficient
representationofaffectedinterestswhileatthesametimelimitingitssizeasfaraspossibleinordertoensureitsefficientoperation.Forexample,itmaybedecidedthatits
membersbeonlythechairsandsecretariesofthetechnicalcommitteesconcerned.Ineverycase,theTMB(s)shalldecidethecriteriatobeappliedandshallappointthe
members.
Anychangesproposedbythegrouptoitstermsofreference,compositionor,whereappropriate,workingmethodsshallbesubmittedtothetechnicalmanagementboards
forapproval.
1.2.3 Thetasksallocatedtosuchagroupmayincludethemakingofproposalsrelatingtothedraftingorharmonizationofpublications(inparticularInternational
Standards,TechnicalSpecifications,PubliclyAvailableSpecificationsandTechnicalReports),butshallnotincludethepreparationofsuchdocumentsunlessspecifically
authorizedbytheTMB(s).
1.2.4 AnydocumentbeingpreparedwithaviewtopublicationshallbedevelopedinaccordancewiththeproceduralprinciplesgiveninAnnexA.
1.2.5 TheresultsofsuchagroupshallbepresentedintheformofrecommendationstotheTMB(s).Therecommendationsmayincludeproposalsfortheestablishmentofa
workinggroup(see1.12)orajointworkinggroup(see1.12.6)forthepreparationofpublications.Suchworkinggroupsshalloperatewithintherelevanttechnical
committee,ifany.
1.2.6 Theinternaldocumentsofagrouphavingadvisoryfunctionsshallbedistributedtoitsmembersonly,withacopytotheoffice(s)oftheCEO(s).
1.2.7 Suchagroupshallbedisbandedonceitsspecifiedtaskshavebeencompleted,orifitissubsequentlydecidedthatitsworkcanbeaccomplishedbynormalliaison
mechanisms(see1.16).
1.3 Jointtechnicalwork
1.3.1 JointTechnicalAdvisoryBoard(JTAB)
TheJTABhasthetaskofavoidingoreliminatingpossibleoractualoverlappinginthetechnicalworkofISOandIECandactswhenoneofthetwoorganizationsfeelsaneed
forjointplanning.TheJTABdealsonlywiththosecasesthatithasnotbeenpossibletoresolveatlowerlevelsbyexistingprocedures.(SeeAnnexB.)Suchcasesmaycover
questionsofplanningandproceduresaswellastechnicalwork.
DecisionsoftheJTABarecommunicatedtobothorganizationsforimmediateimplementation.Theyshallnotbesubjecttoappealforatleast3years.
1.3.2 JointTechnicalCommittees(JTC)andJointProjectCommittees(JPC)
1.3.2.1 JTCandJPCmaybeestablishedbyacommondecisionoftheISO/TMBandIEC/SMB,orbyadecisionoftheJTAB.
1.3.2.2 ForJPC,oneorganizationhastheadministrativeresponsibility.Thisshallbedecidedbymutualagreementbetweenthetwoorganizations.
Participationisbasedontheonemember/country,onevoteprinciple.
WheretwonationalbodiesinthesamecountryelecttoparticipateinaJPCthenoneshallbeidentifiedashavingtheadministrativeresponsibility.Thenationalbodywiththe
administrativeresponsibilityhastheresponsibilityofcoordinatingactivitiesintheircountry,includingthecirculationofdocuments,commentingandvoting.
Otherwisethenormalproceduresforprojectcommitteesarefollowed(see1.10).
1.4 RoleoftheChiefExecutiveOfficer
TheChiefExecutiveOfficeroftherespectiveorganizationisresponsible,interalia,forimplementingtheISO/IECDirectivesandotherrulesforthetechnicalwork.Forthis
purpose,theofficeoftheCEOarrangesallcontactsbetweenthetechnicalcommittees,thecouncilboardandthetechnicalmanagementboard.
DeviationsfromtheproceduressetoutinthepresentdocumentshallnotbemadewithouttheauthorizationoftheChiefExecutiveOfficersofISOorIEC,ortheauthorization
oftheISO/IECJointTechnicalAdvisoryBoard(JTAB),orthetechnicalmanagementboardsfordeviationsintherespectiveorganizations.
1.5 Establishmentoftechnicalcommittees
1.5.1 Technicalcommitteesareestablishedanddissolvedbythetechnicalmanagementboard.
1.5.2 Thetechnicalmanagementboardmaytransformanexistingsubcommitteeintoanewtechnicalcommittee,followingconsultationwiththetechnicalcommittee
concerned.
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1.5.3 Aproposalforworkinanewfieldoftechnicalactivitywhichappearstorequiretheestablishmentofanewtechnicalcommitteemaybemadeintherespective
organizationby
anationalbody;
atechnicalcommitteeorsubcommittee;
aprojectcommittee;
apolicylevelcommittee;
thetechnicalmanagementboard;
theChiefExecutiveOfficer;
abodyresponsibleformanagingacertificationsystemoperatingundertheauspicesoftheorganization;
anotherinternationalorganizationwithnationalbodymembership.
1.5.4 Theproposalshallbemadeusingtheappropriateform(seeAnnexSJintheConsolidatedISOSupplementtotheISO/IECDirectivesand
http://www.iec.ch/standardsdev/resources/docpreparation/forms_templates/),whichcovers
a) theproposer;
b) thesubjectproposed;
c) thescopeoftheworkenvisagedandtheproposedinitialprogrammeofwork;
d) ajustificationfortheproposal;
e) ifapplicable,asurveyofsimilarworkundertakeninotherbodies;
f) anyliaisonsdeemednecessarywithotherbodies.
Foradditionalinformationaldetailstobeincludedintheproposalsfornewwork,seeAnnexC.TheformshallbesubmittedtotheofficeoftheCEO.
1.5.5 TheofficeoftheCEOshallensurethattheproposalisproperlydevelopedinaccordancewithISOandIECrequirements(seeAnnexC)andprovidessufficient
informationtosupportinformeddecisionmakingbynationalbodies.TheofficeoftheCEOshallalsoassesstherelationshipoftheproposaltoexistingwork,andmayconsult
interestedparties,includingthetechnicalmanagementboardorcommitteesconductingrelatedexistingwork.Ifnecessary,anadhocgroupmaybeestablishedtoexamine
theproposal.
Followingitsreview,theofficeoftheCEOmaydecidetoreturntheproposaltotheproposerforfurtherdevelopmentbeforecirculationforvoting.Inthiscase,theproposer
shallmakethechangessuggestedorprovidejustificationfornotmakingthechanges.Iftheproposerdoesnotmakethechangesandrequeststhatitsproposalbecirculated
forvotingasoriginallypresented,thetechnicalmanagementboardwilldecideonappropriateaction.Thiscouldincludeblockingtheproposaluntilthechangesaremadeor
acceptingthatitbeballotedasreceived.
Inallcases,theofficeoftheCEOmayalsoincludecommentsandrecommendationstotheproposalform.
Fordetailsrelatingtojustificationoftheproposal,seeAnnexC.
Proposersarestronglyencouragedtoconductinformalconsultationswithothernationalbodiesinthepreparationofproposals.
Insomeinstances,theISOTechnicalManagementBoardmayconsideritappropriatetocarryoutaninformalexploratoryenquiry.
TechnicalcommitteesareestablishedbytheISO/TMBonaprovisionalbasis.Within18months,provisionallyestablishedtechnicalcommitteesarerequiredtopreparea
strategicbusinessplanforreviewbytheISO/TMB(seeAnnexSC).ThecommitteesareformallyestablishedbytheISO/TMBatthetimeofacceptanceofthebusinessplan.
Thisdoesnotprecludetheinitiationofstandardizationprojectsduringthis18monthperiod.
1.5.6 TheproposalshallbecirculatedbytheofficeoftheCEOtoallnationalbodiesoftherespectiveorganization(ISOorIEC),askingwhetherornotthey
a) supporttheestablishmentofanewtechnicalcommitteeprovidingastatementjustifyingtheirdecision(justificationstatement),and
b) intendtoparticipateactively(see1.7.1)intheworkofthenewtechnicalcommittee.
Theproposalshallalsobesubmittedtotheotherorganization(IECorISO)forcommentandforagreement(seeAnnexB).
Therepliestotheproposalshallbemadeusingtheappropriateformwithin3monthsaftercirculation.Regarding1.5.6a)above,ifnosuchstatementisprovided,thepositive
ornegativevoteofanationalbodywillnotberegisteredandconsidered.
Theformforrepliestotheproposalshasbeenreplacedbyanelectronicballotingsystem.Repliesnotusingtheelectronicballotingsystemwillnotbecounted.
1.5.7 Thetechnicalmanagementboardevaluatestherepliesandeither
decidestheestablishmentofanewtechnicalcommittee,providedthat
1) a2/3majorityofthenationalbodiesvotingareinfavouroftheproposal,and
2) atleast5nationalbodieswhovotedinfavourexpressedtheirintentiontoparticipateactively,
andallocatesthesecretariat(see1.9.1),or
assignstheworktoanexistingtechnicalcommittee,subjecttothesamecriteriaofacceptance.
1.5.8 Technicalcommitteesshallbenumberedinsequenceintheorderinwhichtheyareestablished.Ifatechnicalcommitteeisdissolved,itsnumbershallnotbe
allocatedtoanothertechnicalcommittee.
1.5.9 Assoonaspossibleafterthedecisiontoestablishanewtechnicalcommittee,thenecessaryliaisonsshallbearranged(see1.15to1.17).
1.5.10 Anewtechnicalcommitteeshallagreeonitstitleandscopeassoonaspossibleafteritsestablishment,preferablybycorrespondence.
Thescopeisastatementpreciselydefiningthelimitsoftheworkofatechnicalcommittee.
ThedefinitionofthescopeofatechnicalcommitteeshallbeginwiththewordsStandardizationoforStandardizationinthefieldofandshallbedraftedasconciselyas
possible.
Forrecommendationsonscopes,seeAnnexJ.
TheagreedtitleandscopeshallbesubmittedbytheChiefExecutiveOfficertothetechnicalmanagementboardforapproval.
1.5.11 Thetechnicalmanagementboardoratechnicalcommitteemayproposeamodificationofthelatter'stitleand/orscope.Themodifiedwordingshallbeestablished
bythetechnicalcommitteeforapprovalbythetechnicalmanagementboard.
1.6 Establishmentofsubcommittees
1.6.1 Subcommitteesareestablishedanddissolvedbya2/3majoritydecisionofthePmembersoftheparentcommitteevoting,subjecttoratificationbythetechnical
managementboard.Asubcommitteemaybeestablishedonlyonconditionthatanationalbodyhasexpresseditsreadinesstoundertakethesecretariat.
1.6.2 Atthetimeofitsestablishment,asubcommitteeshallcompriseatleast5membersoftheparenttechnicalcommitteehavingexpressedtheirintentiontoparticipate
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actively(see1.7.1)intheworkofthesubcommittee.
1.6.3 Subcommitteesofatechnicalcommitteeshallbedesignatedinsequenceintheorderinwhichtheyareestablished.Ifasubcommitteeisdissolved,itsdesignation
shallnotbeallocatedtoanothersubcommittee,unlessthedissolutionispartofacompleterestructuringofthetechnicalcommittee.
1.6.4 Thetitleandscopeofasubcommitteeshallbedefinedbytheparenttechnicalcommitteeandshallbewithinthedefinedscopeoftheparenttechnicalcommittee.
1.6.5 ThesecretariatoftheparenttechnicalcommitteeshallinformtheofficeoftheCEOofthedecisiontoestablishasubcommittee,usingtheappropriateform.Theoffice
oftheCEOshallsubmittheformtothetechnicalmanagementboardforratificationofthedecision.
1.6.6 Assoonaspossibleafterratificationofthedecisiontoestablishanewsubcommittee,anyliaisonsdeemednecessarywithotherbodiesshallbearranged(see1.15to
1.17).
1.7 Participationintheworkoftechnicalcommitteesandsubcommittees
Itisrecognizedthatmemberbodiesindevelopingcountriesoftenlacktheresourcestoparticipateinallcommitteeswhichmaybecarryingoutworkwhichisimportantfor
theirnationaleconomy.DevelopingcountrymemberbodiesarethereforeinvitedtoestablishPmembertwinningarrangementswithPmembersfromdevelopedcountries.
Undersucharrangements,theleadPmembershallbethedevelopedcountrymemberwhowillundertaketoensurethattheviewsofthetwinnedPmemberare
communicatedtoandtakenintoconsiderationbytheresponsibleISOcommittee.ThetwinnedPmembershallconsequentlyalsohavethestatusofPmember(seenote)and
beregisteredasatwinnedPmemberbytheCentralSecretariat.
NOTE
Itislefttothememberbodiesconcernedtodeterminethemosteffectivewayofimplementingtwinning.ThismayincludeforexamplethePmembersponsoringanexpertfromthe
twinnedmemberbodytoparticipateincommitteemeetingsortoactasanexpertinaworkinggroup,oritmayinvolvethePmemberseekingtheviewsofthetwinnedmemberbodyon
particularagendaitems/documentsandconveyingthosecommentstothecommittee,includingcastingavoteonbehalfofthetwinnedmemberbodyduringmeetings.Inordertoensurethe
greatestpossibletransparency,thetwinnedmemberbodyshouldprovideitspositionsinwritingnotonlytothetwinningpartner,butalsotothecommitteesecretariat,whoshouldverifythat
proxyvotescastonbehalfofthetwinnedmemberareconsistentwithitswrittenpositions.
Thedetailsofalltwinningarrangementsshallbenotifiedtothesecretariatandchairofthecommitteeconcerned,withthecommitteemembersandtheofficeoftheCEO
beinginformedaccordinglytoensurethegreatestpossibletransparency.
AleadPmembershalltwinwithonlyoneotherPmemberinanyparticularcommittee.
ThetwinnedPmembershallcastitsownvoteonallissuesreferredtothecommitteeforvotebycorrespondence.
Formoreinformationontwinnings,seeTwinningGuidancealinktowhichisprovidedintheAnnexReferenceDocuments.
ConsistentwiththeISOStatutesandRulesofProcedure,correspondentandsubscribermembersarenoteligibleforPmemberships.CorrespondentmembersofISOmay
registerasobserversofcommitteesbutdonothavetherighttosubmitcomments.
1.7.1 Allnationalbodieshavetherighttoparticipateintheworkoftechnicalcommitteesandsubcommittees.
Inordertoachievemaximumefficiencyandthenecessarydisciplineinthework,eachnationalbodyshallclearlyindicatetotheofficeoftheCEO,withregardtoeach
technicalcommitteeorsubcommittee,ifitintends
toparticipateactivelyinthework,withanobligationtovoteonallquestionsformallysubmittedforvotingwithinthetechnicalcommitteeorsubcommittee,onnewwork
itemproposals,enquirydraftsandfinaldraftInternationalStandards,andtocontributetomeetings(Pmembers),or
tofollowtheworkasanobserver,andthereforetoreceivecommitteedocumentsandtohavetherighttosubmitcommentsandtoattendmeetings(Omembers).
AnationalbodymaychoosetobeneitherPmembernorOmemberofagivencommittee,inwhichcaseitwillhaveneithertherightsnortheobligationsindicatedabovewith
regardtotheworkofthatcommittee.Nevertheless,allnationalbodiesirrespectiveoftheirstatuswithinatechnicalcommitteeorsubcommitteehavetherighttovoteon
enquirydrafts(see2.6)andonfinaldraftInternationalStandards(see2.7).
Nationalbodieshavetheresponsibilitytoorganizetheirnationalinputinanefficientandtimelymanner,takingaccountofallrelevantinterestsattheirnationallevel.
1.7.2 Membershipofasubcommitteeisopentoanynationalbody,regardlessoftheirmembershipstatusintheparenttechnicalcommittee.
MembersofatechnicalcommitteeshallbegiventheopportunitytonotifytheirintentiontobecomeaPorOmemberofasubcommitteeatthetimeofitsestablishment.
Membershipofatechnicalcommitteedoesnotimplyautomaticmembershipofasubcommittee;notificationisrequiredoftheintendedstatusofanyinterestedmemberof
thetechnicalcommittee.
1.7.3 Anationalbodymay,atanytime,beginorendmembershiporchangeitsmembershipstatusinanytechnicalcommitteeorsubcommitteebyinformingtheofficeof
theCEOandthesecretariatofthecommitteeconcerned.
1.7.4 AtechnicalcommitteeorsubcommitteesecretariatshallnotifytheChiefExecutiveOfficerifaPmemberofthattechnicalcommitteeorsubcommittee
hasbeenpersistentlyinactiveandhasfailedtocontributeto2successivetechnicalcommittee/subcommitteemeetings,eitherbydirectparticipationorby
correspondenceandhasfailedtoappointanyexpertstothetechnicalwork,or
InIEC:
hasfailedtovoteonquestionsformallysubmittedforvotingwithinthetechnicalcommitteeorsubcommittee(see1.7.1).
InISO:
hasfailedtovoteonover20%ofthequestionsformallysubmittedforvotingonthecommitteeinternalballoting(CIB)withinthetechnicalcommitteeorsubcommittee
overonecalendaryear(see1.7.1).
Uponreceiptofsuchanotification,theChiefExecutiveOfficershallremindthenationalbodyofitsobligationtotakeanactivepartintheworkofthetechnicalcommitteeor
subcommittee.Intheabsenceofasatisfactoryresponsetothisreminder,anduponpersistentcontinuationoftheabovearticulatedshortcomingsinrequiredPmember
behaviour,thenationalbodyshallwithoutexceptionautomaticallyhaveitsstatuschangedtothatofOmember.Anationalbodyhavingitsstatussochangedmay,aftera
periodof12months,indicatetotheChiefExecutiveOfficerthatitwishestoregainPmembershipofthecommittee,inwhichcasethisshallbegranted.
1.7.5 IfaPmemberofatechnicalcommitteeorsubcommitteefailstovoteonanenquirydraftorfinaldraftInternationalStandardpreparedbytherespectivecommittee,
theChiefExecutiveOfficershallremindthenationalbodyofitsobligationtovote.Intheabsenceofasatisfactoryresponsetothisreminder,thenationalbodyshall
automaticallyhaveitsstatuschangedtothatofOmember.Anationalbodyhavingitsstatussochangedmay,afteraperiodoftwelvemonths,indicatetotheChiefExecutive
OfficerthatitwishestoregainPmembershipofthecommittee,inwhichcasethisshallbegranted.
1.8 Chairsoftechnicalcommitteesandsubcommittees
1.8.1 Appointment
Chairsoftechnicalcommitteesshallbenominatedbythesecretariatofthetechnicalcommitteeandapprovedbythetechnicalmanagementboard,foramaximumperiodof
9years.
Chairsofsubcommitteesshallbenominatedbythesecretariatofthesubcommitteeandapprovedbythetechnicalcommitteeforamaximumperiodof9years.Approval
criterionforbothappointmentandextensionisa2/3majorityvoteofthePmembersofthetechnicalcommittee.
9yearmaximumfortechnicalcommitteeandsubcommitteechairsmaybeservedoveranynumberofterms.
ThecandidatesforchairmanshipsshallhavethecompetenciesandattributeslistedinAnnexSQSelectioncriteriaforpeopleleadingthetechnicalwork(seeSQ.3.1).
InISO,exceptionstothemaximum9yearrulemaybegrantedbytheTMBfortechnicalcommitteeandsubcommitteechairsprovidedthatthecommitteeofthechairin
questionapprovedtheexceptionbyresolution.
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Thesharingofsecretariatsandchairmanshipsbydevelopinganddevelopedcountriesisstronglyencouraged.Consequently,secretariatsindevelopedcountriesare
encouragedtoconsiderthepossibilityofnominatingachairfromadevelopingcountryandsecretariatsindevelopingcountriesareencouragedtoconsiderthepossibilityof
nominatingachairfromadevelopedcountry.
1.8.2 Responsibilities
Thechairofatechnicalcommitteeisresponsiblefortheoverallmanagementofthattechnicalcommittee,includinganysubcommitteesandworkinggroups.
Thechairofatechnicalcommitteeorsubcommitteeshall
a) actinapurelyinternationalcapacity,divestinghimorherselfofanationalposition;thuss/hecannotserveconcurrentlyasthedelegateofanationalbodyinhisorher
owncommittee;
b) guidethesecretaryofthattechnicalcommitteeorsubcommitteeincarryingouthisorherduty;
c) conductmeetingswithaviewtoreachingagreementoncommitteedrafts(see2.5);
d) ensureatmeetingsthatallpointsofviewexpressedareadequatelysummedupsothattheyareunderstoodbyallpresent;
e) ensureatmeetingsthatalldecisionsareclearlyformulatedandmadeavailableinwrittenformbythesecretaryforconfirmationduringthemeeting;
f) takeappropriatedecisionsattheenquirystage(see2.6);
g) advisethetechnicalmanagementboardonimportantmattersrelatingtothattechnicalcommitteeviathetechnicalcommitteesecretariat.Forthispurposes/heshall
receivereportsfromthechairsofanysubcommitteesviathesubcommitteesecretariats;
h) ensurethatthepolicyandstrategicdecisionsofthetechnicalmanagementboardareimplementedinthecommittee;
i) ensuretheestablishmentandongoingmaintenanceofastrategicbusinessplancoveringtheactivitiesofthetechnicalcommitteeandallgroupsreportingtothetechnical
committee,includingallsubcommittees;
j) ensuretheappropriateandconsistentimplementationandapplicationofthecommittee'sstrategicbusinessplantotheactivitiesofthetechnicalcommittee'sor
subcommittee'sworkprogramme;
k) assistinthecaseofanappealagainstacommitteedecision.
Incaseofunforeseenunavailabilityofthechairatameeting,asessionchairmaybeelectedbytheparticipants.
1.8.3Vicechairs(Twinning)
Committeesareencouragedtoestablishchair/vicechairtwinningarrangementsbetweenadevelopedcountrymemberbodyandadevelopingcountrymemberbody(witha
limitofonevicechairpercommittee).Theleadpartner(chair)andthetwinnedpartner(vicechair)willbedecidedbymutualagreement.VicechairsmustbeaPmember
(i.e.anyPmemberwhetherthroughatwinningarrangementornot)inthecommitteeconcerned.Thesamerulesapplyfortheappointmentandtermofchairsandvice
chairs.Thedelineationofresponsibilitiesshallbedecidedbymutualagreement(preferablyinatwinningagreement)betweenthechairandvicechair,withthecommittee
membersandtheofficeoftheCEObeinginformedaccordingly.
Formoreinformationontwinnings,seeTwinningGuidancealinktowhichisprovidedintheAnnexReferenceDocuments.
1.9 Secretariatsoftechnicalcommitteesandsubcommittees
1.9.1 Allocation
Thesecretariatofatechnicalcommitteeshallbeallocatedtoanationalbodybythetechnicalmanagementboard.
Thesecretariatofasubcommitteeshallbeallocatedtoanationalbodybytheparenttechnicalcommittee.However,iftwoormorenationalbodiesoffertoundertakethe
secretariatofthesamesubcommittee,thetechnicalmanagementboardshalldecideontheallocationofthesubcommitteesecretariat.
Forbothtechnicalcommitteesandsubcommittees,thesecretariatshallbeallocatedtoanationalbodyonlyifthatnationalbody
a) hasindicateditsintentiontoparticipateactivelyintheworkofthattechnicalcommitteeorsubcommittee,and
b) hasacceptedthatitwillfulfilitsresponsibilitiesassecretariatandisinapositiontoensurethatadequateresourcesareavailableforsecretariatwork(seeD.2).
Oncethesecretariatofatechnicalcommitteeorsubcommitteehasbeenallocatedtoanationalbody,thelattershallappointaqualifiedindividualassecretary(seeD.1and
D.3).
SecretariesshallhavethecompetenciesandattributeslistedinAnnexSQSelectioncriteriaforpeopleleadingthetechnicalwork(seeSQ.3.2).
TC/SCsecretariats,atintervalsof5years,shallnormallybesubjecttoreconfirmationbytheISOTechnicalManagementBoard.
If,duringayearwhenaparticularTC/SCsecretariatisdueforreconfirmation,TC/SCproductivitydatashowthecommitteetobeexperiencingdifficulties,thiswillbedrawn
totheattentionoftheISOTechnicalManagementBoardfordecisionastowhetherareconfirmationenquiryshouldbeconducted.Theallocationofthosesecretariatsnot
notifiedfordetailedexaminationwillbereconfirmedautomatically.
AreconfirmationenquirymayalsobeinitiatedatanytimeattherequestoftheSecretaryGeneralorofaPmemberofacommittee.Suchrequestsshallbeaccompaniedbya
writtenjustificationandshallbeconsideredbytheISOTechnicalManagementBoardwhichwilldecidewhethertoconductareconfirmationenquiry.
TheenquiryshallbeconductedamongstthePmembersofthecommitteetodeterminewhetherthePmembersaresatisfiedthatsufficientresourcesareavailabletothe
secretariatandthattheperformanceofthesecretariatissatisfactory.AnyPmemberrespondingnegativelyshallbeinvitedtoindicatewhetheritiswillingitselftoacceptthe
secretariatofthecommittee.
TheenquiryshallbeconductedbytheISOTechnicalManagementBoardinthecaseofTCsecretariats,andbyTCsecretariatsinthecaseofSCsecretariats.However,incases
wherethesamememberbodyholdsboththeTCandSCsecretariat,theenquiryshallbeconductedbytheISOTechnicalManagementBoard.
Iftherearenonegativeresponses,thesecretariatallocationshallbereconfirmed.AllnegativeresponsesconcerningbothTCandSCsecretariatsshallbereferredtotheISO
TechnicalManagementBoardfordecision.
1.9.2 Responsibilities
Thenationalbodytowhichthesecretariathasbeenallocatedshallensuretheprovisionoftechnicalandadministrativeservicestoitsrespectivetechnicalcommitteeor
subcommittee.
Thesecretariatisresponsibleformonitoring,reporting,andensuringactiveprogressofthework,andshalluseitsutmostendeavourtobringthisworktoanearlyand
satisfactoryconclusion.Thesetasksshallbecarriedoutasfaraspossiblebycorrespondence.
ThesecretariatisresponsibleforensuringthattheISO/IECDirectivesandthedecisionsofthetechnicalmanagementboardarefollowed.
Asecretariatshallactinapurelyinternationalcapacity,divestingitselfofanationalpointofview.
Thesecretariatisresponsibleforthefollowingtobeexecutedinatimelymanner:
a) Workingdocuments:
1) Preparationofcommitteedrafts,arrangingfortheirdistributionandthetreatmentofthecommentsreceived;
2) PreparationofenquirydraftsandtextforthecirculationofthefinaldraftInternationalStandardsorpublicationofInternationalStandards;
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3) EnsuringtheequivalenceoftheEnglishandFrenchtexts,ifnecessarywiththeassistanceofothernationalbodiesthatareableandwillingtotakeresponsibilityforthe
languageversionsconcerned.(Seealso1.11andtherespectiveSupplementstotheISO/IECDirectives);
b) Projectmanagement
1) Assistingintheestablishmentofprioritiesandtargetdatesforeachproject;
2) Notifyingthenames,etc.ofallworkinggroupandmaintenanceteamconvenorsandprojectleaderstotheofficeoftheCEO;
3) Proposingproactivelythepublicationofalternativedeliverablesorcancellationofprojectsthatarerunningsignificantlyovertime,and/orwhichappeartolack
sufficientsupport;
c) Meetings(seealsoClause4),including:
1) Establishmentoftheagendaandarrangingforitsdistribution;
2) Arrangingforthedistributionofalldocumentsontheagenda,includingreportsofworkinggroups,andindicatingallotherdocumentswhicharenecessaryfor
discussionduringthemeeting(seeE.5);
3) Regardingthedecisions(alsoreferredtoasresolutions)takeninameeting:
ensuringthatthedecisionsendorsingworkinggroupsrecommendationscontainthespecificelementsbeingendorsed;
makingthedecisionsavailableinwritingforconfirmationduringthemeeting(seeE.5);and
postingthedecisionswithin48hoursafterthemeetinginthecommittee'selectronicfolder.
4) Preparationoftheminutesofmeetingstobecirculatedwithin3monthsafterthemeeting;
5) Preparationofreportstothetechnicalmanagementboard(TCsecretariat),intheIECwithin3monthsafterthemeeting,ortotheparentcommittee(SCsecretariat);
d) Advising
Providingadvicetothechair,projectleaders,andconvenorsonproceduresassociatedwiththeprogressionofprojects.
Inallcircumstances,eachsecretariatshallworkincloseliaisonwiththechairofitstechnicalcommitteeorsubcommittee.
ThesecretariatofatechnicalcommitteeshallmaintainclosecontactwiththeofficeoftheCEOandwiththemembersofthetechnicalcommitteeregardingitsactivities,
includingthoseofitssubcommitteesandworkinggroups.
ThesecretariatofasubcommitteeshallmaintainclosecontactwiththesecretariatoftheparenttechnicalcommitteeandasnecessarywiththeofficeoftheCEO.Itshallalso
maintaincontactwiththemembersofthesubcommitteeregardingitsactivities,includingthoseofitsworkinggroups.
ThesecretariatofatechnicalcommitteeorsubcommitteeshallupdateinconjunctionwiththeofficeoftheCEOtherecordofthestatusofthemembershipofthecommittee.
TheofficeoftheCEOshallalsomaintainaregisterofthemembershipofitsworkinggroups.
Memberbodiesareencouragedtoestablishsecretariat/cosecretariattwinningarrangementsbetweenadevelopedcountrymemberbodyandadevelopingcountrymember
body(withalimitofonecosecretariatpercommittee).Theleadpartner(secretariat)andthetwinnedpartner(cosecretariat)willbedecidedbymutualagreement.Co
secretariatsmustbefrommemberbodiesholdingPmembershipinthecommitteeconcerned(eitherdirectlyorviaatwinningarrangement).Thesamerulesapplyforthe
allocationofsecretariatsandcosecretariats,aswellassecretariesandcosecretaries.Thedelineationofresponsibilitiesshallbedecidedbymutualagreementbetweenthe
memberbodiesconcerned,withthecommitteemembersandtheofficeoftheCEObeinginformedaccordingly.
Formoreinformationontwinnings,seeTwinningGuidancealinktowhichisprovidedintheAnnexReferenceDocuments.
1.9.3 Changeofsecretariatofatechnicalcommittee
Ifanationalbodywishestorelinquishthesecretariatofatechnicalcommittee,thenationalbodyconcernedshallimmediatelyinformtheChiefExecutiveOfficer,givinga
minimumof12months'notice.Thetechnicalmanagementboarddecidesonthetransferofthesecretariattoanothernationalbody.
Ifthesecretariatofatechnicalcommitteepersistentlyfailstofulfilitsresponsibilitiesassetoutintheseprocedures,theChiefExecutiveOfficeroranationalbodymayhave
thematterplacedbeforethetechnicalmanagementboard,whichmayreviewtheallocationofthesecretariatwithaviewtoitspossibletransfertoanothernationalbody.
Whenamemberbodywishingtorelinquishasecretariathasenteredintoatwinningarrangementwithamemberbodyinadevelopingcountry,theISO/TMBshalldecide
whethertoofferthesecretariattothelatterorwhethertoapplythenormalprocedureforreallocationofthesecretariatin1.9.1.
1.9.4 Changeofsecretariatofasubcommittee
Ifanationalbodywishestorelinquishthesecretariatofasubcommittee,thenationalbodyconcernedshallimmediatelyinformthesecretariatoftheparenttechnical
committee,givingaminimumof12months'notice.
Ifthesecretariatofasubcommitteepersistentlyfailstofulfilitsresponsibilitiesassetoutintheseprocedures,theChiefExecutiveOfficeroranationalbodymayhavethe
matterplacedbeforetheparenttechnicalcommittee,whichmaydecide,bymajorityvoteofthePmembers,thatthesecretariatofthesubcommitteeshouldbereallocated.
IneitheroftheabovecasesanenquiryshallbemadebythesecretariatofthetechnicalcommitteetoobtainoffersfromotherPmembersofthesubcommitteefor
undertakingthesecretariat.
Iftwoormorenationalbodiesoffertoundertakethesecretariatofthesamesubcommitteeorif,becauseofthestructureofthetechnicalcommittee,thereallocationofthe
secretariatislinkedwiththereallocationofthetechnicalcommitteesecretariat,thetechnicalmanagementboarddecidesonthereallocationofthesubcommittee
secretariat.Ifonlyoneofferisreceived,theparenttechnicalcommitteeitselfproceedswiththeappointment.
Whenamemberbodywishingtorelinquishasecretariathasenteredintoatwinningarrangementwithamemberbodyinadevelopingcountry,thenormalprocedurefor
reallocationofthesecretariatshallbecarriedout(see1.9.1).
1.10
Projectcommittees
Projectcommitteesareestablishedbythetechnicalmanagementboardtoprepareindividualstandardsnotfallingwithinthescopeofanexistingtechnicalcommittee.
NOTE
Suchstandardscarryonereferencenumberbutmaybesubdividedintoparts.
ProceduresforprojectcommitteesaregiveninAnnexK.
Projectcommitteeswishingtobetransformedintoatechnicalcommitteeshallfollowtheprocessfortheestablishmentofanewtechnicalcommittee(see1.5).
1.11
Editingcommittees
Itisrecommendedthatcommitteesestablishoneormoreeditingcommitteesforthepurposeofupdatingandeditingcommitteedrafts,enquirydraftsandfinaldraft
InternationalStandardsandforensuringtheirconformitytotheISO/IECDirectives,Part2(seealso2.6.6).
Suchcommitteesshouldcompriseatleast
onetechnicalexpertofEnglishmothertongueandhavinganadequateknowledgeofFrench;
onetechnicalexpertofFrenchmothertongueandhavinganadequateknowledgeofEnglish;
theprojectleader(see2.1.8).
Theprojectleaderand/orsecretarymaytakedirectresponsibilityforoneofthelanguageversionsconcerned.
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InIEC,arepresentativeoftheofficeoftheCEOwillattendeditingcommitteemeetingsifrequired.
Editingcommitteesshallmeetwhenrequiredbytherespectivetechnicalcommitteeorsubcommitteesecretariatforthepurposeofupdatingandeditingdraftswhichhave
beenacceptedbycorrespondenceforfurtherprocessing.
Editingcommitteesshallbeequippedwithmeansofprocessingandprovidingtextselectronically(seealso2.6.6).
1.12
Workinggroups
1.12.1 Technicalcommitteesorsubcommitteesmayestablishworkinggroupsforspecifictasks(see2.4).Aworkinggroupshallreporttoitsparenttechnicalcommitteeor
subcommitteethroughaconvenorappointedbytheparentcommittee.
Workinggroupconvenorsshallbeappointedbythecommitteeforuptothreeyeartermsendingatthenextplenarysessionoftheparentcommitteefollowingtheterm.Such
appointmentsshallbeconfirmedbythenationalbody(orliaisonorganization).Theconvenormaybereappointedforadditionaltermsofuptothreeyears.Thereisnolimit
tothenumberofterms.
Responsibilityforanychangesofconvenorsrestswiththecommitteeandnotwiththenationalbody(orliaisonorganization).
Theconvenormaybesupportedbyasecretariat,asneeded.
Committeesareencouragedtoestablishconvenor/coconvenortwinningarrangementsbetweenadevelopedcountrymemberbodyandadevelopingcountrymemberbody
(withalimitofonecoconvenorperworkinggroup).Theleadpartner(convenor)andtwinnedpartner(coconvenor)willbedecidedbymutualagreement.Convenorsand
coconvenorsmustbefromthePmembersinthecommitteeconcerned(eitherdirectlyorviaatwinningarrangement).Thesamerulesapplyfortheappointmentofco
convenorsandconvenors.Thedelineationofresponsibilitiesshallbedecidedbymutualagreement(preferablyinatwinningagreement)betweentheconvenorandco
convenor,withtheparentcommitteeandtheofficeoftheCEObeinginformedaccordingly.
NotethatcoconvenorsareonlypossiblethroughtwinningarrangementsandJointWorkingGroups(JWG)see1.12.6.
Formoreinformationontwinnings,seeTwinningGuidancealinktowhichisprovidedintheAnnexReferenceDocuments.
AworkinggroupcomprisesarestrictednumberofexpertsindividuallyappointedbythePmembers,AliaisonsoftheparentcommitteeandDliaisonorganizations,brought
togethertodealwiththespecifictaskallocatedtotheworkinggroup.TheexpertsactinapersonalcapacityandnotastheofficialrepresentativeofthePmemberorAliaison
organization(see1.17)bywhichtheyhavebeenappointedwiththeexceptionofthoseappointedbyDliaisonorganizations(see1.17).However,itisrecommendedthatthey
keepclosecontactwiththatPmemberororganizationinordertoinformthemabouttheprogressoftheworkandofthevariousopinionsintheworkinggroupatthe
earliestpossiblestage.
Itisrecommendedthatworkinggroupsbereasonablylimitedinsize.Thetechnicalcommitteeorsubcommitteemaythereforedecideuponthemaximumnumberofexperts
appointedbyeachPmemberandliaisonorganizations.
Oncethedecisiontosetupaworkinggrouphasbeentaken,PmembersandAandDliaisonorganizationsshallbeofficiallyinformedinordertoappointexpert(s).Working
groupsshallbenumberedinsequenceintheorderinwhichtheyareestablished.
Whenacommitteehasdecidedtosetupaworkinggroup,theconvenororactingconvenorshallimmediatelybeappointedandshallarrangeforthefirstmeetingofthe
workinggrouptobeheldwithin3months.ThisinformationshallbecommunicatedimmediatelyafterthecommitteemeetingtothePmembersofthecommitteeandAand
Dliaisonorganizations,withaninvitationtoappointexpertswithin6weeks.
1.12.2 Thenamesandcontactinformationoftheworkinggroupexpertsshallbemadeavailabletotheotherworkinggroupexpertsandmaintainedbythenationalbodies
(ortheofficeoftheCEOforliaisonorganizations).
ThecompositionoftheworkinggroupisdefinedintheISOGlobalDirectory(GD).ExpertsnotregisteredtoaworkinggroupintheISOGDmaynotparticipateinitswork.
1.12.3 Persistentlyinactiveexperts,meaningabsenceofcontributionsthroughattendancetoworkinggroupmeetingsorbycorrespondenceshallberemoved,bytheoffice
oftheCEOattherequestofthetechnicalcommitteeorsubcommitteesecretary,fromworkinggroupsafterconsultationwiththePmember.
1.12.4 Oncompletionofitstask(s)normallyattheendoftheenquirystage(see2.6)ofitslastprojecttheworkinggroupshallbedisbanded,theprojectleader
remainingwithconsultantstatusuntilcompletionofthepublicationstage(see2.8).
1.12.5 Distributionoftheinternaldocumentsofaworkinggroupandofitsreportsshallbecarriedoutinaccordancewithproceduresdescribedintherespective
SupplementsoftheISO/IECDirectives.
1.12.6 Inspecialcasesajointworkinggroup(JWG)maybeestablishedtoundertakeaspecifictaskinwhichmorethanoneISOand/orIECtechnicalcommitteeor
subcommitteeisinterested.CommitteeswhoreceiverequeststoestablishJWGshallreplytosuchrequestsinatimelymanner.
NOTE
ForspecificrulesconcerningJWGsbetweenISOcommitteesandIECcommittees,seeAnnexBinadditiontothefollowing.
Thedecisiontoestablishajointworkinggroupshallbeaccompaniedbymutualagreementbetweenthecommitteeson:
thecommittee/organizationhavingtheadministrativeresponsibilityfortheproject;
theconvenorofthejointworkinggroup(whoshallbenominatedbyaPmemberfromoneofthecommittees);
themembershipofthejointworkinggroup(membershipmaybeopentoallPmembersandcategoryA,C(JTC1only)andDliaisonsthatwishtoparticipatewhichmay
belimitedtoanequalnumberofrepresentativesfromeachcommittee,ifagreed).
Thecommittee/organizationwiththeadministrativeresponsibilityfortheprojectshall:
recordtheprojectintheirprogrammeofwork;
beresponsibleforaddressingcomments(usuallyreferredbacktotheJWG)andensurethatthecommentsandvotesatallstagesoftheprojectarecompiledandhandled
appropriately(see2.5,2.6and2.7)allcommentsaremadeavailabletotheleadershipofthecommittees;
preparedraftsforthecommittee,enquiryandapprovalstagesaccordingtoproceduresgivenin2.5,2.6and2.7;
beresponsibleformaintenanceofthepublication.
ApprovalcriteriaarebasedontheDirectivesusedbythecommitteewiththeadministrativelead.IftheleadcommitteeisaJTC1committee,theJTC1Supplementalso
applies.
Fornewprojects(NP)
ForISO/ISO,onlyoneNPballotisneededifaNPhasalreadybeenlaunchedorapprovedinonecommittee,itcannotbeballotedagaininanotherTC,buttwo(2)NPare
launchedforISO/IECJWG[one(1)ineachorganization].
ItispossibletoestablishaJWGatalaterstage,inwhichcaseitsadministrativeleadwillbeconfirmedbytheTCsconcerned.
Oncethejointworkisagreed,thecommitteewiththeadministrativeleadinformsISO/CSorIEC/COrespectively,ofitsleadandofthecommitteesparticipatinginthe
work.
TheotherTCslaunchacallforexpertsforparticipationintheJWG.
Forpreparatorystage(WD)
TheJWGfunctionslikeanyotherWG:consensusisrequiredtoadvancetoCD.
Forcommitteestage(CD)
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TheCDiscirculatedforreviewandcommentbyeachcommittee.
ThefinalCDrequiresconsensusbyallcommittees,asdefinedintheISO/IECDirectives,Part1
ForDISandFDISballots
MemberBodiesarerequestedtoconsultallnationalmirrorcommitteesinvolvedtodefineoneposition.Astatementisincludedonthecoverpagetodrawattentionof
NSBs.
ForanISO/IECJWG,twoDIS/FDISvotesarelaunched,i.e.oneineachorganization.
TheForewordidentifiesallcommitteesinvolvedinthedevelopmentofthedeliverable.
1.13
Groupshavingadvisoryfunctionswithinacommittee
1.13.1 Agrouphavingadvisoryfunctionsmaybeestablishedbyatechnicalcommitteeorsubcommitteetoassistthechairandsecretariatintasksconcerningcoordination,
planningandsteeringofthecommittee'sworkorotherspecifictasksofanadvisorynature.
1.13.2 Aproposaltoestablishsuchagroupshallincluderecommendationsregardingitsconstitution,bearinginmindtherequirementforsufficientrepresentationof
affectedinterestswhileatthesametimelimitingitssizeasfaraspossibleinordertoensureitsefficientoperation.Membersofadvisorygroupsshallbenominatedby
nationalbodies.Theparentcommitteeshallapprovethefinalconstitution.
InordertoachievegreaterinvolvementbymemberbodiesindevelopingcountriesinthegovernanceofISOcommittees,itisstronglyrecommendedthatspecialprovisions
bemadetoallocateplacesforrepresentativesofdevelopingcountriesinanyadvisorygroupsestablishedbyacommittee.Thoserepresentativesshallbenominatedby
memberbodiesholdingPmembershipinthecommitteeconcerned(eitherdirectlyorviaatwinningarrangement).
1.13.3 Thetasksallocatedtosuchagroupmayincludethemakingofproposalsrelatingtothedraftingorharmonizationofpublications(inparticularInternational
Standards,TechnicalSpecifications,PubliclyAvailableSpecificationsandTechnicalReports),butshallnotincludethepreparationofsuchdocuments.
1.13.4 Theresultsofsuchagroupshallbepresentedintheformofrecommendationstothebodythatestablishedthegroup.Therecommendationsmayincludeproposals
fortheestablishmentofaworkinggroup(see1.12)orajointworkinggroup(see1.12.6)forthepreparationofpublications.
1.13.5 Theinternaldocumentsofagrouphavingadvisoryfunctionsshallbedistributedtoitsmembersonly,withacopytothesecretariatofthecommitteeconcernedand
totheofficeoftheCEO.
1.13.6 Suchagroupshallbedisbandedonceitsspecifiedtaskshavebeencompleted.
1.14
Adhocgroups
Technicalcommitteesorsubcommitteesmayestablishadhocgroups,thepurposeofwhichistostudyapreciselydefinedproblemonwhichthegroupreportstoitsparent
committeeatthesamemeeting,oratthelatestatthenextmeeting.
Themembershipofanadhocgroupshallbechosenfromthedelegatespresentatthemeetingoftheparentcommittee,supplemented,ifnecessary,byexpertsappointedby
thecommittee.Theparentcommitteeshallalsoappointarapporteur.
Anadhocgroupshallbeautomaticallydisbandedatthemeetingtowhichithaspresenteditsreport.
1.15
Liaisonbetweentechnicalcommittees
SeeAnnexSHconcerningcoordinationofthestandardizationofgraphicalsymbols.
1.15.1 Withineachorganization,technicalcommitteesand/orsubcommitteesworkinginrelatedfieldsshallestablishandmaintainliaison.Liaisonsshallalsobe
established,whereappropriate,withtechnicalcommitteesresponsibleforbasicaspectsofstandardization(e.g.terminology,graphicalsymbols).Liaisonshallincludethe
exchangeofbasicdocuments,includingnewworkitemproposalsandworkingdrafts.
Committeesmaypassaresolutiontodecideontheestablishmentofaninternalliaison.Committeesreceivingrequestsforinternalliaisonscannotrefusesuchrequestsand
thereisnoneedforthecommitteereceivingtherequesttopassaresolutionconfirmingitsacceptance.
1.15.2 Themaintenanceofsuchliaisonistheresponsibilityoftherespectivetechnicalcommitteesecretariats,whichmaydelegatethetasktothesecretariatsofthe
subcommittees.
1.15.3 Atechnicalcommitteeorsubcommitteemaydesignateanobserver,orobservers,tofollowtheworkofanothertechnicalcommitteewithwhichaliaisonhasbeen
established,oroneorseveralofitssubcommittees.Thedesignationofsuchobserversshallbenotifiedtothesecretariatofthecommitteeconcerned,whichshall
communicateallrelevantdocumentstotheobserverorobserversandtothesecretariatofthattechnicalcommitteeorsubcommittee.Theappointedobservershallmake
progressreportstothesecretariatbywhichs/hehasbeenappointed.
1.15.4 Suchobserversshallhavetherighttoparticipateinthemeetingsofthetechnicalcommitteeorsubcommitteewhoseworktheyhavebeendesignatedtofollowbut
shallnothavetherighttovote.Theymaycontributetothediscussioninmeetings,includingthesubmissionofwrittencomments,onmatterswithinthecompetenceoftheir
owntechnicalcommittee.Theymayalsoattendmeetingsofworkinggroupsofthetechnicalcommitteeorsubcommitteeiftheysorequest.
1.16
LiaisonbetweenISOandIEC
1.16.1 ArrangementsforadequateliaisonbetweenISOandIECtechnicalcommitteesandsubcommitteesareessential.Thechannelofcorrespondenceforthe
establishmentofliaisonbetweenISOandIECtechnicalcommitteesandsubcommitteesisthroughtheofficesoftheCEOs.Asfarasthestudyofnewsubjectsbyeither
organizationisconcerned,theCEOsseekagreementbetweenthetwoorganizationswheneveraneworrevisedprogrammeofworkiscontemplatedintheoneorganization
whichmaybeofinteresttotheother,sothattheworkwillgoforwardwithoutoverlaporduplicationofeffort.(SeealsoAnnexB.)
1.16.2 ObserversdesignatedbyISOorIECshallhavetherighttoparticipateinthediscussionsoftheotherorganization'stechnicalcommitteeorsubcommitteewhose
worktheyhavebeendesignatedtofollow,andmaysubmitwrittencomments;theyshallnothavetherighttovote.
1.17
Liaisonwithotherorganizations
1.17.1 Generalrequirementsapplicabletoallcategoriesofliaisons
Inordertobeeffective,liaisonshalloperateinbothdirections,withsuitablereciprocalarrangements.
Thedesirabilityofliaisonshallbetakenintoaccountatanearlystageofthework.
TheliaisonorganizationshallacceptthepolicybasedontheISO/IECDirectivesconcerningcopyright(see2.13),whetherownedbytheliaisonorganizationorbyother
parties.Thestatementoncopyrightpolicywillbeprovidedtotheliaisonorganizationwithaninvitationtomakeanexplicitstatementastoitsacceptability.Theliaison
organizationisnotentitledtochargeafeefordocumentssubmitted.
AliaisonorganizationshallbewillingtomakeacontributiontothetechnicalworkofISOorIECasappropriate.Aliaisonorganizationshallhaveasufficientdegreeof
representativitywithinitsdefinedareaofcompetencewithinasectororsubsectoroftherelevanttechnicalorindustrialfield.
AliaisonorganizationshallagreetoISO/IECprocedures,includingIPR(see2.13).
Liaisonorganizationsshallaccepttherequirementsof2.14onpatentrights.
Technicalcommitteesandsubcommitteesshallreviewalltheirliaisonarrangementsonaregularbasis,atleastevery2years,orateverycommitteemeeting.
1.17.2 Differentcategoriesofliaisons
1.17.2.1 Atthetechnicalcommittee/subcommitteelevel(CategoryAandBliaisons)
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Thecategoriesofliaisonsatthetechnicalcommittee/subcommitteelevelsare:
CategoryA:Organizationsthatmakeaneffectivecontributiontotheworkofthetechnicalcommitteeorsubcommitteeforquestionsdealtwithbythistechnical
committeeorsubcommittee.Suchorganizationsaregivenaccesstoallrelevantdocumentationandareinvitedtomeetings.Theymaynominateexpertstoparticipateina
WG(see1.12.1).
CategoryB:Organizationsthathaveindicatedawishtobekeptinformedoftheworkofthetechnicalcommitteeorsubcommittee.Suchorganizationsaregivenaccessto
reportsontheworkofatechnicalcommitteeorsubcommittee.
NOTE
CategoryBisreservedforintergovernmentalorganizations.
1.17.2.2 Attheworkinggrouplevel(CategoryDliaisons)
Thecategoryofliaisonsattheworkinggrouplevelis:
CategoryD1:Organizationsthatmakeatechnicalcontributiontoandparticipateactivelyintheworkofaworkinggroup.Thiscanincludemanufacturerassociations,
commercialassociations,industrialconsortia,usergroupsandprofessionalandscientificsocieties.Liaisonorganizationsshallbemultinational(intheirobjectivesand
standardsdevelopmentactivities)withindividual,companyorcountrymembershipandmaybepermanentortransientinnature.
1.17.3 Eligibility
1.17.3.1 Atthetechnicalcommittee/subcommitteelevel(CategoryAandBliaisons)
WhenanorganizationappliesforaliaisonwithanISOtechnicalcommittee/subcommittee,theCentralSecretariatwillcheckwiththememberbodyinthecountryinwhich
theorganizationislocated.Ifthememberbodydoesnotagreethattheeligibilitycriteriahavebeenmet,thematterwillbereferredtotheTMBtodefinetheeligibility.
TheCentralSecretariatwillalsoensurethattheorganizationmeetsthefollowingeligibilitycriteria:
itisnotforprofit;
isalegalentitytheCentralSecretariatwillrequestacopyofitsstatutes;
itismembershipbasedandopentomembersworldwideoroverabroadregion;
throughitsactivitiesandmembershipdemonstratesthatithasthecompetenceandexpertisetocontributetothedevelopmentofInternationalStandardsortheauthority
topromotetheirimplementation;and
hasaprocessforstakeholderengagementandconsensusdecisionmakingtodeveloptheinputitprovidestoISO(seeGuidanceforISOliaisonorganizationsEngaging
stakeholdersandbuildingconsensushttp://www.iso.org/iso/guidance_liaisonorganizations.pdf).
1.17.3.2 Attheworkinggrouplevel(CategoryDliaisons)
Whenanorganizationappliesforaliaisonwithaworkinggroup,theCentralSecretariatwillcheckwiththememberbodyinthecountryinwhichtheorganizationislocated
andwillensurethattheorganizationmeetsthefollowingeligibilitycriteria:
itisnotforprofit;
throughitsactivitiesandmembershipdemonstratesthatithasthecompetenceandexpertisetocontributetothedevelopmentofInternationalStandardsortheauthority
topromotetheirimplementation;and
hasaprocessforstakeholderengagementandconsensusdecisionmakingtodeveloptheinputitprovidestoISO(seeGuidanceforISOliaisonorganizationsEngaging
stakeholdersandbuildingconsensushttp://www.iso.org/iso/guidance_liaisonorganizations.pdf).
1.17.4 Acceptance(CategoryA,BandDliaisons)
AgreementtoestablishcategoryA,BandDliaisonsrequiresapprovaloftheapplicationbytwothirdsofthePmembersvoting.
Committeesareurgedtoseekouttheparticipationofallpartiesatthebeginningofthedevelopmentofaworkitem.WherearequestforcategoryDliaisonissubmittedlate
inthedevelopmentstageofaparticularworkitem,thePmemberswillconsiderthevaluethatcanbeaddedbytheorganizationinquestiondespiteitslateinvolvementin
theworkinggroup.
1.17.5 Rightsandobligations
1.17.5.1 Atthetechnicalcommittee/subcommitteelevel(CategoryAandBliaisons)
Technicalcommitteesandsubcommitteesshallseekthefulland,ifpossible,formalbackingoftheorganizationshavingliaisonstatusforeachdocumentinwhichthelatteris
interested.
Anycommentsfromliaisonorganizationsshouldbegiventhesametreatmentascommentsfrommemberbodies.Itshouldnotbeassumedthatrefusalbyaliaison
organizationtoprovideitsfullbackingisasustainedopposition.Wheresuchobjectionsareconsideredsustainedoppositions,committeesareinvitedtorefertoclause2.5.6
forfurtherguidance.
1.17.5.2 Attheworkinggrouplevel(CategoryDliaisons)
CategoryDliaisonorganizationshavetherighttoparticipateasfullmembersinaworkinggroup,maintenanceteamorprojectteam(see1.12.1)butnotasprojectleadersor
convenors.
CategoryDliaisonexpertsactastheofficialrepresentativeoftheorganizationbywhichtheyareappointed.Theymayonlyattendcommitteeplenarymeetingsifexpressly
invitedbythecommitteetoattend.Iftheyareinvitedbythecommitteetoattend,theymayonlyattendasobservers.
1.17.6 Carryingoverliaisonswhenaprojectcommitteeisconvertedintoatechnicalcommitteeorasubcommittee
Whenaprojectcommitteeisconvertedtoatechnicalcommitteeorasubcommittee,thenewtechnicalcommitteeorsubcommitteeshallpassaresolutionconfirmingwhich
categoryAandBliaisonsarecarriedover.Approvaloftheresolutionrequiresa2/3majorityofPmembersvoting.
2 DevelopmentofInternationalStandards
2.1 Theprojectapproach
2.1.1 General
TheprimarydutyofatechnicalcommitteeorsubcommitteeisthedevelopmentandmaintenanceofInternationalStandards.However,committeesarealsostrongly
encouragedtoconsiderpublicationofintermediatedeliverablesasdescribedinClause3.
InternationalStandardsshallbedevelopedonthebasisofaprojectapproachasdescribedbelow.
2.1.2 Strategicbusinessplan
AnnexSCdescribestheobjectivesofstrategicbusinessplans,andtheprocedurethatappliestotheirdevelopmentandapproval.
Eachtechnicalcommitteeshallprepareastrategicbusinessplanforitsownspecificfieldofactivity,
a) takingintoaccountthebusinessenvironmentinwhichitisdevelopingitsworkprogramme;
b) indicatingthoseareasoftheworkprogrammewhichareexpanding,thosewhichhavebeencompleted,andthosenearingcompletionorinsteadyprogress,andthose
whichhavenotprogressedandshouldbedeleted(seealso2.1.9);
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c) evaluatingrevisionworkneeded(seealsotherespectiveSupplementstotheISO/IECDirectives);
d) givingaprospectiveviewonemergingneeds.
Thestrategicbusinessplanshallbeformallyagreeduponbythetechnicalcommitteeandbeincludedinitsreportforreviewandapprovalbythetechnicalmanagement
boardonaregularbasis.
NOTE
InISO,theTMBapprovesthefirststrategicbusinessplanonlyandcommitteesareresponsibleforensuringregularupdatesandrevisions.
2.1.3 Projectstages
2.1.3.1 Table1showsthesequenceofprojectstagesthroughwhichthetechnicalworkisdeveloped,andgivesthenameofthedocumentassociatedwitheachproject
stage.ThedevelopmentofTechnicalSpecifications,TechnicalReportsandPubliclyAvailableSpecificationsisdescribedinClause3.
Table1Projectstagesandassociateddocuments
Associateddocument
Projectstage
Name
Abbreviation
Preliminarystage
Preliminaryworkitem
PWI
Proposalstage
Newworkitemproposala
NP
Preparatorystage
Workingdraft(s)a
WD
Committeestage
Committeedraft(s)
Enquirystage
Enquirydraftb
ISO/DIS
IEC/CDV
Approvalstage
finaldraftInternationalStandardc
FDIS
Publicationstage
InternationalStandard
ISO,IECor
ISO/IEC
CD
Thesestagesmaybeomitted,asdescribedinAnnexF.
DraftInternationalStandardinISO,committeedraftforvoteinIEC.
c
Maybeomitted(see2.6.4).
b
2.1.3.2 F.1illustratesthestepsleadingtopublicationofanInternationalStandard.
2.1.3.3 TheISOandIECSupplementstotheISO/IECDirectivesgiveamatrixpresentationoftheprojectstages,withanumericaldesignationofassociatedsubstages.
Tofacilitatethemonitoringofprojectdevelopment,ISOhasadoptedasystematicapproachtoprojectmanagement,basedonsubdivisionofprojectsintostagesand
substages.
TheprojectmanagementsystemisassociatedwithadetailedprojecttrackingsystemthatisasubsetoftheHarmonizedStageCodesystemISOGuide69:1999Harmonized
StageCodesystem(Edition2)Principlesandguidelinesforuse.AnnexSDgivesamatrixpresentationofthisprojecttrackingsystem,withthenumericaldesignationof
associatedsubstages.AprojectisregisteredintheISOCentralSecretariatdatabaseashavingreachedeachparticularstepwhentheactionordecisionindicatedatthatpoint
hasbeentakenandISOCentralSecretariathasbeendulyinformed.
2.1.4 Projectdescriptionandacceptance
Aprojectisanyworkintendedtoleadtotheissueofanew,amendedorrevisedInternationalStandard.Aprojectmaysubsequentlybesubdivided(seealso2.1.5.4).
Aprojectshallbeundertakenonlyifaproposalhasbeenacceptedinaccordancewiththerelevantprocedures(see2.3forproposalsfornewworkitems,andtherespective
SupplementstotheISO/IECDirectivesforreviewandmaintenanceofexistingInternationalStandards).
2.1.5 Programmeofwork
2.1.5.1 Theprogrammeofworkofatechnicalcommitteeorsubcommitteecomprisesallprojectsallocatedtothattechnicalcommitteeorsubcommittee,including
maintenanceofpublishedstandards.
NOTE
Throughoutthefollowingtext,theexpressiontechnicalcommitteeorsubcommitteemeanssubcommitteeinallcaseswherethereexistsasubcommitteewithinwhosedefined
scopetheprojectinquestionmaybeconsideredtolie.
2.1.5.2 Inestablishingitsprogrammeofwork,eachtechnicalcommitteeorsubcommitteeshallconsidersectoralplanningrequirementsaswellasrequestsfor
InternationalStandardsinitiatedbysourcesoutsidethetechnicalcommittee,i.e.othertechnicalcommittees,advisorygroupsofthetechnicalmanagementboard,policylevel
committeesandorganizationsoutsideISOandIEC.(Seealso2.1.2.)
2.1.5.3 Projectsshallbewithintheagreedscopeofthetechnicalcommittee.Theirselectionshallbesubjecttoclosescrutinyinaccordancewiththepolicyobjectivesand
resourcesofISOandIEC.(SeealsoAnnexC.)
2.1.5.4 Eachprojectintheprogrammeofworkshallbegivenanumber(seeIECSupplementstotheISO/IECDirectivesfordocumentnumberingattheIEC)andshallbe
retainedintheprogrammeofworkunderthatnumberuntiltheworkonthatprojectiscompletedoritsdeletionhasbeenagreedupon.Thetechnicalcommitteeor
subcommitteemaysubdivideanumberifitissubsequentlyfoundnecessarytosubdividetheprojectitself.Thesubdivisionsoftheworkshallliefullywithinthescopeofthe
originalproject;otherwise,anewworkitemproposalshallbemade.
2.1.5.5 Theprogrammeofworkshallindicate,ifappropriate,thesubcommitteeand/orworkinggrouptowhicheachprojectisallocated.
2.1.5.6 Theagreedprogrammeofworkofanewtechnicalcommitteeshallbesubmittedtothetechnicalmanagementboardforapproval.
2.1.6 Targetdates
Thetechnicalcommitteeorsubcommitteeshallestablish,foreachprojectonitsprogrammeofwork,targetdatesforthecompletionofeachofthefollowingsteps:
completionofthefirstworkingdraft(intheeventthatonlyanoutlineofaworkingdocumenthasbeenprovidedbytheproposerofthenewworkitemproposalsee
2.3);
circulationofthefirstcommitteedraft;
circulationoftheenquirydraft;
circulationofthefinaldraftInternationalStandard(inagreementwiththeofficeoftheCEO);
publicationoftheInternationalStandard(inagreementwiththeofficeoftheCEO).
NOTE
Committeesmaydecidetoskipthecommitteedraft(CD)stageinaccordancewithAnnexSS.ThefinaldraftInternationalStandard(FDIS)isnowskippedbydefaultinaccordance
with2.6.4.
ThesetargetdatesshallcorrespondtotheshortestpossibledevelopmenttimestoproduceInternationalStandardsrapidlyandshallbereportedtotheofficeoftheCEO,
whichdistributestheinformationtoallnationalbodies.Forestablishmentoftargetdates,seetherespectiveSupplementstotheISO/IECDirectives.
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Inestablishingtargetdates,therelationshipsbetweenprojectsshallbetakenintoaccount.PriorityshallbegiventothoseprojectsintendedtoleadtoInternationalStandards
uponwhichotherInternationalStandardswilldependfortheirimplementation.Thehighestpriorityshallbegiventothoseprojectshavingasignificanteffecton
internationaltradeandrecognizedassuchbythetechnicalmanagementboard.
Thetechnicalmanagementboardmayalsoinstructthesecretariatofthetechnicalcommitteeorsubcommitteeconcernedtosubmitthelatestavailabledrafttotheofficeof
theCEOforpublicationasaTechnicalSpecification(see3.1).
Alltargetdatesshallbekeptundercontinuousreviewandamendedasnecessary,andshallbeclearlyindicatedintheprogrammeofwork.Revisedtargetdatesshallbe
notifiedtothetechnicalmanagementboard.Thetechnicalmanagementboardwillcancelallworkitemswhichhavebeenontheworkprogrammeformorethan5yearsand
havenotreachedtheapprovalstage(see2.7).
2.1.6.1General
Whenaproposednewprojectisapproved(whetherforanewdeliverableorfortherevisionofanexistingdeliverable),whensubmittingtheresultstotheISOCentral
Secretariatthecommitteesecretariatshallalsoindicatetheselectedstandardsdevelopmenttrack,asfollows(alltargetdatesarecalculatedfromthedateofadoptionasan
approvedproject,AWI(approvedworkitem),stage10.99):
NOTE
Thedeadlinesforthevariousstageswithinthedevelopmenttracksshallbeestablishedonacasebycasebasis.
Acceleratedstandardsdevelopmenttrack24monthstopublication
Defaultstandardsdevelopmenttrack36monthstopublication
Enlargedstandardsdevelopmenttrack48monthstopublication
Thetargetdatesshallbekeptundercontinuousreviewbycommitteesecretariatswhichshallensurethattheyarereviewedandeitherconfirmedorrevisedateach
committeemeeting.Suchreviewsshallalsoseektoconfirmthatprojectsarestillmarketrelevantandincasesinwhichtheyarefoundtobenolongerrequired,orifthelikely
completiondateisgoingtobetoolate,thuscausingmarketplayerstoadoptanalternativesolution,theprojectsshallbecancelled.
2.1.6.2Automaticcancellationofprojects(andtheirreinstatement)
Forprojectsapprovedonorafter1September2003,ifthetargetdateforDIS(stage40.00)orFDIS(stage50.00)isexceeded,thecommitteeshalldecidewithin6monthson
oneofthefollowingactions:
a) projectsatthepreparatoryorcommitteestages:submissionofaDISifthetechnicalcontentisacceptableandmature;projectsattheenquirystage:submissionofa
secondDISorFDISifthetechnicalcontentisacceptableandmature;
b) publicationofaTSifthetechnicalcontentisacceptablebutunlikelysufficientlymatureforafutureInternationalStandard;
c) publicationofaPASifthetechnicalcontentisacceptablebutunlikelysufficientlymatureforafutureInternationalStandardoraTS;
d) publicationofaTRifthetechnicalcontentisnotconsideredtobeacceptableforpublicationasaTSorforafutureInternationalStandardbutisnevertheless
consideredtobeofinteresttothepublic;
e) submissionofarequestforextensiontotheISO/TMBifnoconsensuscanbereachedbutthereisstronginterestfromstakeholderstocontinueacommitteemaybe
grantedoneextensionofupto9monthsforthetotalprojectdurationbutthepublicationofintermediarydeliverables(suchasPASandTS)isrecommended;
f) deletionoftheworkitemifthecommitteeisunabletofindasolution.
If,attheendofthesixmonthperiod,noneoftheaboveactionshasbeentaken,theprojectshallbeautomaticallycancelledbytheISOCentralSecretariat.Projectssodeleted
mayonlybereinstatedwiththeapprovaloftheISOTechnicalManagementBoard.
2.1.7 Projectmanagement
Thesecretariatofthetechnicalcommitteeorsubcommitteeisresponsibleforthemanagementofallprojectsintheprogrammeofworkofthattechnicalcommitteeor
subcommittee,includingmonitoringoftheirprogressagainsttheagreedtargetdates.
Iftargetdates(see2.1.6)arenotmetandthereisinsufficientsupportforthework(thatis,theacceptancerequirementsfornewworkgivenin2.3.5arenolongermet),the
committeeresponsibleshallcanceltheworkitem.
2.1.8 Projectleader
Forthedevelopmentofeachproject,aprojectleader(theWGconvenor,adesignatedexpertor,ifappropriate,thesecretary)shallbeappointedbythetechnicalcommitteeor
subcommittee,takingintoaccounttheprojectleadernominationmadebytheproposerofthenewworkitemproposal(see2.3.4).Itshallbeascertainedthattheproject
leaderwillhaveaccesstoappropriateresourcesforcarryingoutthedevelopmentwork.Theprojectleadershallactinapurelyinternationalcapacity,divestinghimor
herselfofanationalpointofview.Theprojectleadershouldbepreparedtoactasconsultant,whenrequired,regardingtechnicalmattersarisingattheproposalstage
throughtothepublicationstage(see2.5to2.8).
Thesecretariatshallcommunicatethenameandaddressoftheprojectleader,withidentificationoftheprojectconcerned,totheofficeoftheCEO.
2.1.9 Progresscontrol
Periodicalprogressreportstothetechnicalcommitteeshallbemadebyitssubcommitteesandworkinggroups(seealsoISOandIECSupplementstotheISO/IECDirectives).
Meetingsbetweentheirsecretariatswillassistincontrollingtheprogress.
TheofficeoftheCEOshallmonitortheprogressofallworkandshallreportperiodicallytothetechnicalmanagementboard.Forthispurpose,theofficeoftheCEOshall
receivecopiesofdocumentsasindicatedintheISOandIECSupplementstotheISO/IECDirectives.
ToenableISOCentralSecretariattomonitortheprogressofallworkandtoreportperiodicallytotheISOTechnicalManagementBoard,thecommitteesecretariatshall
ensurethattheISOCentralSecretariatisnotifiedeachtimeanewdocumentisdistributed.
2.1.10Responsibilityforkeepingrecords
TheresponsibilityforkeepingrecordsconcerningcommitteeworkandthebackgroundtothepublicationofInternationalStandardsandotherISOdeliverablesisdivided
betweencommitteesecretariatsandtheISOCentralSecretariat.Themaintenanceofsuchrecordsisofparticularimportanceinthecontextofchangesofsecretariat
responsibilityfromonememberbodytoanother.Itisalsoimportantthatinformationonkeydecisionsandimportantcorrespondencepertainingtothepreparationof
InternationalStandardsandotherISOdeliverablesshouldbereadilyretrievableintheeventofanydisputearisingoutoftheprovenanceofthetechnicalcontentofthe
publications.
Thesecretariatsofcommitteesshallestablishandmaintainrecordsofallofficialtransactionsconcerningtheircommittees,inparticularreferencecopiesofapproved
minutesofmeetingsandresolutions.Copiesofworkingdocuments,resultsofballotsetc.shallbekeptatleastuntilsuchtimeasthepublicationstowhichtheyreferhave
beenrevisedorhavecompletedtheirnextsystematicreview,butinanycaseforaminimumoffiveyearsafterthepublicationoftherelatedInternationalStandardsorother
ISOdeliverable.
TheISOCentralSecretariatshallkeepreferencecopiesofallInternationalStandardsandotherISOdeliverables,includingwithdrawneditions,andshallkeepuptodate
recordsofmemberbodyvotesinrespectofthesepublications.CopiesofdraftInternationalStandards(DIS)andoffinaldraftInternationalStandards(FDIS),including
associatedreportsofvoting,andfinalproofsshallbekeptatleastuntilsuchtimeasthepublicationstowhichtheyreferhavebeenrevisedorhavecompletedtheirnext
systematicreview,butinanycaseforaminimumoffiveyearsafterpublication.
2.2 Preliminarystage
2.2.1 Technicalcommitteesorsubcommitteesmayintroduceintotheirworkprogrammes,byasimplemajorityvoteoftheirPmembers,preliminaryworkitems(for
example,correspondingtosubjectsdealingwithemergingtechnologies),whicharenotyetsufficientlymatureforprocessingtofurtherstagesandforwhichnotargetdates
canbeestablished.
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Suchitemsmayinclude,forexample,thoselistedinthestrategicbusinessplan,particularlyasgivenunder2.1.2d)givingaprospectiveviewonemergingneeds.
2.2.2 Allpreliminaryworkitemsshallberegisteredintotheprogrammeofwork.
2.2.3 Allpreliminaryworkitemsshallbesubjecttoregularreviewbythecommittee.Thecommitteeshallevaluatethemarketrelevanceandresourcesrequiredforall
suchitems.
AllpreliminaryworkitemsthathavenotprogressedtotheproposalstageintheIECbytheexpirationdategivenbytheTC/SCandinISOwithin3yearswillbeautomatically
deletedfromtheprogrammeofwork.
2.2.4 Thisstagecanbeusedfortheelaborationofanewworkitemproposal(see2.3)andthedevelopmentofaninitialdraft.
2.2.5 Beforeprogressingtothepreparatorystage,allsuchitemsshallbesubjecttoapprovalinaccordancewiththeproceduresdescribedin2.3.
2.3 Proposalstage
Inthecaseofproposalstopreparemanagementsystemdeliverables,seeAnnexSL.
2.3.1 Anewworkitemproposal(NP)isaproposalfor:
anewstandard;
anewpartofanexistingstandard;
aTechnicalSpecification(see3.1)oraPubliclyAvailableSpecification(see3.2).
TheNWIPstage(clause2.3)isnotrequiredfortherevisionoramendmentofanexistingstandardoraTS(oraPASifwithinits6yearlifespan)providedthatthecommittee
passesaresolutioncontainingthefollowingelements:1)targetdates,2)confirmationofscope,and3)theconvenororprojectleader.Thecommitteemusthoweverlauncha
callforexperts.(Form4isnotrequired).
Iftherevisionortheamendmentresultsinanexpandedscope,2.3applies(NWIPballotshallbeinitiatedandForm4isrequired).
2.3.2 Anewworkitemproposalwithinthescopeofanexistingtechnicalcommitteeorsubcommitteemaybemadeintherespectiveorganizationby
anationalbody;
thesecretariatofthattechnicalcommitteeorsubcommittee;
anothertechnicalcommitteeorsubcommittee;
anorganizationinliaison(inISO,onlycategoryAliaisons);
thetechnicalmanagementboardoroneofitsadvisorygroups;
theChiefExecutiveOfficer.
2.3.3 WherebothanISOandanIECtechnicalcommitteeareconcerned,theChiefExecutiveOfficersshallarrangeforthenecessarycoordination.(SeealsoAnnexB.)
2.3.4 Eachnewworkitemproposalshallbepresentedusingtheappropriateform,andshallbefullyjustifiedandproperlydocumented(seeAnnexC).
Theproposersofthenewworkitemproposalshall
makeeveryefforttoprovideafirstworkingdraftfordiscussion,orshallatleastprovideanoutlineofsuchaworkingdraft;
nominateaprojectleader.
TheformshallbesubmittedtotheofficeoftheCEOortothesecretariatoftherelevantcommitteeforproposalswithinthescopeofanexistingcommittee.
TheofficeoftheCEOortherelevantcommitteechairandsecretariatshallensurethattheproposalisproperlydevelopedinaccordancewithISOandIECrequirements(see
AnnexC)andprovidessufficientinformationtosupportinformeddecisionmakingbynationalbodies.
TheOfficeoftheCEOortherelevantcommitteechairandsecretariatshallalsoassesstherelationshipoftheproposaltoexistingwork,andmayconsultinterestedparties,
includingthetechnicalmanagementboardorcommitteesconductingrelatedexistingwork.Ifnecessary,anadhocgroupmaybeestablishedtoexaminetheproposal.Any
reviewofproposalsshouldnotexceed2weeks.
Inallcases,theOfficeoftheCEOortherelevantcommitteechairandsecretariatmayalsoincludecommentsandrecommendationstotheproposalform.
SeeannexKfornewworkitemproposalsforprojectcommittees.
CopiesofthecompletedformshallbecirculatedtothemembersofthetechnicalcommitteeorsubcommitteeforPmemberballotandtotheOmembersforinformation.
Theproposeddateofavailabilityofthepublicationshallbeindicatedontheform.
Adecisionuponanewworkitemproposalmaybetakeneitherbycorrespondenceoratameetingofatechnicalcommitteeorsubcommittee.
Ifadecisionuponanewworkitemproposalistobetakenatameeting,theproposalshallbeputontheagenda,accordingtotheconditionsof4.2.1.
Votesshallbereturnedwithin3monthsoratthemeetingatwhichthedecisionistobetaken.
Thecommitteemaydecideonacasebycasebasisbywayofaresolutiontoshortenthevotingperiodfornewworkitemproposalsto2months.
Whencompletingtheballotform,nationalbodiesshallprovideastatementjustifyingtheirdecision(justificationstatement).Ifnosuchstatementisprovided,thepositive
ornegativevoteofanationalbodywillnotberegisteredandconsidered.
2.3.5 Acceptancerequires
a) approvaloftheworkitembyasimplemajorityofthePmembersofthetechnicalcommitteesorsubcommitteesvotingabstentionsareexcludedwhenthevotesare
counted;and
b) acommitmenttoparticipateactivelyinthedevelopmentoftheproject,i.e.tomakeaneffectivecontributionatthepreparatorystage,bynominatingtechnicalexpertsand
bycommentingonworkingdrafts,byatleast4Pmembersincommitteeswith16orlessPmembers,andatleast5Pmembersincommitteeswith17ormoreP
members;onlyPmembershavingalsoapprovedtheinclusionoftheworkitemintheprogrammeofwork[seea)]willbetakenintoaccountwhenmakingthistally.If
expertsarenotnominatedontheformaccompanyinganapprovalvote,thenthenationalbody'scommitmenttoactiveparticipationwillnotberegisteredandconsidered
whendeterminingiftheapprovalcriteriahavebeenmetonthisballot.
IfinthecontextofanNWIP,amemberbodydoesnotprovideaclearjustificationstatementforwhyitvotedyesorno,thecommitteesecretariatshouldgobacktothe
memberbodyandgiveittwo(2)weekstoprovideanexplanation.
Ifthememberbodydoesnotprovidearesponsewithinthat2weekperiod,thevotewillnotbecountedintheresult.
Secretariatsmustnotmakevaluejudgmentsaboutthejustificationandmustaskthememberbodyincaseofdoubt.
IfmemberbodiesdonotnameanexpertintheForm,theyhavetwo(2)weeksfollowingtheresultofthevotetonametheirexpert.Ifthisdelayisnotrespected,themember
body'svotewillnotbecounted.
Individualcommitteesmayincreasethisminimumrequirementofnominatedexperts.
Incases,whereitcanbedocumentedthattheindustryand/ortechnicalknowledgeexistsonlywithaverysmallnumberofPmembers,thenthecommitteemayrequest
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permissionfromthetechnicalmanagementboardtoproceedwithfewerthan4or5nominatedtechnicalexperts.
2.3.6 Onceanewworkitemproposalisaccepted,itshallberegisteredintheprogrammeofworkoftherelevanttechnicalcommitteeorsubcommitteeasanewproject
withtheappropriatepriorityandshallberegisteredbytheofficeoftheCEO.Theagreedtargetdates(see2.1.6)shallbeindicatedontheappropriateform.
ThevotingresultswillbereportedtotheISOCentralSecretariat(usingForm6)ortheIECCentralOffice(usingFormRVN)within6weeksafterthecloseoftheballot.
2.3.7 Theinclusionoftheprojectintheprogrammeofworkconcludestheproposalstage.
2.4 Preparatorystage
2.4.1 Thepreparatorystagecoversthepreparationofaworkingdraft(WD)conformingtotheISO/IECDirectives,Part2.
2.4.2 WhenanewprojectisacceptedtheprojectleadershallworkwiththeexpertsnominatedbythePmembersduringtheapproval[see2.3.5a)].
2.4.3 Thesecretariatmayproposetothetechnicalcommitteeorsubcommittee,eitheratameetingorbycorrespondence,tocreateaworkinggrouptheconvenorofwhich
willnormallybetheprojectleader.
Suchaworkinggroupshallbesetupbythetechnicalcommitteeorsubcommittee,whichshalldefinethetask(s)andsetthetargetdate(s)forsubmissionofdraft(s)tothe
technicalcommitteeorsubcommittee(seealso1.12).Theworkinggroupconvenorshallensurethattheworkundertakenremainswithinthescopeoftheballotedworkitem.
2.4.4 InrespondingtotheproposaltosetupaworkinggroupthosePmembershavingagreedtoparticipateactively[see2.3.5a)]shalleachconfirmtheirtechnical
expert(s).OtherPmembersorAorDliaisonorganizationsmayalsonominateexpert(s).
2.4.5 Theprojectleaderisresponsibleforthedevelopmentoftheprojectandwillnormallyconveneandchairanymeetingsoftheworkinggroup.S/hemayinvitea
memberoftheworkinggrouptoactasitssecretary.
2.4.6 EverypossibleeffortshallbemadetopreparebothaFrenchandanEnglishversionofthetextinordertoavoiddelaysinthelaterstagesofthedevelopmentofthe
project.
Ifatrilingual(EnglishFrenchRussian)standardistobeprepared,thisprovisionshouldincludetheRussianversion.
2.4.7 Fortimelimitsrelatingtothisstage,see2.1.6.
2.4.8 Thepreparatorystageendswhenaworkingdraftisavailableforcirculationtothemembersofthetechnicalcommitteeorsubcommitteeasafirstcommitteedraft
(CD)andisregisteredbytheofficeoftheCEO.ThecommitteemayalsodecidetopublishthefinalworkingdraftasaPAS(see3.2)torespondparticularmarketneeds.
IfthecommitteehasoptedtoskiptheCD(see2.5),thepreparatorystageendswhentheenquirydraft(DIS)isavailableforcirculation(see2.6).
2.5 Committeestage
2.5.1 Thecommitteestageistheprincipalstageatwhichcommentsfromnationalbodiesaretakenintoconsideration,withaviewtoreachingconsensusonthetechnical
content.Nationalbodiesshallthereforecarefullystudythetextsofcommitteedraftsandsubmitallpertinentcommentsatthisstage.
CommitteesmaydecidetoskiptheCDstageinaccordancewithAnnexSS.
AnygraphicalsymbolshallbesubmittedtotherelevantISOcommitteeresponsiblefortheregistrationofgraphicalsymbols(seeAnnexSH).
2.5.2 Assoonasitisavailable,acommitteedraftshallbecirculatedtoallPmembersandOmembersofthetechnicalcommitteeorsubcommitteeforconsideration,witha
clearindicationofthelatestdateforsubmissionofreplies.
Aperiodof2,3or4monthsasagreedbythetechnicalcommitteeorsubcommitteeshallbeavailablefornationalbodiestocomment.
ThedefaultforCDcirculationis2months.
Commentsshallbesentforpreparationofthecompilationofcomments,inaccordancewiththeinstructionsgiven.
Nationalbodiesshallfullybrieftheirdelegatesonthenationalpositionbeforemeetings.
2.5.3 Nomorethan4weeksaftertheclosingdateforsubmissionofreplies,thesecretariatshallpreparethecompilationofcommentsandarrangeforitscirculationtoall
PmembersandOmembersofthetechnicalcommitteeorsubcommittee.Whenpreparingthiscompilation,thesecretariatshallindicateitsproposal,madeinconsultation
withthechairofthetechnicalcommitteeorsubcommitteeand,ifnecessary,theprojectleader,forproceedingwiththeproject,either
a) todiscussthecommitteedraftandcommentsatthenextmeeting,or
b) tocirculatearevisedcommitteedraftforconsideration,or
c) toregisterthecommitteedraftfortheenquirystage(see2.6).
Inthecaseofb)andc),thesecretariatshallindicateinthecompilationofcommentstheactiontakenoneachofthecommentsreceived.ThisshallbemadeavailabletoallP
members,ifnecessarybythecirculationofarevisedcompilationofcomments,nolaterthaninparallelwiththesubmissionofarevisedCDforconsiderationbythe
committee(caseb)orsimultaneouslywiththesubmissionofthefinalizedversionofthedrafttotheofficeoftheCEOforregistrationfortheenquirystage(casec).
Committeesarerequiredtorespondtoallcommentsreceived.
If,within2monthsfromthedateofdispatch,2ormorePmembersdisagreewithproposalb)orc)ofthesecretariat,thecommitteedraftshallbediscussedatameeting(see
4.2.1.3).
2.5.4 Ifacommitteedraftisconsideredatameetingbutagreementonitisnotreachedonthatoccasion,afurthercommitteedraftincorporatingdecisionstakenatthe
meetingshallbedistributedwithin3monthsforconsideration.Aperiodof2,3or4monthsasagreedbythetechnicalcommitteeorsubcommitteeshallbeavailableto
nationalbodiestocommentonthedraftandonanysubsequentversions.
2.5.5 ConsiderationofsuccessivedraftsshallcontinueuntilconsensusofthePmembersofthetechnicalcommitteeorsubcommitteehasbeenobtainedoradecisionto
abandonordefertheprojecthasbeenmade.
2.5.6 Thedecisiontocirculateanenquirydraft(see2.6.1)shallbetakenonthebasisoftheconsensusprinciple.
Itistheresponsibilityofthechairofthetechnicalcommitteeorsubcommittee,inconsultationwiththesecretaryofhiscommitteeand,ifnecessary,theprojectleader,to
judgewhetherthereissufficientsupportbearinginmindthedefinitionofconsensusgiveninISO/IECGuide2:2004.
consensus:Generalagreement,characterizedbytheabsenceofsustainedoppositiontosubstantialissuesbyanyimportantpartoftheconcernedinterestsandbya
processthatinvolvesseekingtotakeintoaccounttheviewsofallpartiesconcernedandtoreconcileanyconflictingarguments.
NOTEConsensusneednotimplyunanimity.
Thefollowingappliestothedefinitionofconsensus:
Intheprocessofreachingconsensus,manydifferentpointsofviewswillbeexpressedandaddressedasthedocumentevolves.However,sustainedoppositionsareviews
expressedatminutedmeetingsofcommittee,workinggroup(WG)orothergroups(e.g.taskforces,advisorygroups,etc.)andwhicharemaintainedbyanimportantpartof
theconcernedinterestandwhichareincompatiblewiththecommitteeconsensus.Thenotionofconcernedinterest(s)willvarydependingonthedynamicsofthe
committeeandmustthereforebedeterminedbythecommitteeleadershiponacasebycasebasis.Theconceptofsustainedoppositionisnotapplicableinthecontextof
memberbodyvotesonCD,DISorFDISsincethesearesubjecttotheapplicablevotingrules.
Thoseexpressingsustainedoppositionshavearighttobeheardandthefollowingapproachisrecommendedwhenasustainedoppositionisdeclared:
Theleadershipmustfirstassesswhethertheoppositioncanbeconsideredasustainedopposition,i.e.whetherithasbeensustainedbyanimportantpartofthe
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concernedinterest.Ifthisisnotthecase,theleadershipwillregistertheopposition(i.e.intheminutes,records,etc.)andcontinuetoleadtheworkonthedocument.
Iftheleadershipdeterminesthatthereisasustainedopposition,itisrequiredtotryandresolveitingoodfaith.However,asustainedoppositionisnotakintoarightto
veto.Theobligationtoaddressthesustainedoppositionsdoesnotimplyanobligationtosuccessfullyresolvethem.
Theresponsibilityforassessingwhetherornotconsensushasbeenreachedrestsentirelywiththeleadership.Thisincludesassessingwhetherthereissustainedopposition
orwhetheranysustainedoppositioncanberesolvedwithoutcompromisingtheexistinglevelofconsensusontherestofthedocument.Insuchcases,theleadershipwill
registertheoppositionandcontinuethework.
ThosepartieswithsustainedoppositionsmayavailthemselvesofappealsmechanismsasdetailedinClause5.
WithinISOandJTC1,incaseofdoubtconcerningconsensus,approvalbyatwothirdsmajorityofthePmembersofthetechnicalcommitteeorsubcommitteevotingmaybe
deemedtobesufficientforthecommitteedrafttobeacceptedforregistrationasanenquirydraft;howevereveryattemptshallbemadetoresolvenegativevotes.
Abstentionsareexcludedwhenthevotesarecounted,aswellasnegativevotesnotaccompaniedbytechnicalreasons.
Thesecretariatofthetechnicalcommitteeorsubcommitteeresponsibleforthecommitteedraftshallensurethattheenquirydraftfullyembodiesdecisionstakeneitherat
meetingsorbycorrespondence.
2.5.7 Whenconsensushasbeenreachedinatechnicalcommitteeorsubcommittee,itssecretariatshallsubmitthefinalizedversionofthedraftinelectronicformsuitable
fordistributiontothenationalmembersforenquiry(2.6.1),totheofficeoftheCEO(withacopytothetechnicalcommitteesecretariatinthecaseofasubcommittee)within
amaximumof4months.
ThesecretariatshallsubmittheproposeddraftInternationalStandard(DIS)totheISOCentralSecretariatinelectronicformattogetherwithacompletedexplanatoryreport
(ISOform8A)andthecompilationofcommentsandactionstakeninresponsetocommentsonthefinalCD.
2.5.8 Fortimelimitsrelatingtothisstage,see2.1.6.
2.5.9 Thecommitteestageendswhenalltechnicalissueshavebeenresolvedandacommitteedraftisacceptedforcirculationasanenquirydraftandisregisteredbythe
officeoftheCEO.TextsthatdonotconformtotheISO/IECDirectives,Part2shallbereturnedtothesecretariatwitharequestforcorrectionbeforetheyareregistered.
2.5.10 Ifthetechnicalissuescannotallberesolvedwithintheappropriatetimelimits,technicalcommitteesandsubcommitteesmaywishtoconsiderpublishingan
intermediatedeliverableintheformofaTechnicalSpecification(see3.1)pendingagreementonanInternationalStandard.
2.6 Enquirystage
2.6.1 Attheenquirystage,theenquirydraft(DISinISO,CDVinIEC)shallbecirculatedbytheofficeoftheCEOtoallnationalbodiesfora3monthvote.
NOTE
IntheIEC,theTC/SCconcernedmaydecide,onacasebycasebasis,toextendthevotingperiodto5months.
Forpolicyontheuseoflanguages,seeAnnexE.
NationalbodiesshallbeadvisedofthedatebywhichcompletedballotsaretobereceivedbytheofficeoftheCEO.
Attheendofthevotingperiod,theChiefExecutiveOfficershallsendwithin4weekstothechairandsecretariatofthetechnicalcommitteeorsubcommitteetheresultsofthe
votingtogetherwithanycommentsreceived,forfurtherspeedyaction.
2.6.2 Votessubmittedbynationalbodiesshallbeexplicit:positive,negative,orabstention.
Apositivevotemaybeaccompaniedbyeditorialortechnicalcomments,ontheunderstandingthatthesecretary,inconsultationwiththechairofthetechnicalcommitteeor
subcommitteeandprojectleader,willdecidehowtodealwiththem.
Ifanationalbodyfindsanenquirydraftunacceptable,itshallvotenegativelyandstatethetechnicalreasons.Itmayindicatethattheacceptanceofspecifiedtechnical
modificationswillchangeitsnegativevotetooneofapproval,butitshallnotcastanaffirmativevotewhichisconditionalontheacceptanceofmodifications.
2.6.3 Anenquirydraftisapprovedif
a) atwothirdsmajorityofthevotescastbythePmembersofthetechnicalcommitteeorsubcommitteeareinfavour,and
b) notmorethanonequarterofthetotalnumberofvotescastarenegative.
Abstentionsareexcludedwhenthevotesarecounted,aswellasnegativevotesnotaccompaniedbytechnicalreasons.
Commentsreceivedafterthenormalvotingperiodaresubmittedtothetechnicalcommitteeorsubcommitteesecretariatforconsiderationatthetimeofthenextreviewof
theInternationalStandard.
2.6.4 Onreceiptoftheresultsofthevotingandanycomments,thechairofthetechnicalcommitteeorsubcommittee,incooperationwithitssecretariatandtheproject
leader,andinconsultationwiththeofficeoftheCEO,shalltakeoneofthefollowingcoursesofaction:
a) whentheapprovalcriteriaof2.6.3aremet,inIECtoregistertheenquirydraft,asmodified,asafinaldraftInternationalStandard,orinISOtoproceedtopublication(see
2.8).
NOTE1
ThereisanoptiontoincludetheFDISstage.
OptionalFDISimplementation
WheretheDISmeetsthenecessaryapprovalcriteria,theprojectproceedstopublication.However,thecommitteeleadershipcandecidetoincludetheFDISstageifneeded.
Thecommitteeleadershipshouldtakethisdecisionbasedonthefollowing,andinformthecommitteemembersaccordingly:
TheDISvotingresultsandcomments
Knowledgeofthecommitteeandsubjectarea
TheISOGlobalRelevancepolicy
NOTE
SeeAnnexSMGlobalrelevanceofISOtechnicalworkandpublications.
Thismeansthatifasignificantnumberofcountries,withamajorinterestinthesubjectareamakecommentsatDISwhichresultinsubstantialtechnicalchanges,then
furtherworkandanFDISvoteisrequired.
ProjectsbeingcarriedoutundertheViennaAgreementusuallygothroughanFDISvote.
b) inthecaseofanenquirydraftwherenonegativevoteshavebeenreceived,toproceeddirectlytopublication,or
c) whentheapprovalcriteriaof2.6.3arenotmet;
1) tocirculatearevisedenquirydraftforvoting(see2.6.1),or
NOTE
Arevisedenquirydraftwillbecirculatedforavotingperiodof2months,whichmaybeextendedupto5monthsinIECandupto3monthsinISOattherequestofoneormoreP
membersofthecommitteeconcerned.
2) tocirculatearevisedcommitteedraftforcomments,or
3) todiscusstheenquirydraftandcommentsatthenextmeeting.
2.6.5 Notlaterthan3monthsaftertheendofthevotingperiod,afullreportshallbepreparedbythesecretariatofthetechnicalcommitteeorsubcommitteeandcirculated
bytheofficeoftheCEOtothenationalbodies.Thereportshall
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a) showtheresultofthevoting;
b) statethedecisionofthechairofthetechnicalcommitteeorsubcommittee;
c) reproducethetextofthecommentsreceived;and
d) includetheobservationsofthesecretariatofthetechnicalcommitteeorsubcommitteeoneachofthecommentssubmitted.
Everyattemptshallbemadetoresolvenegativevotes.
If,within2monthsfromthedateofdispatch,twoormorePmembersdisagreewithdecision2.6.4c)1)or2.6.4c)2)ofthechair,thedraftshallbediscussedatameeting(see
4.2.1.3).
Committeesarerequiredtorespondtoallcommentsreceived.
2.6.6 Whenthechairhastakenthedecisiontoproceedtotheapprovalstage(see2.7)orpublicationstage(see2.8),thesecretariatofthetechnicalcommitteeor
subcommitteeshallprepare,withinamaximumof4monthsaftertheendofthevotingperiodandwiththeassistanceofitseditingcommittee,afinaltextandsendittothe
officeoftheCEOforpreparationandcirculationofthefinaldraftInternationalStandard.
ThesecretariatshallprovidetheofficeoftheCEOwiththetextinarevisableelectronicformatandalsoinaformatwhichpermitsvalidationoftherevisableform.
TextsthatdonotconformtotheISO/IECDirectives,Part2shallbereturnedtothesecretariatwitharequestforcorrectionbeforetheyareregistered.
TherevisedtextshallbesubmittedtoISOCentralSecretariatinelectronicformattogetherwiththedecisionofthechairtakenasaresultofthevoting,usingISOForm13,and
includingadetailedindicationofthedecisionstakenforeachcommentasAnnexBtotheISOForm13.
2.6.7 Fortimelimitsrelatingtothisstage,see2.1.6.
2.6.8 Theenquirystageendswiththeregistration,bytheofficeoftheCEO,ofthetextforcirculationasafinaldraftInternationalStandardorpublicationasan
InternationalStandard,inthecaseof2.6.4a)andb).
2.7 Approvalstage
2.7.1 Attheapprovalstage,thefinaldraftInternationalStandard(FDIS)shallbedistributedbytheofficeoftheCEOwithin3monthstoallnationalbodiesfora2month
vote.
NationalbodiesshallbeadvisedofthedatebywhichballotsaretobereceivedbytheofficeoftheCEO.
2.7.2 Votessubmittedbynationalbodiesshallbeexplicit:positive,negative,orabstention.
Ifanationalbodyvotesaffirmatively,itshallnotsubmitanycomments.
IfanationalbodyfindsafinaldraftInternationalStandardunacceptable,itshallvotenegativelyandstatethetechnicalreasons.Itshallnotcastanaffirmativevotethatis
conditionalontheacceptanceofmodifications.
2.7.3 AfinaldraftInternationalStandardhavingbeencirculatedforvotingisapprovedif
a) atwothirdsmajorityofthevotescastbythePmembersofthetechnicalcommitteeorsubcommitteeareinfavour,and
b) notmorethanonequarterofthetotalnumberofvotescastarenegative.
Abstentionsareexcludedwhenthevotesarecounted,aswellasnegativevotesnotaccompaniedbytechnicalreasons.
Technicalreasonsfornegativevotesaresubmittedtothetechnicalcommitteeorsubcommitteesecretariatforconsiderationatthetimeofthenextreviewofthe
InternationalStandard.
2.7.4 Thesecretariatofthetechnicalcommitteeorsubcommitteehastheresponsibilityofbringinganyerrorsthatmayhavebeenintroducedinthepreparationofthe
drafttotheattentionoftheofficeoftheCEObytheendofthevotingperiod;furthereditorialortechnicalamendmentsarenotacceptableatthisstage.
2.7.5 Within2weeksaftertheendofthevotingperiod,theofficeoftheCEOshallcirculatetoallnationalbodiesareportshowingtheresultofvotingandindicatingeither
theformalapprovalbynationalbodiestoissuetheInternationalStandardorformalrejectionofthefinaldraftInternationalStandard.
Technicalreasonsfornegativevotesshallbeappendedforinformationonly.
2.7.6 IfthefinaldraftInternationalStandardhasbeenapprovedinaccordancewiththeconditionsof2.7.3,itshallproceedtothepublicationstage(see2.8).
2.7.7 IfthefinaldraftInternationalStandardisnotapprovedinaccordancewiththeconditionsin2.7.3,thedocumentshallbereferredbacktothetechnicalcommitteeor
subcommitteeconcernedforreconsiderationinthelightofthetechnicalreasonssubmittedinsupportofthenegativevotes.
Thecommitteemaydecideto:
resubmitamodifieddraftasacommitteedraft,enquirydraftor,inISOandJTC1,finaldraftInternationalStandard;
publishaTechnicalSpecification(see3.1);
canceltheproject.
2.7.8 Theapprovalstageendswiththecirculationofthevotingreport(see2.7.5)statingthattheFDIShasbeenapprovedforpublicationasanInternationalStandard,with
thepublicationofaTechnicalSpecification(see3.1.1.2),orwiththedocumentbeingreferredbacktothecommittee.
2.8 Publicationstage
2.8.1 Within1monthinISOand1,5monthsinIEC,theofficeoftheCEOshallcorrectanyerrorsindicatedbythesecretariatofthetechnicalcommitteeorsubcommittee,
andprintanddistributetheInternationalStandard.
2.8.2 ThepublicationstageendswiththepublicationoftheInternationalStandard.
2.9 Maintenanceofdeliverables
TheproceduresforthemaintenanceofdeliverablesaregivenintherespectiveSupplementstotheISO/IECDirectives.
2.9.1Introduction
EveryInternationalStandardandotherdeliverablepublishedbyISOorjointlywithIECshallbesubjecttosystematicreviewinordertodeterminewhetheritshouldbe
confirmed,revised/amended,convertedtoanotherformofdeliverable,orwithdrawn,accordingtoTableS1.
TableS1Timingofsystematicreviews
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Deliverable
Max.elapsedtimebeforesystematic
review
Max.numberoftimesdeliverable
maybeconfirmed
Max.life
InternationalStandard
5years
Notlimited
Notlimited
TechnicalSpecification
(see3.1.3)
3years
Oncerecommended
6yearsrecommended
PubliclyAvailable
Specification(see3.2.4)
3yearsnodefaultactionbyISO
CentralSecretariat
Once
6years
(Ifnotconvertedafterthisperiod,thedeliverableis
proposedforwithdrawal)
TechnicalReport(see3.3.3)
Notspecified
Notspecified
Notlimited
Asystematicreviewwilltypicallybeinitiatedinthefollowingcircumstances:
(alldeliverables)ontheinitiativeandasaresponsibilityofthesecretariatoftheresponsiblecommittee,typicallyastheresultoftheelapseofthespecifiedperiodsince
publicationorthelastconfirmationofthedocument,or
(forInternationalStandardsandTechnicalSpecifications)adefaultactionbyISOCentralSecretariatifasystematicreviewoftheInternationalStandardorTechnical
Specificationconcernedhasnotbeeninitiatedbythesecretariatoftheresponsiblecommittee,or
(alldeliverables)attherequestofoneormorenationalbody,or
(alldeliverables)attherequestoftheCEO.
Thetimingofasystematicreviewisnormallybasedeitherontheyearofpublicationor,whereadocumenthasalreadybeenconfirmed,ontheyearinwhichitwaslast
confirmed.However,itisnotnecessarytowaitforthemaximumperiodtoelapsebeforeadocumentisreviewed.
Acommitteemayatanytimebetweensystematicreviewspassaresolutioninitiatingarevisionoramendmentofastandard.
Seeclause2.3.1fortheprocessforinitiatingarevisionoramendmentofanexistingstandard.
2.9.2Review
Thereviewperiodis5months.
NOTE
SystematicreviewsareadministeredelectronicallybytheISOCentralSecretariatandallISOmemberbodiesareinvitedtorespondtosuchreviews.Thepurposeofthereviewshas
beenextendedtoincludeobtaininginformationwhenmemberbodieshaveneededtomakemodificationsinordertomakeISOstandardssuitablefornationaladoption.Suchmodifications
needtobeconsideredbycommitteesinordertodeterminewhethertheyneedtobetakenintoaccounttoimprovetheglobalrelevanceofastandard.Thefinaldecision,torevise,confirmor
withdrawastandard,remainswiththePmembersoftheresponsiblecommittee.
Aftertheclosingofthevote,thesecretariat'sproposalreflectingthevotingresultsshallbecirculatedtothemembersofthetechnicalcommitteeorsubcommitteeusing
Form21.Nomorethan6monthsaftertheclosingofthevote,thecommitteeshalltakeafinaldecisionastowhethertorevise,confirmorwithdrawthestandard,following
whichthesecretariatshallsubmitthecommittee'sdecisiontotheISOCentralSecretariat.
2.9.3Interpretationofballotresults
2.9.3.1General
Typically,adecisionastotheappropriateactiontotakefollowingasystematicreviewshallbebasedonasimplemajorityofPmembersvotingforaspecificaction.However,
insomecasesamoredetailedanalysisoftheresultsmayindicatethatanotherinterpretationmaybemoreappropriate.
NOTE
Itisnotfeasibletoprovideconcreterulesforallcaseswheninterpretingtheballotresultsduetothevarietyofpossibleresponses,degreesofimplementation,andtherelative
importanceofcomments,etc.
Wherevotingresultsarenotdefinitiveand/oradecisionisbasedoninterpretationofresponsesthesecretariatmayinviteapprovalofaproposedcourseofactionwithina
specifiedtimedelay,forexamplewithintwomonths.
Inproposingfutureaction,dueaccountshallbetakenofthemaximumpossiblenumberofconfirmationsandspecifiedmaximumlifeofthedeliverableconcerned(see
TableS1).
2.9.3.2InterpretationofballotresultsforInternationalStandards
Option1:Confirmation(retentionwithouttechnicalchange)
Whereithasbeenverifiedthatadocumentisused,thatitshouldcontinuetobemadeavailable,andthatnotechnicalchangesareneeded,adeliverablemaybeconfirmed.
Thecriteriaisasfollows:
thestandardhasbeenadoptedwithorwithoutchangeorisusedinatleastfivecountries(whenthiscriteriaisnotmet,thestandardshouldbewithdrawn);and
asimplemajorityofthePmembersofthecommitteevotingproposeconfirmation.
Option2:Amendmentorrevision(Retention,withchange/s)
Whereithasbeenverifiedthatadocumentisused,thatitshouldcontinuetobemadeavailable,butthattechnicalchangesareneeded,adeliverablemaybeproposedfor
amendmentorrevision.Thecriteriaisasfollows:
thestandardhasbeenadoptedwithorwithoutchangeorisusedinatleastfivecountries(whenthiscriteriaisnotmet,thestandardshouldbewithdrawn);and
asimplemajorityofthePmembersofthecommitteeconsidersthereisaneedforamendmentorrevision.
Inthatcase,anitemmayberegisteredasanapprovedworkitem(stage10.99).
Acallforexpertsmustbelaunched.However,thereisnominimumnumberofactivePmembersrequired.
Whereanamendmentorrevisionisnotimmediatelystartedfollowingapprovalbythecommittee,itisrecommendedthattheprojectisfirstregisteredasapreliminarywork
itemandthatthestandardisregisteredasconfirmed.Whenitiseventuallyproposedforregistrationatstage10.99,referenceshallbemadetotheresultsofthepreceding
systematicreviewandthecommitteemustpassaresolution(seeclause2.3.1fortheprocessforinitiatingarevisionoramendmentofanexistingstandard).
WhereitisdecidedthattheInternationalStandardneedstoberevisedoramended,itbecomesanewprojectandshallbeaddedtotheprogrammeofworkofthetechnical
committeeorsubcommittee.Thestepsforrevisionoramendmentarethesameasthoseforpreparationofanewstandard(seeISO/IECDirectives,Part1,clauses2.3to2.8),
andincludetheestablishmentoftargetdatesforthecompletionoftherelevantstages.
Forminorchanges,e.g.updatingandeditorialchanges,thatdonotimpactthetechnicalcontent,ashortenedprocedurecalledminorrevisionmaybeapplied.Thisis
comprisedonlyoftheproposalforaminorrevisionbythecommittee(througharesolution),approvalandpublicationstages(see2.7and2.8).Subsequenttotheresolution
oftheresponsibletechnicalcommitteeandconsultationoftheresponsibleISOTechnicalProgrammeManager,afinaldraftofthereviseddeliverableshallbecirculatedfora
2monthvote.
Option3:Withdrawal
Whenthestandardhasnotbeenadoptedwithorwithoutchangeorisnotusedinatleastfivecountries,thestandardshouldbewithdrawn(seeOptions1and2above).
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InthecaseoftheproposedwithdrawalofanInternationalStandard,thenationalbodiesshallbeinformedbytheCEOofthedecisionofthetechnicalcommitteeor
subcommittee,withaninvitationtoinformtheofficeoftheCEOwithin2monthsiftheyobjecttothatdecision.
AnyobjectionreceivedshallbereferredtotheISOTechnicalManagementBoardforconsiderationanddecision.
2.9.3.3ConversiontoanInternationalStandard(TechnicalSpecificationsandPubliclyAvailableStandardsonly)
Inadditiontothethreebasicoptionsofconfirmation,amendmentorrevision,orwithdrawal,inthecasesofthesystematicreviewofTechnicalSpecificationsandPublicly
AvailableStandardsafourthoptionistheirconversiontoanInternationalStandard.
ToinitiateconversiontoanInternationalStandard,atext,updatedasappropriate,issubmittedtothenormaldevelopmentproceduresasspecifiedforanInternational
Standard.
TheconversionprocedurewilltypicallystartwithaDISvote.Wherechangesconsideredtoberequiredarejudgedasbeingsosignificantastorequireafullreviewinthe
committeepriortoDISballot,arevisedversionofthedocumentshallbesubmittedforreviewandballotasaCD.
2.9.4Reinstatementofwithdrawnstandards
If,followingwithdrawalofanInternationalStandard,acommitteedeterminesthatitisstillneeded,itmayproposethatthestandardbereinstated.Thestandardshallbe
issuedeitherasadraftInternationalStandardorasafinaldraftInternationalStandard,asdecidedbythecommittee,forvotingbythememberbodies.Theusualapproval
criteriashallapply.Ifapproved,thestandardshallbepublishedasaneweditionwithanewdateofpublication.Theforewordshallexplainthatthestandardresultsfromthe
reinstatementofthepreviousedition.
2.10
Technicalcorrigendaandamendments
2.10.1 General
ApublishedInternationalStandardmaysubsequentlybemodifiedbythepublicationof
atechnicalcorrigendum;
anamendment;or
arevision(aspartofthemaintenanceprocedurein2.9).
Technicalcorrigendaandamendmentsarenormallypublishedasseparatedocuments,theeditionoftheInternationalStandardaffectedremaininginprint.
NOTE
IncaseofrevisionaneweditionoftheInternationalStandardwillbeissued.
2.10.2 Technicalcorrigenda
AtechnicalcorrigendumisissuedtocorrectatechnicalerrororambiguityinanInternationalStandard,aTechnicalSpecification,aPubliclyAvailableSpecificationora
TechnicalReport,inadvertentlyintroducedeitherindraftingorinprintingandwhichcouldleadtoincorrectorunsafeapplicationofthepublication.
Technicalcorrigendaarenotissuedtocorrecterrorsthatcanbeassumedtohavenoconsequencesintheapplicationofthepublication,forexampleminorprintingerrors.
Technicalcorrigendaarenotissuedtoupdateinformationthathasbecomeoutdatedsincepublication.
Suspectedtechnicalerrorsshallbebroughttotheattentionofthesecretariatofthetechnicalcommitteeorsubcommitteeconcerned.Afterconfirmationbythesecretariat
andchair,ifnecessaryinconsultationwiththeprojectleaderandPmembersofthetechnicalcommitteeorsubcommittee,thesecretariatshallsubmittotheofficeoftheCEO
aproposalforcorrection,withanexplanationoftheneedtodoso.
TheChiefExecutiveOfficershalldecide,inconsultationwiththesecretariatofthetechnicalcommitteeorsubcommittee,andbearinginmindboththefinancialconsequences
totheorganizationandtheinterestsofusersofthepublication,whethertopublishatechnicalcorrigendumoracorrectedorupdatedreprintoftheexistingeditionofthe
publication(seealso2.10.4).Ingeneral,atechnicalcorrigendumwillnotbeissuedforanInternationalStandardthatisolderthan3years.
2.10.3 Amendments
Anamendmentaltersand/oraddstopreviouslyagreedtechnicalprovisionsinanexistingInternationalStandard.
Theprocedurefordevelopingandpublishinganamendmentshallbeasdescribedin2.3(ISOandJTC1),orthereviewandmaintenanceprocedures(seeIECSupplement)
and2.4to2.8.
Attheapprovalstage(2.7),theChiefExecutiveOfficershalldecide,inconsultationwiththesecretariatofthetechnicalcommitteeorsubcommittee,andbearinginmindboth
thefinancialconsequencestotheorganizationandtheinterestsofusersoftheInternationalStandard,whethertopublishanamendmentoraneweditionoftheInternational
Standard,incorporatingtheamendment.(Seealso2.10.4.)
NOTE
WhereitisforeseenthattherewillbefrequentadditionstotheprovisionsofanInternationalStandard,thepossibilityshouldbeborneinmindattheoutsetofdevelopingthese
additionsasaseriesofparts(seeISO/IECDirectives,Part2).
2.10.4 Avoidanceofproliferationofmodifications
Nomorethan2separatedocumentsintheformoftechnicalcorrigendaoramendmentsshallbepublishedmodifyingacurrentInternationalStandard.Thedevelopmentofa
thirdsuchdocumentshallresultinpublicationofaneweditionoftheInternationalStandard.
2.11
Maintenanceagencies
Whenatechnicalcommitteeorsubcommitteehasdevelopedastandardthatwillrequirefrequentmodification,itmaydecidethatamaintenanceagencyisrequired.Rules
concerningthedesignationofmaintenanceagenciesaregiveninAnnexG.
2.12
Registrationauthorities
Whenatechnicalcommitteeorsubcommitteehasdevelopedastandardthatincludesregistrationprovisions,aregistrationauthorityisrequired.Rulesconcerningthe
designationofregistrationauthoritiesaregiveninAnnexH.
2.13
Copyright
ThecopyrightforalldraftsandInternationalStandardsandotherpublicationsbelongstoISO,IECorISOandIEC,respectivelyasrepresentedbytheofficeoftheCEO.
Thecontentof,forexample,anInternationalStandardmayoriginatefromanumberofsources,includingexistingnationalstandards,articlespublishedinscientificortrade
journals,originalresearchanddevelopmentwork,descriptionsofcommercializedproducts,etc.Thesesourcesmaybesubjecttooneormorerights.
InISOandIEC,thereisanunderstandingthatoriginalmaterialcontributedtobecomeapartofanISO,IECorISO/IECpublicationcanbecopiedanddistributedwithinthe
ISOand/orIECsystems(asrelevant)aspartoftheconsensusbuildingprocess,thisbeingwithoutprejudicetotherightsoftheoriginalcopyrightownertoexploitthe
originaltextelsewhere.Wherematerialisalreadysubjecttocopyright,therightshouldbegrantedtoISOand/orIECtoreproduceandcirculatethematerial.Thisis
frequentlydonewithoutrecoursetoawrittenagreement,oratmosttoasimplewrittenstatementofacceptance.Wherecontributorswishaformalsignedagreement
concerningcopyrightofanysubmissionstheymaketoISOand/orIEC,suchrequestsmustbeaddressedtoISOCentralSecretariatortheIECCentralOffice,respectively.
AttentionisdrawntothefactthattherespectivemembersofISOandIEChavetherighttoadoptandrepublishanyrespectiveISOand/orIECstandardastheirnational
standard.Similarformsofendorsementdoormayexist(forexample,withregionalstandardizationorganizations).
2.14
Referencetopatenteditems(seealsoAnnexI)
Forfurtherinformation,refertoAnnexFoftheISO/IECDirectives,Part2.
2.14.1 If,inexceptionalsituations,technicalreasonsjustifysuchastep,thereisnoobjectioninprincipletopreparinganInternationalStandardintermswhichincludethe
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useofitemscoveredbypatentrightsdefinedaspatents,utilitymodelsandotherstatutoryrightsbasedoninventions,includinganypublishedapplicationsforanyofthe
foregoingevenifthetermsofthestandardaresuchthattherearenoalternativemeansofcompliance.TherulesgivenbelowandintheISO/IECDirectives,Part2,2011,
AnnexFshallbeapplied.
2.14.2 Iftechnicalreasonsjustifythepreparationofadocumentintermswhichincludetheuseofitemscoveredbypatentrights,thefollowingproceduresshallbe
compliedwith:
a) Theproposerofaproposalforadocumentshalldrawtheattentionofthecommitteetoanypatentrightsofwhichtheproposerisawareandconsiderstocoveranyitem
oftheproposal.Anypartyinvolvedinthepreparationofadocumentshalldrawtheattentionofthecommitteetoanypatentrightsofwhichitbecomesawareduringany
stageinthedevelopmentofthedocument.
b) Iftheproposalisacceptedontechnicalgrounds,theproposershallaskanyholderofsuchidentifiedpatentrightsforastatementthattheholderwouldbewillingto
negotiateworldwidelicencesunderhisrightswithapplicantsthroughouttheworldonreasonableandnondiscriminatorytermsandconditions.Suchnegotiationsareleft
tothepartiesconcernedandareperformedoutsideISOand/orIEC.Arecordoftherightholder'sstatementshallbeplacedintheregistryoftheISOCentralSecretariator
IECCentralOfficeasappropriate,andshallbereferredtointheintroductiontotherelevantdocument[seeISO/IECDirectives,Part2,2011,F.3].Iftherightholderdoes
notprovidesuchastatement,thecommitteeconcernedshallnotproceedwithinclusionofanitemcoveredbyapatentrightinthedocumentwithoutauthorizationfrom
ISOCouncilorIECCouncilBoardasappropriate.
c) Adocumentshallnotbepublisheduntilthestatementsoftheholdersofallidentifiedpatentrightshavebeenreceived,unlessthecouncilboardconcernedgives
authorization.
2.14.3 Shoulditberevealedafterpublicationofadocumentthatlicencesunderpatentrights,whichappeartocoveritemsincludedinthedocument,cannotbeobtained
underreasonableandnondiscriminatorytermsandconditions,thedocumentshallbereferredbacktotherelevantcommitteeforfurtherconsideration.
3 Developmentofotherdeliverables
3.1 TechnicalSpecifications
3.1.1 TechnicalSpecificationsmaybepreparedandpublishedunderthefollowingcircumstancesandconditions.
3.1.1.1 Whenthesubjectinquestionisstillunderdevelopmentorwhereforanyotherreasonthereisthefuturebutnotimmediatepossibilityofanagreementtopublish
anInternationalStandard,thetechnicalcommitteeorsubcommitteemaydecide,byfollowingtheproceduresetoutin2.3,thatthepublicationofaTechnicalSpecification
wouldbeappropriate.TheprocedureforpreparationofsuchaTechnicalSpecificationshallbeassetoutin2.4and2.5.Thedecisiontopublishtheresultingdocumentasa
TechnicalSpecificationshallrequireatwothirdsmajorityvoteofthePmembersvotingofthetechnicalcommitteeorsubcommittee.
3.1.1.2 WhentherequiredsupportcannotbeobtainedforafinaldraftInternationalStandardtopasstheapprovalstage(see2.7),orincaseofdoubtconcerning
consensus,thetechnicalcommitteeorsubcommitteemaydecide,byatwothirdsmajorityvoteofPmembersvoting,thatthedocumentshouldbepublishedintheformofa
TechnicalSpecification.
3.1.2 WhenthePmembersofatechnicalcommitteeorsubcommitteehaveagreeduponthepublicationofaTechnicalSpecification,thedraftspecificationshallbe
submittedelectronicallybythesecretariatofthetechnicalcommitteeorsubcommitteetotheofficeoftheCEOwithin4monthsforpublication.Competingtechnical
specificationsofferingdifferenttechnicalsolutionsarepossibleprovidedthattheydonotconflictwithexistingInternationalStandards.
3.1.3 TechnicalSpecificationsshallbesubjecttoreviewbythetechnicalcommitteeorsubcommitteenotlaterthan3yearsaftertheirpublication.Theaimofsuchreview
shallbetoreexaminethesituationwhichresultedinthepublicationofaTechnicalSpecificationandifpossibletoachievetheagreementnecessaryforthepublicationofan
InternationalStandardtoreplacetheTechnicalSpecification.InIEC,thedateforthisreviewisbasedonthestabilitydatewhichshallbeagreedinadvanceofthepublication
oftheTechnicalSpecification(reviewdate).
3.2 PubliclyAvailableSpecifications(PAS)
Theproceduressetoutin2.3applytothedevelopmentofaPAS.
3.2.1 APASmaybeanintermediatespecification,publishedpriortothedevelopmentofafullInternationalStandard,or,inIECmaybeaduallogopublicationpublished
incollaborationwithanexternalorganization.Itisadocumentnotfulfillingtherequirementsforastandard.
APASisanormativedocument.Normally,thedecisiontodevelopaPASshouldbeagreedattheoutset,i.e.simultaneouslywiththeapprovalofthenewworkitemproposal.
3.2.2 AproposalforsubmissionofaPASmaybemadebyanAliaisonorDliaison(see1.17)orbyanyPmemberofthecommittee.
3.2.3 ThePASispublishedafterverificationofthepresentationandcheckingthatthereisnoconflictwithexistingInternationalStandardsbythecommitteeconcerned
andfollowingsimplemajorityapprovalofthePmembersvotingofthecommitteeconcerned.CompetingPASofferingdifferenttechnicalsolutionsarepossibleprovidedthat
theydonotconflictwithexistingInternationalStandards.
3.2.4 APASshallremainvalidforaninitialmaximumperiodof3years.Thevaliditymaybeextendedforasingleperioduptoamaximumof3years,attheendofwhichit
shallbetransformedwithorwithoutchangeintoanothertypeofnormativedocument,orshallbewithdrawn.
3.3 TechnicalReports
3.3.1 WhenatechnicalcommitteeorsubcommitteehascollecteddataofadifferentkindfromthatwhichisnormallypublishedasanInternationalStandard(thismay
include,forexample,dataobtainedfromasurveycarriedoutamongthenationalbodies,dataonworkinotherinternationalorganizationsordataonthestateoftheartin
relationtostandardsofnationalbodiesonaparticularsubject),thetechnicalcommitteeorsubcommitteemaydecide,byasimplemajorityvoteofPmembersvoting,to
requesttheChiefExecutiveOfficertopublishsuchdataintheformofaTechnicalReport.Thedocumentshallbeentirelyinformativeinnatureandshallnotcontainmatter
implyingthatitisnormative.Itshallclearlyexplainitsrelationshiptonormativeaspectsofthesubjectwhichare,orwillbe,dealtwithinInternationalStandardsrelatedto
thesubject.TheChiefExecutiveOfficer,ifnecessaryinconsultationwiththetechnicalmanagementboard,shalldecidewhethertopublishthedocumentasaTechnical
Report.
3.3.2 WhenthePmembersofatechnicalcommitteeorsubcommitteehaveagreeduponthepublicationofaTechnicalReport,thedraftreportshallbesubmitted
electronicallybythesecretariatofthetechnicalcommitteeorsubcommitteetotheChiefExecutiveOfficerwithin4monthsforpublication.
3.3.3 ItisrecommendedthatTechnicalReportsareregularlyreviewedbythecommitteeresponsible,toensurethattheyremainvalid.WithdrawalofaTechnicalReportis
decidedbythetechnicalcommitteeorsubcommitteeresponsible.
TechnicalReportsarenotsubjecttosystematicreview.
4 Meetings
4.1 General
4.1.1 Technicalcommitteesandsubcommitteesshallusemodernelectronicmeanstocarryouttheirwork(forexample,email,groupwareandteleconferencing)wherever
possible.Ameetingofatechnicalcommitteeorsubcommitteeshouldbeconvenedonlywhenitisnecessarytodiscusscommitteedrafts(CD)orothermattersofsubstance
whichcannotbesettledbyothermeans.
4.1.2 Thetechnicalcommitteesecretariatshouldlookaheadwithaviewtodrawingup,inconsultationwiththeofficeoftheCEO,aplannedminimum2yearprogramme
ofmeetingsofthetechnicalcommitteeanditssubcommitteesand,ifpossible,itsworkinggroups,takingaccountoftheprogrammeofwork.
4.1.3 Inplanningmeetings,accountshouldbetakenofthepossibleadvantageofgroupingmeetingsoftechnicalcommitteesandsubcommitteesdealingwithrelated
subjects,inordertoimprovecommunicationandtolimittheburdenofattendanceatmeetingsbydelegateswhoparticipateinseveraltechnicalcommitteesor
subcommittees.
4.1.4 Inplanningmeetings,accountshouldalsobetakenoftheadvantagesforthespeedypreparationofdraftsofholdingameetingoftheeditingcommitteeimmediately
afterthemeetingofthetechnicalcommitteeorsubcommitteeandatthesameplace.
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4.2 Procedureforcallingameeting
Forinformationrelatingtohostingmeetings,refertoAnnexSF.
4.2.1 Technicalcommitteeandsubcommitteemeetings
4.2.1.1 Thedateandplaceofameetingshallbesubjecttoanagreementbetweenthechairandthesecretariatofthetechnicalcommitteeorsubcommitteeconcerned,the
ChiefExecutiveOfficerandthenationalbodyactingashost.Inthecaseofasubcommitteemeeting,thesubcommitteesecretariatshallfirstconsultwiththesecretariatofthe
parenttechnicalcommitteeinordertoensurecoordinationofmeetings(seealso4.1.3).
4.2.1.2 AnationalbodywishingtoactashostforaparticularmeetingshallcontacttheChiefExecutiveOfficerandthetechnicalcommitteeorsubcommitteesecretariat
concerned.
ThenationalbodyshallfirstascertainthattherearenorestrictionsimposedbyitscountrytotheentryofrepresentativesofanyPmemberofthetechnicalcommitteeor
subcommitteeforthepurposeofattendingthemeeting.
Thehostingorganizationsareadvisedtoverifyandprovideinformationonaccessmeanstomeetingfacilities.Thisincludesavailabilityofliftsorrampsatthemeeting
locationaswellasaccessiblepublictransporttothemeetingfacilities
4.2.1.3 ThesecretariatshallensurethatarrangementsaremadefortheagendatobecirculatedbytheofficeoftheCEO(intheIEC)orbythesecretariatwithacopytothe
officeoftheCEO(inISO)atthelatest4monthsbeforethedateofthemeeting.Allotherbasicdocuments,forexamplenewworkitemproposals,shallbedistributedbythe
samedeadline.
Onlythosecommitteedraftsforwhichthecompilationofcommentswillbeavailableatleast6weeksbeforethemeetingshallbeincludedontheagendaandbeeligiblefor
discussionatthemeeting.
Anyotherworkingdocuments,includingcompilationsofcommentsondraftstobediscussedatthemeeting,shallbedistributednotlessthan6weeksinadvanceofthe
meeting.
4.2.2 Workinggroupmeetings
4.2.2.1 Workinggroupsshallusemodernelectronicmeanstocarryouttheirwork(forexample,email,groupwareandteleconferencing)whereverpossible.Whena
meetingneedstobeheld,notificationbytheconvenorofthemeetingsofaworkinggroupshallbesenttoitsmembersandtothesecretariatoftheparentcommittee,atleast
6weeksinadvanceofthemeeting.
Arrangementsformeetingsshallbemadebetweentheconvenorandthememberoftheworkinggroupinwhosecountrythemeetingistobeheld.Thelattermembershallbe
responsibleforallpracticalworkingarrangements.
4.2.2.2 Ifaworkinggroupmeetingistobeheldinconjunctionwithameetingoftheparentcommittee,theconvenorshallcoordinatearrangementswiththesecretariatof
theparentcommittee.Inparticularitshallbeensuredthattheworkinggroupmembersreceiveallgeneralinformationforthemeeting,whichissenttodelegatestothe
meetingoftheparentcommittee.
4.3 Languagesatmeetings
ThelanguagesatmeetingsareEnglish,FrenchandRussian,andmeetingsareconductedinanyoneormoreofthese.
ThenationalbodyfortheRussianFederationprovidesallinterpretationandtranslationintoorfromtheRussianlanguage.
ThechairandsecretariatareresponsiblefordealingwiththequestionoflanguageatameetinginamanneracceptabletotheparticipantsfollowingthegeneralrulesofISO
orIEC,asappropriate.(SeealsoAnnexE.)
4.4 Cancellationofmeetings
Everypossibleeffortshallbemadetoavoidcancellationorpostponementofameetingonceithasbeenconvened.Nevertheless,iftheagendaandbasicdocumentsarenot
availablewithinthetimerequiredby4.2.1.3,thentheChiefExecutiveOfficerhastherighttocancelthemeeting.
4.5Distributionofdocuments
Forrequirementsrelatingtodocumentdistribution,refertoAnnexSB.AcopyoftheagendaandcallingnoticeforacommitteemeetingshallbemadeavailabletotheISO
CentralSecretariatforinformation.
5 Appeals
5.1 General
5.1.1 Nationalbodieshavetherightofappeal
a) totheparenttechnicalcommitteeonadecisionofasubcommittee;
b) tothetechnicalmanagementboardonadecisionofatechnicalcommittee;
c) tothecouncilboardonadecisionofthetechnicalmanagementboard,
within3monthsinISOand2monthsinIECofthedecisioninquestion.
Thedecisionofthecouncilboardonanycaseofappealisfinal.
5.1.2 APmemberofatechnicalcommitteeorsubcommitteemayappealagainstanyaction,orinaction,onthepartofthetechnicalcommitteeorsubcommittee,whenthe
Pmemberconsidersthatsuchactionorinactionis
a) notinaccordancewith
theStatutesandRulesofProcedure;
theISO/IECDirectives;or
b) notinthebestinterestsofinternationaltradeandcommerce,orsuchpublicfactorsassafety,healthorenvironment.
5.1.3 Mattersunderappealmaybeeithertechnicaloradministrativeinnature.
Appealsondecisionsconcerningnewworkitemproposals,committeedrafts,enquirydraftsandfinaldraftInternationalStandardsareonlyeligibleforconsiderationif
questionsofprincipleareinvolved,or
thecontentsofadraftmaybedetrimentaltothereputationofISOorIEC.
5.1.4 AllappealsshallbefullydocumentedtosupportthePmember'sconcern.
5.2 Appealagainstasubcommitteedecision
5.2.1 ThedocumentedappealshallbesubmittedbythePmembertothesecretariatoftheparenttechnicalcommittee,withacopytotheChiefExecutiveOfficer.
5.2.2 Uponreceipt,thesecretariatoftheparenttechnicalcommitteeshalladviseallitsPmembersoftheappealandtakeimmediateaction,bycorrespondenceorata
meeting,toconsideranddecideontheappeal,consultingtheChiefExecutiveOfficerintheprocess.
5.2.3 Ifthetechnicalcommitteesupportsitssubcommittee,thenthePmemberwhichinitiatedtheappealmayeither
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acceptthetechnicalcommitteedecision,or
appealagainstit.
5.3 Appealagainstatechnicalcommitteedecision
5.3.1 Appealsagainstatechnicalcommitteedecisionmaybeof2kinds:
anappealarisingoutof5.3.3above,or
anappealagainstanoriginaldecisionofatechnicalcommittee.
5.3.2 Thedocumentedappealshall,inallcases,besubmittedtotheChiefExecutiveOfficer,withacopytothechairandsecretariatofthetechnicalcommittee.
5.3.3 TheChiefExecutiveOfficershall,followingwhateverconsultationss/hedeemsappropriate,refertheappealtogetherwithhiscommentstothetechnical
managementboardwithinonemonthafterreceiptoftheappeal.
5.3.4 Thetechnicalmanagementboardshalldecidewhetheranappealshallbefurtherprocessedornot.Ifthedecisionisinfavourofproceeding,thechairofthetechnical
managementboardshallformaconciliationpanel.
Theconciliationpanelshallheartheappealwithin3monthsandattempttoresolvethedifferenceofopinionassoonaspracticable.Theconciliationpanelshallgiveafinal
reportwithin3months.Iftheconciliationpanelisunsuccessfulinresolvingthedifferenceofopinion,thisshallbereportedtotheChiefExecutiveOfficer,togetherwith
recommendationsonhowthemattershouldbesettled.
5.3.5 TheChiefExecutiveOfficer,onreceiptofthereportoftheconciliationpanel,shallinformthetechnicalmanagementboard,whichwillmakeitsdecision.
5.4 Appealagainstatechnicalmanagementboarddecision
AnappealagainstadecisionofthetechnicalmanagementboardshallbesubmittedtotheChiefExecutiveOfficerwithfulldocumentationonallstagesofthecase.
TheChiefExecutiveOfficershallrefertheappealtogetherwithhiscommentstothemembersofthecouncilboardwithinonemonthafterreceiptoftheappeal.
Thecouncilboardshallmakeitsdecisionwithin3months.
5.5 Progressofworkduringanappealprocess
Whenanappealisagainstadecisionrespectingworkinprogress,theworkshallbecontinued,uptoandincludingtheapprovalstage(see2.7).
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ISO/IECANNEXES
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AnnexA(normative)Guides
A.1 Introduction
InadditiontoInternationalStandards,TechnicalSpecifications,PubliclyAvailableSpecificationsandTechnicalReportspreparedbytechnicalcommittees,ISOandIEC
publishGuidesonmattersrelatedtointernationalstandardization.GuidesshallbedraftedinaccordancewiththeISO/IECDirectives,Part2.
Guidesshallnotbepreparedbytechnicalcommitteesandsubcommittees.TheymaybepreparedbyanISOPolicyDevelopmentCommittee,anIECAdvisoryCommitteeor
StrategicGroup,anISOgroupreportingtotheISOtechnicalmanagementboard,oranISO/IECJointCoordinationGroup.Thesebodiesarereferredtobelowasthe
CommitteeorGroupresponsiblefortheproject.
TheprocedureforpreparationandpublicationofaGuideisasdescribedbelow.
A.2 Proposalstage
TheISOand/orIECtechnicalmanagementboardwillapproveproposalsfornewGuidesorrevisionsofGuidesanddecideonthesecretariatandcompositionofthe
CommitteeorGroupresponsiblefortheproject.
OnceaprojectisapprovedbytheISOand/orIECtechnicalmanagementboard,thesecretariatoftheCommitteeorGroupresponsiblefortheprojectshallensurethatthe
appropriateinterestsinISOandIECareinformed.
A.3 Preparatorystage
TheCommitteeorGroupresponsiblefortheprojectshallensurethattheappropriateinterestsinISOandIEChavetheopportunitytoberepresentedduringthepreparation
oftheworkingdraft.
A.4 Committeestage
Onceaworkingdraftisavailableforcirculationasacommitteedraft,thesecretariatoftheCommitteeorGroupresponsiblefortheprojectshallsendittotheparent
committeeorISOand/orIECtechnicalmanagementboardforvote,commentsandtoapproveitsadvancementtotheEnquirystage.
A.5 Enquirystage
A.5.1 TheofficeoftheCEOsshallcirculateboththeEnglishandFrenchtextsofthereviseddraftGuidetoallnationalbodiesfora4monthvote.
A.5.2 ThedraftGuideisapprovedforpublicationasaGuideifnotmorethanonequarterofthevotescastarenegative,abstentionsbeingexcludedwhenthevotesare
counted.
InthecaseofISO/IECGuides,thedraftshallbesubmittedforapprovaltothenationalbodiesofbothISOandIEC.Thenationalbodiesofbothorganizationsneedtoapprove
thedocumentifitistobepublishedasanISO/IECGuide.
Ifthisconditionissatisfiedforonlyoneoftheorganizations,ISOorIEC,theGuidemaybepublishedunderthenameoftheapprovingorganizationonly,unlesstheCommittee
orGroupresponsiblefortheprojectdecidestoapplytheproceduresetoutinA.5.3.
A.5.3 IfadraftGuideisnotapproved,orifitisapprovedwithcommentstheacceptanceofwhichwouldimproveconsensus,thechairoftheCommitteeorGroup
responsiblefortheprojectmaydecidetosubmitanamendeddraftfora2monthvote.TheconditionsforacceptanceoftheamendeddraftarethesameasinA.5.2.
A.6 Publicationstage
ThepublicationstageshallbetheresponsibilityoftheofficeoftheCEOoftheorganizationtowhichtheCommitteeorGroupresponsiblefortheprojectbelongs.
InthecaseofaJointISO/IECGroup,theresponsibilityshallbedecidedbyagreementbetweentheChiefExecutiveOfficers.
A.7 WithdrawalofaGuide
TheCommitteeorGroupresponsiblefortheGuideshallberesponsiblefordecidingiftheGuideshallbewithdrawn.Theformalwithdrawalshallberatifiedbythetechnical
managementboard(TMB)inaccordancewithitsnormalprocedures.
A.8Procedurefortransformingaguideintoanisointernationalstandard
1.SubmissionofaproposalfortransformationofaGuideintoanInternationalStandard
Anymemberbody,organizationinliaisonorgroupreportingtotheTMB(Authorizedbodies),ortheISOCEO,canproposethatanapprovedGuidebetransformedintoan
ISOInternationalStandard.AllproposalsmustbeaccompaniedbyjustificationforthetransformationintoanInternationalStandard.
2.Circulationoftheproposal
TheofficesoftheCEO'scirculatetheproposaltoallmemberbodiesforapproval.
3.Memberbodyballot
3.1Theballotwillaskthequestion:DoyouapprovethetransformationofGuideXXintoanISOInternationalStandard?
3.2Memberswillhavetheoptionofrespondingyesornoandthereasonsfortheirnegativevoteshouldbeprovided.
3.3BecausetheGuideinquestionhasbeendevelopedandapprovedaccordingtotheconsensusbuildingproceduresofISOand/orIEC,technicaloreditorialcommentswill
notbeconsidered.ConsiderationofsuchcommentswillbeheldovertothenextrevisionoftheInternationalStandardifthetransformationoftheGuideisapproved.
3.4ThevotingperiodandvotingrulesarethesameasforthenormalDISvote.
4.Approvalcriteria
4.1Ifmorethanonequarterofallvotesreceivedisnegative,thetransformationintoanInternationalStandardisnotapprovedandtheapprovalprocessends.
4.2IfthetransformationofaGuideintoastandardisapproved,theInternationalStandardwillbepublished,andtheoriginalGuidewithdrawn.
5.MaintenanceoftheInternationalStandardresultingfromatransformedguide
TheISOtechnicalmanagementboardwilldecideonacasebycasebasishowtohandlethemaintenanceoftransformedGuide.Preferencewillbegiventoassigningthe
maintenanceresponsibilitytoanappropriateTC,but,intheabsenceofanappropriateTC,theTMBwilldecidewheretoassignmaintenanceresponsibility,includingthrough
theestablishmentofanewTCorPC.
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AnnexB(normative)ISO/IECproceduresforliaisonandworkallocation
B.1 Introduction
BytheISO/IECAgreementof19762,ISOandIECtogetherformasystemforinternationalstandardizationasawhole.Forthissystemtooperateefficiently,thefollowing
proceduresareagreedforcoordinationandallocationofworkbetweenthetechnicalcommitteesandsubcommitteesofbothorganizations.
B.2 Generalconsiderations
TheallocationofworkbetweenISOandIECisbasedontheagreedprinciplethatallquestionsrelatingtointernationalstandardizationintheelectricalandelectronic
engineeringfieldsarereservedtoIEC,theotherfieldsbeingreservedtoISOandthatallocationofresponsibilityformattersofinternationalstandardizationwherethe
relativecontributionofelectricalandnonelectricaltechnologiesisnotimmediatelyevidentwillbesettledbymutualagreementbetweentheorganizations.
QuestionsofcoordinationandworkallocationmayarisewhenestablishinganewISOorIECtechnicalcommittee,orasaresultoftheactivitiesofanexistingtechnical
committee.
Thefollowinglevelsofcoordinationandworkallocationagreementareavailable.Mattersshouldberaisedatthenexthigherlevelonlyafterallattemptstoresolvethemat
thelowerlevelshavefailed.
a) FormalliaisonsbetweenISOandIECcommitteesfornormalintercommitteecooperation.
b) Organizationalconsultations,includingtechnicalexpertsandrepresentativesoftheChiefExecutiveOfficers,forcaseswheretechnicalcoordinationmayhaveaneffect
onthefutureactivitiesoftheorganizationsinalargersensethanthepointunderconsideration.
c) Decisionsonworkallocation
bythetechnicalmanagementboardsor,ifnecessary,
theISO/IECJointTechnicalAdvisoryBoard(JTAB).
QuestionsaffectingbothISOandIEC,onwhichithasnotprovedpossibletoobtainacommondecisionbytheISOTechnicalManagementBoardandtheIECStandardization
ManagementBoard,arereferredtotheISO/IECJointTechnicalAdvisoryBoard(JTAB)fordecision(see1.3.1).
B.3 Establishingnewtechnicalcommittees
WheneveraproposaltoestablishanewtechnicalcommitteeismadetothenationalbodiesofISOorofIECrespectively,theproposalshallalsobesubmittedtotheother
organizationrequestingcommentand/oragreement.Asaresultoftheseconsultations,twocasesmayarise:
a) theopinionisunanimousthattheworkshouldbecarriedoutinoneoftheorganizations;
b) opinionsaredivided.
Incasea),formalactionmaythenbetakentoestablishthenewtechnicalcommitteeaccordingtotheunanimousopinion.
Incaseb),ameetingofexpertsinthefieldconcernedshallbearrangedwithrepresentativesoftheChiefExecutiveOfficerswithaviewtoreachingasatisfactoryagreement
forallocationofthework(i.e.,organizationallevel).Ifagreementisreachedatthislevel,formalactionmaybetakenbytheappropriateorganizationtoimplementthe
agreement.
Inthecaseofdisagreementaftertheseconsultations,themattermaybereferredbyeitherorganizationtotheISO/IECJointTechnicalAdvisoryBoard(JTAB).
B.4 CoordinatingandallocatingworkbetweenISOandIECtechnicalcommittees
B.4.1 FormalliaisonatTClevel
MostcoordinationneedsarisingbetweenindividualISOandIECcommitteesaresuccessfullydealtwiththroughformaltechnicalliaisonarrangements.Thesearrangements,
whenrequestedbyeitherorganization,shallbehonouredbytheotherorganization.RequestsforformalliaisonarrangementsarecontrolledbytheofficesoftheCEOs.The
requestingorganizationshallspecifythetypeofliaisonrequired,suchas:
a) fullorselectiveexchangeofcommitteedocuments;
b) regularorselectiveattendanceofliaisonrepresentativesatmeetings;
c) participationinastandingcoordination(orsteering)committeeforselectedISOandIECtechnicalcommittees;
d) settingupofaJointWorkingGroup(JWG).
B.4.2 Detailsofagreement
B.4.2.1 ContinualeffortsshallbemadetominimizetheoverlapareasbetweenIECandISObyentrustingareasofworktooneofthetwoorganizations.
Forareasofworksoentrusted,IECandISOshallagreethroughtheJTABonhowtheviewsandinterestsoftheotherorganizationaretobefullytakenintoaccount.
B.4.2.2 Fiveworkingmodesofcooperationhavebeenestablished,asfollows:
Mode1Informativerelation
Oneorganizationisfullyentrustedwithaspecificworkareaandkeepstheotherfullyinformedofallprogress.
Mode2Contributiverelation
Oneorganizationshouldtaketheleadoftheworkandtheothershouldmakewrittencontributionswhereconsideredappropriateduringtheprogressofthiswork.This
relationalsoincludestheexchangeoffullinformation.
Mode3Subcontractingrelation
Oneorganizationisfullyentrustedwiththerealizationoftheworkonanidentifieditem,butduetospecializationoftheother,apartoftheworkissubcontractedandthat
partispreparedundertheresponsibilityofthesecondorganization.Necessaryarrangementsshallbemadetoguaranteethecorrectintegrationoftheresulting
subcontractedworkintothemainpartoftheprogramme.Tothisend,theenquiryandapprovalstagesarehandledbytheorganizationbeingthemaincontractorforthe
standardizationtask.
Mode4Collaborativerelation
Oneorganizationtakestheleadintheactivities,buttheworksessionsandmeetingsreceivedelegatesfromtheotherwhohaveobserverstatusandwhoensurethe
technicalliaisonwiththeotherorganization.Suchobserversshouldhavetherighttointerveneinthedebatebuthavenorighttovote.Thefullflowofinformationis
orientedthroughthisliaison.
Mode5Integratedliaison
JointWorkingGroupsandJointTechnicalCommitteesensureintegratedmeetingsforhandlingtogethertherealizationofstandardsunderaprincipleoftotalequalityof
participation.
JointWorkingGroupsbetweentechnicalcommitteesofthetwoorganizationsshalloperateinaccordancewith1.12.6.
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B.4.2.3 TheallocationofworkbetweenIECandISOforpotentiallyoverlappingareaswillbesetoutasrequiredinschedulesorprogrammeswhich,whenagreedbythe
relevantparties,willformaddendatothisagreement.
Aconsequenceofthisagreementisthatthepartiesagreetocrossrefertotherelevantstandardsoftheotherintherespectivecompetentfieldsofinterest.
Whenthestandardbeingreferredtoisupdated,itistheresponsibilityofthebodymakingthereferencetotakecareoftheupdatingofthereferencewhereappropriate.
B.4.2.4 Forworkforwhichoneorganizationhasassumedresponsibilityandforwhichtherewillbesubcontractingofworktotheother,thefullestaccountshallbetaken
oftheinterestsparticipatinginthesubcontractedworkindefiningtheobjectivesofthatwork.
B.4.2.5 Thenecessaryproceduresforenquiryandapprovalshallberealizedbytheorganizationentrustedwithaparticularstandardizationtask,exceptasotherwise
agreedbythetwotechnicalmanagementboards.
B.4.2.6 ForstandardsdevelopedundertheMode5Integratedliaison,thecommittee,enquiryandapprovalstagesshallbecarriedoutinparallelinbothISOandIECin
accordancewiththerulesoftheorganizationwiththeadministrativelead.Thecommittee/organizationwiththeadministrativeresponsibilityfortheprojectshallsubmit
draftsforthecommittee,enquiryandapprovalstagestotheotherorganizationtwoweekspriortothecirculationdate.
B.4.2.7 Whentheenquirydrafthasnotfulfilledtheapprovalcriteria(see2.6.3)inoneoftheorganizations,then:
theofficersofthecommitteesinvolvedinthejointworkinggroupmayselectoneofoptionsgivenin2.6.4c)or
inexceptionalcircumstances,ifagreedbetweentheofficersoftheISOandIECcommitteesinvolvedinthejointworkinggroupandtheofficesoftheCEO,theprojectmay
proceedasasinglelogostandardoftheorganizationinwhichtheenquirydraftwasapproved.Thejointworkinggroupisautomaticallydisbanded.
B.4.2.8 IfthefinaldraftInternationalStandardisnotapprovedinaccordanceoftheconditionsin2.7.3then:
thecommitteesinvolvedinthejointworkinggroupmayselectoneoftheoptionsgivenin2.7.7,notingthatinIECthecirculationofasecondfinaldraftInternational
StandardisnotallowedandwillrequireaderogationoftheTMBor
inexceptionalcircumstances,ifagreedbetweentheofficersoftheISOandIECcommitteesinvolvedinthejointworkinggroupandtheofficesoftheCEO,thestandard
maybepublishedasasinglelogostandardoftheorganizationinwhichthefinaldraftInternationalStandardwasapproved.Thejointworkinggroupisautomatically
disbanded.
B.4.2.9 StandardsdevelopedundertheMode5IntegratedliaisonviaajointworkinggroupbetweenISOandIECarepublishedbytheorganizationofthecommittee
havingadministrativeresponsibility.Thatorganizationassignsthereferencenumberofthestandardandownsthecopyrightofthestandard.Thestandardcarriesthelogoof
theotherorganizationandmaybesoldbybothorganizations.TheforewordoftheInternationalStandardwillidentifyallthecommitteesresponsibleforthedevelopment.
ForthosestandardswherethecommitteewiththeadministrativeresponsibilityisintheIEC,thentheforewordwillalsogivetheISOvotingresults.ISOleaddocumentsare
assignednumbersfrom1to59999.IECleaddocumentsareassignednumbersfrom60000to79999.Inthecaseofmultipartstandards,somepartsbeingunderISO
responsibilityandsomebeingunderIECresponsibility,anumberinthe80000seriesisassigned(e.g.ISO800001,IEC800006).
B.4.2.10 ThemaintenanceprocedurestobeusedforstandardsdevelopedundertheMode5Integratedliaisonwillbethosecurrentlyappliedintheorganizationwhich
hasthecommitteewiththeadministrativeresponsibility.
B.4.2.11 Ifthereisareason,duringthedevelopmentoftheproject,tochangefromonemodeofoperationtoanother,arecommendationshallbemadebybothtechnical
committeesconcernedandsubmittedtothetwotechnicalmanagementboardsforinformation.
B.4.3 Cooperationofsecretariats
Thesecretariatsofthetechnicalcommittees/subcommitteesfromthetwoorganizationsconcernedshallcooperateontheimplementationofthisagreement.Thereshallbea
completeinformationflowonongoingworkandavailabilityondemandtoeachotherofworkingdocuments,inaccordancewithnormalprocedures.
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AnnexC(normative)Justificationofproposalsfortheestablishmentofstandards
C.1 General
C.1.1 Becauseofthelargefinancialresourcesandmanpowerinvolvedandthenecessitytoallocatetheseaccordingtotheneeds,itisimportantthatanystandardization
activitybeginbyidentifyingtheneeds,determiningtheaimsofthestandard(s)tobepreparedandtheintereststhatmaybeaffected.Thiswill,moreover,helptoensurethat
thestandardsproducedwillcoverappropriatelytheaspectsrequiredandbemarketrelevantfortheaffectedsectors.Anynewactivityshallthereforebereasonablyjustified
beforeitisbegun.
C.1.2 Itisunderstoodthat,whateverconclusionsmaybedrawnonthebasisoftheannex,aprerequisiteofanynewworktobecommencedwouldbeaclearindicationof
thereadinessofasufficientnumberofrelevantinterestedpartiestoallocatenecessarymanpower,fundsandtotakeanactivepartinthework.
C.1.3 Thisannexsetsoutrulesforproposingandjustifyingnewwork,sothatproposalswilloffertootherstheclearestpossibleideaofthepurposesandextentofthe
work,inordertoensurethatstandardizationresourcesarereallyallocatedbythepartiesconcernedandareusedtothebesteffect.
C.1.4 Thisannexdoesnotcontainrulesofprocedureforimplementingandmonitoringtheguidelinescontainedinit,nordoesitdealwiththeadministrativemechanism
whichshouldbeestablishedtothiseffect.
C.1.5 Thisannexisaddressedprimarilytotheproposerofanykindofnewworktobestartedbutmayserveasatoolforthosewhowillanalysesuchaproposalor
commentonit,aswellasforthebodyresponsiblefortakingadecisionontheproposal.
C.2 Termsanddefinitions
C.2.1
proposalfornewwork
proposalforanewfieldoftechnicalactivityorforanewworkitem
C.2.2
proposalforanewfieldoftechnicalactivity
proposalforthepreparationof(a)standard(s)inafieldthatisnotcoveredbyanexistingcommittee(suchasatechnicalcommittee,subcommitteeorprojectcommittee)of
theorganizationtowhichtheproposalismade
C.2.3
proposalforanewworkitem
proposalforthepreparationofastandardoraseriesofrelatedstandardsinthefieldcoveredbyanexistingcommittee(suchasatechnicalcommittee)oftheorganization
towhichtheproposalismade
C.3 Generalprinciples
C.3.1 Anyproposalfornewworkshallliewithinthescopeoftheorganizationtowhichitissubmitted.
NOTE
Forexample,theobjectsofISOarelaiddowninitsStatutesandofIECinArticle2ofitsStatutes.
C.3.2 ThedocumentationjustifyingnewworkinISOandIECshallmakeasubstantialcaseforthemarketrelevanceoftheproposal.
C.3.3 ThedocumentationjustifyingnewworkinISOandIECshallprovidesolidinformationasafoundationforinformedISOorIECnationalbodyvoting.
C.3.4 WithintheISOandIECsystems,theonusisconsideredtobeplacedontheproposertoprovidetheproperdocumentationtosupportprinciplesC.3.2andC.3.3stated
above.
C.4 Elementstobeclarifiedwhenproposinganewfieldoftechnicalactivityoranewworkitem
C.4.1 Proposalsfornewfieldsoftechnicalactivityandnewworkitemsshallincludethefollowingfieldsofinformation(C.4.2toC.4.13).
C.4.2 Title
Thetitleshallindicateclearlyyetconciselythefieldoftechnicalactivityorthenewworkitemwhichtheproposalisintendedtocover.
EXAMPLE1
(proposalforanewtechnicalactivity)Machinetools.
EXAMPLE2
(proposalforanewworkitem)ElectrotechnicalproductsBasicenvironmentaltestingprocedures.
C.4.3 Scope
C.4.3.1 Fornewfieldsoftechnicalactivity
Thescopeshallpreciselydefinethelimitsofthefieldofactivity.Scopesshallnotrepeatgeneralaimsandprinciplesgoverningtheworkoftheorganizationbutshallindicate
thespecificareaconcerned.
EXAMPLE
Standardizationofallmachinetoolsfortheworkingofmetal,woodandplastics,operatingbyremovalofmaterialorbypressure.
C.4.3.2 Fornewworkitems
Thescopeshallgiveaclearindicationofthecoverageoftheproposednewworkitemand,ifnecessaryforclarity,exclusionsshallbestated.
EXAMPLE1
Thisstandardlistsaseriesofenvironmentaltestprocedures,andtheirseverities,designedtoassesstheabilityofelectrotechnicalproductstoperformunderexpectedconditionsofservice.
Althoughprimarilyintendedforsuchapplications,thisstandardmaybeusedinotherfieldswheredesired.
Otherenvironmentaltests,specifictotheindividualtypesofspecimen,maybeincludedintherelevantspecifications.
EXAMPLE2
Standardizationinthefieldoffisheriesandaquaculture,including,butnotlimitedto,terminology,technicalspecificationsforequipmentandfortheiroperation,characterizationofaquaculture
sitesandmaintenanceofappropriatephysical,chemicalandbiologicalconditions,environmentalmonitoring,datareporting,traceabilityandwastedisposal.
Excluded:
methodsofanalysisoffoodproducts(coveredbyISO/TC34);
personalprotectiveclothing(coveredbyISO/TC94);
environmentalmonitoring(coveredbyISO/TC207).
C.4.4 Proposedinitialprogrammeofwork(forproposalsfornewfieldsoftechnicalactivityonly)
C.4.4.1 Theproposedprogrammeofworkshallcorrespondtoandclearlyreflecttheaimsofthestandardizationactivitiesandshall,therefore,showtherelationship
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betweenthesubjectsproposed.
C.4.4.2 Eachitemontheprogrammeofworkshallbedefinedbyboththesubjectandaspect(s)tobestandardized(forproducts,forexample,theitemswouldbethetypes
ofproducts,characteristics,otherrequirements,datatobesupplied,testmethods,etc.).
C.4.4.3 Supplementaryjustificationmaybecombinedwithparticularitemsintheprogrammeofwork.
C.4.4.4 Theproposedprogrammeofworkshallalsosuggestprioritiesandtargetdatesfornewworkitems(whenaseriesofstandardsisproposed,prioritiesshallbe
suggested).
C.4.5 Indication(s)ofthepreferredtypeortypesofdeliverable(s)tobeproduced
Inthecaseofproposalsfornewfieldsoftechnicalactivity,thismaybeprovidedunderC.4.4.
C.4.6 Alistingofrelevantexistingdocumentsattheinternational,regionalandnationallevels
Anyknownrelevantdocuments(suchasstandardsandregulations)shallbelisted,regardlessoftheirsourceandshouldbeaccompaniedbyanindicationoftheir
significance.
C.4.7 Relationtoandimpactonexistingwork
C.4.7.1 Astatementshallbeprovidedregardinganyrelationorimpacttheproposedworkmayhaveonexistingwork,especiallyexistingISOandIECdeliverables.The
proposershouldexplainhowtheworkdiffersfromapparentlysimilarwork,orexplainhowduplicationandconflictwillbeminimized.
C.4.7.2 Ifseeminglysimilarorrelatedworkisalreadyinthescopeofothercommitteesoftheorganizationorinotherorganizations,theproposedscopeshalldistinguish
betweentheproposedworkandtheotherwork.
C.4.7.3 Theproposershallindicatewhetherhisorherproposalcouldbedealtwithbywideningthescopeofanexistingcommitteeorbyestablishinganewcommittee.
C.4.8 Relevantcountryparticipation
C.4.8.1 Forproposalsfornewfieldsoftechnicalactivity,alistingofrelevantcountriesshouldbeprovidedwherethesubjectoftheproposalisimportanttotheirnational
commercialinterests.
C.4.8.2 Forproposalsfornewworkitemwithinexistingcommittees,alistingofrelevantcountriesshouldbeprovidedwhicharenotalreadyPmembersofthecommittee,
butforwhomthesubjectoftheproposalisimportanttotheirnationalcommercialinterests.
C.4.9 Cooperationandliaison
C.4.9.1 Alistofrelevantexternalinternationalorganizationsorinternalparties(otherthanISOand/orIECcommittees)tobeengagedasliaisonsinthedevelopmentofthe
deliverable(s)shallbeprovided.
C.4.9.2 Inordertoavoidconflictwith,orduplicationofeffortsof,otherbodies,itisimportanttoindicateallpointsofpossibleconflictoroverlap.
C.4.9.3 Theresultofanycommunicationwithotherinterestedbodiesshallalsobeincluded.
C.4.10
Affectedstakeholders
Asimpleandconcisestatementshallbeprovidedidentifyinganddescribingrelevantaffectedstakeholdercategories(includingsmallandmediumsizedenterprises)andhow
theywilleachbenefitfromorbeimpactedbytheproposeddeliverable(s).
C.4.11
Basedocument(forproposalsfornewworkitemsonly)
C.4.11.1 Whentheproposerconsidersthatanexistingwellestablisheddocumentmaybeacceptableasastandard(withorwithoutamendments)thisshallbeindicated
withappropriatejustificationandacopyattachedtotheproposal.
C.4.11.2 AllproposalsfornewworkitemsshallincludeanattachedexistingdocumenttoserveasaninitialbasisfortheISOorIECdeliverableoraproposedoutlineor
tableofcontents.
C.4.11.3 Ifanexistingdocumentisattachedthatiscopyrightedorincludescopyrightedcontent,theproposershallensurethatappropriatepermissionshavebeengranted
inwritingforISOorIECtousethatcopyrightedcontent.
C.4.12
Leadershipcommitment
C.4.12.1 Inthecaseofaproposalforanewfieldoftechnicalactivity,theproposershallindicatewhetherhisorganizationispreparedtoundertakethesecretariatwork
required.
C.4.12.2 Inthecaseofaproposalfornewworkitem,theproposershallalsonominateaprojectleader.
C.4.13
Purposeandjustification
C.4.13.1 Thepurposeandjustificationofthestandardtobepreparedshallbemadeclearandtheneedforstandardizationofeachaspect(suchascharacteristics)tobe
includedinthestandardshallbejustified.
C.4.13.2 Ifaseriesofnewworkitemsisproposedthepurposeandthejustificationofwhichiscommon,acommonproposalmaybedraftedincludingallelementstobe
clarifiedandenumeratingthetitlesandscopesofeachindividualitem.
C.4.13.3 Pleasenotethattheitemslistedinthebulletpointsbelowrepresentamenuofsuggestionsorideasforpossibledocumentationtosupportthepurposeand
justificationofproposals.Proposersshouldconsiderthesesuggestions,buttheyarenotlimitedtothem,noraretheyrequiredtocomplystrictlywiththem.Whatismost
importantisthatproposersdevelopandprovidepurposeandjustificationinformationthatismostrelevanttotheirproposalsandthatmakesasubstantialbusinesscasefor
themarketrelevanceandneedoftheirproposals.Thorough,welldevelopedandrobustpurposeandjustificationdocumentationwillleadtomoreinformedconsiderationof
proposalsandultimatelytheirpossiblesuccessintheISOandIECsystems.
Asimpleandconcisestatementdescribingthebusiness,technological,societalorenvironmentalissuethattheproposalseekstoaddress,preferablylinkedtothe
StrategicBusinessPlanoftheconcernedISOorIECcommittee.
Documentationonrelevantglobalmetricsthatdemonstratetheextentormagnitudeoftheeconomic,technological,societalorenvironmentalissue,orthenewmarket.
Thismayincludeanestimateofthepotentialsalesoftheresultingstandard(s)asanindicatorofpotentialusageandglobalrelevance.
Technologicalbenefitasimpleandconcisestatementdescribingthetechnologicalimpactoftheproposaltosupportcoherenceinsystemsandemergingtechnologies,
convergenceofmergingtechnologies,interoperability,resolutionofcompetingtechnologies,futureinnovation,etc.
Economicbenefitasimpleandconcisestatementdescribingthepotentialoftheproposaltoremovebarrierstotrade,improveinternationalmarketaccess,support
publicprocurement,improvebusinessefficiencyforabroadrangeofenterprisesincludingsmallandmediumsizedones,and/orresultinaflexible,costeffectivemeans
ofcomplyingwithinternationalandregionalrules/conventions,etc.Asimplecost/benefitanalysisrelatingthecostofproducingthedeliverable(s)totheexpected
economicbenefittobusinessesworldwidemayalsobehelpful.
Societalbenefit(s)asimpleandconcisestatementdescribinganysocietalbenefitsexpectedfromtheproposeddeliverable(s).
Environmentalbenefit(s)asimpleandconcisestatementdescribinganyenvironmentalorwidersustainabilitybenefitsexpectedfromtheproposeddeliverable(s).
Asimpleandconcisestatementclearlydescribingtheintendeduse(s)oftheproposeddeliverable(s),forexample,whetherthedeliverableisintendedasrequirementsto
supportconformityassessmentoronlyasguidanceorrecommendedbestpractices;whetherthedeliverableisamanagementsystemstandard;whetherthedeliverableis
intendedforuseorreferenceintechnicalregulation;whetherthedeliverableisintendedtobeusedtosupportlegalcasesinrelationtointernationaltreatiesand
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agreements.
Asimpleandconcisestatementofmetricsforthecommitteetotrackinordertoassesstheimpactofthepublishedstandardovertimetoachievethebenefitsto
stakeholdersdocumentedunderC.4.10above.
Astatementassessingtheprospectoftheresultingdeliverable(s)beingcompliantwith,fortheIEC,theIECGlobalRelevancePolicy:
http://www.iec.ch/members_experts/refdocs/ac_cl/AC_200817e_AC.pdfandforISO,withISO'sGlobalRelevancePolicy
http://www.iso.org/iso/home/standards_development/governance_of_technical_work.htmandtheISO/TMBrecommendations(seeNOTE1below)regarding
sustainabledevelopmentandsustainability,whererelevant.
NOTE1
ForISO,theISO/TMBconfirmedthefollowingrecommendations:1)Whenacommittee(inanysector)developsastandarddealingwithsustainability/sustainabledevelopmentthe
standardmustremainwithinthecontextofthecommittee'sscopeofwork;2)ThecommitteeshouldalsonotifytheTMBwiththetitleandscopeasearlyaspossible;3)Thecommittee
undertakingsuchworkshouldclarifyitsintentionsintheIntroductionofthespecificstandard(s);4)ThemostwidelyuseddefinitionofsustainabledevelopmentistheonefromtheUN
Brundtlandcommitteeonsustainabledevelopment:developmentthatmeetstheneedsofthepresentwithoutcompromisingtheabilityoffuturegenerationstomeettheirownneeds.
Astatementassessingtheproposal'scompliancewiththePrinciplesfordevelopingISOandIECStandardsrelatedtoorsupportingpublicpolicyinitiatives(forISOsee
AnnexSOintheConsolidatedISOSupplementandforIECandISOseeUsingandreferencingISOandIECstandardsfortechnicalregulations:
http://www.iso.org/iso/standards_for_technical_regulations.pdf)andthepossiblerelationoftheresultingdeliverable(s)topublicpolicy,includingastatementregarding
thepotentialforeasiermarketaccessduetoconformitywithappropriatelegislation.
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AnnexD(normative)Resourcesofsecretariatsandqualificationsofsecretaries
D.1 Termsanddefinitions
D.1.1
secretariat
nationalbodytowhichhasbeenassigned,bymutualagreement,theresponsibilityforprovidingtechnicalandadministrativeservicestoatechnicalcommitteeor
subcommittee
D.1.2
secretary
individualappointedbythesecretariattomanagethetechnicalandadministrativeservicesprovided
D.2 Resourcesofasecretariat
Anationalbodytowhichasecretariathasbeenassignedshallrecognizethat,nomatterwhatarrangementsitmakesinitscountrytoprovidetherequiredservices,itisthe
nationalbodyitselfthatisultimatelyresponsiblefortheproperfunctioningofthesecretariat.NationalbodiesundertakingsecretariatfunctionsshallbecomepartytotheISO
ServiceAgreementorIECBasicAgreement,asappropriate.
Thesecretariatshallthereforehaveadequateadministrativeandfinancialmeansorbackingtoensure:
a) facilitiesforwordprocessinginEnglishand/orFrench,forprovidingtextselectronically,andforanynecessaryreproductionofdocuments;
b) preparationofadequatetechnicalillustrations;
c) identificationanduse,withtranslationwherenecessary,ofdocumentsreceivedintheofficiallanguages;
d) updatingandcontinuoussupervisionofthestructureofthecommitteeanditssubsidiarybodies,ifany;
e) receptionandpromptdispatchofcorrespondenceanddocuments;
f) adequatecommunicationfacilitiesbytelephone,telefaxandelectronicmail;
g) accesstotheInternet;
h) arrangementsandfacilitiesfortranslation,interpretationandservicesduringmeetings,incollaborationwiththehostnationalbody,asrequired;
i) attendanceofthesecretaryatanymeetingsrequiringhis/herpresence,includingtechnicalcommitteeand/orsubcommitteemeetings,editingcommitteemeetings,
workinggroupmeetings,andconsultationswiththechairwhennecessary;
j) accessbythesecretarytobasicInternationalStandards(seetheISO/IECDirectives,Part2,2011,AnnexB)andtoInternationalStandards,nationalstandardsand/or
relateddocumentsinthefieldunderconsideration;
k) accessbythesecretary,whennecessary,toexpertscapableofadvisingontechnicalissuesinthefieldofthecommittee.
WhilsttheChiefExecutiveOfficerendeavourstosendhisrepresentativetothefirstmeetingofatechnicalcommittee,tomeetingsoftechnicalcommitteeswithnew
secretariats,andtoanytechnicalcommitteeorsubcommitteemeetingwheresuchpresenceisdesirableforsolvingproblems,theofficeoftheCEOcannotundertaketocarry
outtheworkforasecretariat,onapermanentortemporarybasis.
D.3 Requirementsofasecretary
Theindividualappointedassecretaryshall
a) havesufficientknowledgeofEnglishand/orFrench;
b) befamiliarwiththeStatutesandrulesofprocedure,asappropriate,andwiththeISO/IECDirectives(seetherespectiveSupplementstotheISO/IECDirectives);
c) beinapositiontoadvisethecommitteeandanysubsidiarybodiesonanypointofprocedureordrafting,afterconsultationwiththeofficeoftheCEOifnecessary;
d) beawareofanycouncilboardortechnicalmanagementboarddecisionregardingtheactivitiesofthetechnicalcommitteesingeneralandofthecommitteeforwhichs/he
isresponsibleinparticular;
e) beagoodorganizerandhavetraininginandabilityfortechnicalandadministrativework,inordertoorganizeandconducttheworkofthecommitteeandtopromote
activeparticipationonthepartofcommitteemembersandsubsidiarybodies,ifany;
f) befamiliarwiththedocumentationsuppliedbytheofficesofCEO,inparticulartheuseofelectronictoolsandservices.
ItisrecommendedthatnewlyappointedsecretariesoftechnicalcommitteesshouldmakeanearlyvisittotheofficeoftheCEOinGenevainordertodiscussproceduresand
workingmethodswiththestaffconcerned.
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AnnexE(normative)Generalpolicyontheuseoflanguages
E.1 Expressingandcommunicatingideasinaninternationalenvironment
Attheinternationallevel,itiscommonpracticetouseatleasttwolanguages.Thereareanumberofreasonswhyitisadvantageoustousetwolanguages,forexample:
greaterclarityandaccuracyofmeaningcanbeachievedbyexpressingagivenconceptintwolanguageswhichhavedifferentgrammarandsyntax;
ifconsensusisreachedonthebasisofatextdraftedinonlyonelanguage,difficultiesmayarisewhenitcomestoputtingthattextintoanotherlanguage.Somequestions
mayhavetoberediscussed,andthiscancausedelayifthetextoriginallyagreeduponhastobealtered.Subsequentdraftingintoasecondlanguageofatextalready
approvedinthefirstlanguageoftenbringstolightdifficultiesofexpressionthatcouldhavebeenavoidedifbothversionshadbeenpreparedatthesametimeandthen
amendedtogether;
toensurethatinternationalmeetingswillbeasproductiveaspossible,itisimportantfortheagreementsreachedtobeutterlydevoidofambiguity,andtherehastobeno
riskthattheseagreementscanbecalledbackintoquestionbecauseofmisunderstandingsofalinguisticnature;
theuseoftwolanguageschosenfromtwolinguisticgroupswidensthenumberofprospectivedelegateswhomightbeappointedtoattendthemeetings;
itbecomeseasiertoexpressaconceptproperlyinotherlanguagesiftherearealreadytwoperfectlyharmonizedversions.
E.2 Theuseoflanguagesinthetechnicalwork
TheofficiallanguagesareEnglish,FrenchandRussian.
Theworkofthetechnicalcommitteesandthecorrespondencemaybeinanyoneormoreoftheselanguages,whicheverisorareappropriate.
Forthepurposesoftheabove,thenationalbodyfortheRussianFederationprovidesallinterpretationandtranslationintoandfromtheRussianlanguage.
E.3 InternationalStandards
InternationalStandardsarepublishedbytheISOandIECinEnglishandinFrench(andsometimesinmultilingualeditionsalsoincludingRussianandotherlanguages,
especiallyincasesofterminology).TheseversionsofagivenInternationalStandardareequivalent,andeachisregardedasbeinganoriginallanguageversion.
ItisadvantageousforthetechnicalcontentofastandardtobeexpressedinbothEnglishandFrenchfromtheoutsetofthedraftingprocedure,sothatthesetwoversionswill
bestudied,amendedandadoptedatthesametimeandtheirlinguisticequivalencewillbeensuredatalltimes.(SeealsotheISO/IECDirectives,Part2,2011,4.5.)
Thismaybedone
bythesecretariator,underthelatter'sresponsibility,withoutsideassistance,or
bytheeditingcommitteeoftheresponsibletechnicalcommitteeorsubcommittee,or
bynationalbodieswhosenationallanguageisEnglishorFrenchandunderanagreementconcludedbetweenthosenationalbodiesandthesecretariatconcerned.
WhenitisdecidedtopublishamultilingualInternationalStandard(avocabulary,forexample),thenationalbodyfortheRussianFederationtakeschargeoftheRussian
portionofthetext;similarly,whenitisdecidedtopublishanInternationalStandardcontainingtermsormaterialinlanguagesotherthantheofficiallanguages,thenational
bodieswhosenationallanguagesareinvolvedareresponsibleforselectingthetermsorfordraftingtheportionsoftextwhicharetobeinthoselanguages.
E.4 Otherpublicationsdevelopedbytechnicalcommittees
Otherpublicationsmaybeissuedinoneofficiallanguageonly.
E.5 Documentsfortechnicalcommitteeandsubcommitteemeetings
E.5.1 Draftsanddocumentsreferredtotheagenda
Thedocumentspreparedandcirculatedpriortoameetingarethefollowing.
a) Draftagendas
DraftagendasarepreparedinbothEnglishandFrenchwheneverpossiblebytheresponsiblesecretariatsandarereproducedanddistributed.
b) Committeedraftsreferredtointheagenda
ItisdesirablethatboththeEnglishandtheFrenchversionsofcommitteedraftsreferredtointheagendawillbeavailableforthemeeting.
EnquirydraftsshallbeavailableinEnglishandFrench.TheISOCouncilorIECStandardizationManagementBoardguidelinesshallbeappliedwhereoneofthelanguage
versionsisnotavailableinduetime.
Otherdocuments(sundryproposals,comments,etc.)relatingtoagendaitemsmaybepreparedinonlyonelanguage(EnglishorFrench).
E.5.2 Documentspreparedandcirculatedduringameeting
Thedocumentspreparedandcirculatedduringameetingarethefollowing.
a) Resolutionsadoptedduringthemeeting
Anadhocdraftingcommittee,formedatthebeginningofeachmeetingandcomprisingthesecretaryand,wheneverpossible,oneormoredelegatesofEnglishand/or
Frenchmothertongue,editseachoftheproposedresolutions.
b) Briefminutes,ifany,preparedaftereachsession
Ifsuchminutesareprepared,theyshallbedraftedinEnglishorFrenchandpreferablyinbothwith,ifnecessary,theassistanceoftheadhocdraftingcommittee.
E.5.3 Documentspreparedandcirculatedafterameeting
Aftereachtechnicalcommitteeorsubcommitteemeeting,thesecretariatconcernedshalldraftareportofthemeeting,whichmaybeinonlyonelanguage(EnglishorFrench)
andwhichincludes,asannex,thefulltextoftheresolutionsadopted,preferablyinbothEnglishandFrench.
E.6 DocumentspreparedinlanguagesotherthanEnglishorFrench
NationalbodieswhosenationallanguageisneitherEnglishnorFrenchmaytranslateanydocumentscirculatedbysecretariatsintotheirownnationallanguageinorderto
facilitatethestudyofthosedocumentsbytheexpertsoftheircountryortoassistthedelegatestheyhaveappointedtoattendthemeetingsofthetechnicalcommitteesand
subcommittees.
Ifonelanguageiscommontotwoormorenationalbodies,oneofthemmayatanytimetaketheinitiativeoftranslatingtechnicaldocumentsintothatlanguageandof
providingcopiestoothernationalbodiesinthesamelinguisticgroup.
Thetermsoftheabovetwoparagraphsmaybeappliedbythesecretariatsfortheirownneeds.
E.7 Technicalmeetings
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E.7.1 Purpose
Thepurposeoftechnicalmeetingsistoachieveasfullagreementaspossibleonthevariousagendaitemsandeveryeffortshallbemadetoensurethatalldelegates
understandoneanother.
E.7.2 InterpretationofdebatesintoEnglishandFrench
AlthoughthebasicdocumentsmaybeavailableinbothEnglishandFrench,ithastobedeterminedaccordingtothecasewhetherinterpretationofstatementsexpressedin
onelanguageshouldbegivenintheotherlanguage
byavolunteerdelegate,
byastaffmemberfromthesecretariatorhostnationalbody,or
byanadequatelyqualifiedinterpreter.
CareshouldalsobetakenthatdelegateswhohaveneitherEnglishnorFrenchasmothertonguecanfollowthemeetingtoasufficientextent.
Itisimpracticaltospecifyrulesconcerningthenecessityofinterpretingthedebatesattechnicalmeetings.Itisessential,ofcoursethatalldelegatesshouldbeabletofollow
thediscussions,butitmaynotbealtogetheressentialtohaveawordforwordinterpretationofeachstatementmade.
Inviewoftheforegoing,andexceptinspecialcaseswhereinterpretationmaynotbenecessary,thefollowingpracticeisconsideredappropriate:
a) formeetingswhereproceduraldecisionsareexpectedtobetaken,briefinterpretationmaybeprovidedbyamemberofthesecretariatoravolunteerdelegate;
b) atworkinggroupmeetings,themembersshould,wheneverpossible,arrangebetweenthemselvesforanynecessaryinterpretationontheinitiativeandunderthe
authorityoftheconvenoroftheworkinggroup.
Toenablethesecretariatresponsibleforameetingtomakeanynecessaryarrangementsforinterpretation,thesecretariatshouldbeinformed,atthesametimeasitis
notifiedofattendanceatthemeeting,ofthelanguagesinwhichthedelegatesareabletoexpressthemselvesandofanyaidwhichdelegatesmightbeabletoprovideinthe
matterofinterpretation.
Inthosecaseswhereameetingisconductedmainlyinonelanguage,thefollowingpracticeshouldbeadoptedasfarasispracticableinordertoassistdelegateshavingthe
otherlanguage:
a) thedecisiontakenononesubjectshouldbeannouncedinbothlanguagesbeforepassingtothenextsubject;
b) wheneverachangetoanexistingtextisapprovedinonelanguage,timeshouldbeallowedfordelegatestoconsidertheeffectofthischangeontheotherlanguageversion;
c) asummaryofwhathasbeensaidshouldbeprovidedintheotherlanguageifadelegatesorequests.
E.7.3 InterpretationintoEnglishandFrenchofstatementsmadeinotherlanguages
Whenatameetingofatechnicalcommitteeorasubcommitteeaparticipantwishes,inviewofexceptionalcircumstances,tospeakinanylanguageotherthanEnglishor
French,thechairofthesessionshallbeentitledtoauthorizethis,forthesessioninquestion,providedthatameansofinterpretationhasbeensecured.
Inordertogiveallexpertsanequalopportunitytoexpresstheirviewsatmeetingsoftechnicalcommitteesandsubcommittees,averyflexibleapplicationofthisprovisionis
recommended.
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AnnexF(normative)Optionsfordevelopmentofaproject
F.1 Simplifieddiagramofoptions
F.2 Fasttrackprocedure
F.2.1 Proposalstoapplythefasttrackproceduremaybemadeasfollows.
F.2.1.1 AnyPmemberorcategoryAliaisonorganizationofaconcernedtechnicalcommitteeorsubcommitteemayproposethatanexistingstandardfromanysourcebe
submittedforvoteasanenquirydraft.Theproposershallobtaintheagreementoftheoriginatingorganizationbeforemakingaproposal.Thecriteriaforproposingan
existingstandardforthefasttrackprocedureareamatterforeachproposertodecide.
F.2.1.2 AninternationalstandardizingbodyrecognizedbytheISOorIECcouncilboardmayproposethatastandarddevelopedbythatbodybesubmittedforvoteasa
finaldraftInternationalStandard.
F.2.1.3 AnorganizationhavingenteredintoaformaltechnicalagreementwithISOorIECmaypropose,inagreementwiththeappropriatetechnicalcommitteeor
subcommittee,thatadraftstandarddevelopedbythatorganizationbesubmittedforvoteasanenquirydraftwithinthattechnicalcommitteeorsubcommittee.
F.2.2 TheproposalshallbereceivedbytheChiefExecutiveOfficer,whoshalltakethefollowingactions:
a) settlethecopyrightand/ortrademarksituationwiththeorganizationhavingoriginatedtheproposeddocument,sothatitcanbefreelycopiedanddistributedtonational
bodieswithoutrestriction;
b) forcasesF.2.1.1andF.2.1.3,assessinconsultationwiththerelevantsecretariatswhichtechnicalcommittee/subcommitteeiscompetentforthesubjectcoveredbythe
proposeddocument;wherenotechnicalcommitteeexistscompetenttodealwiththesubjectofthedocumentinquestion,theChiefExecutiveOfficershallreferthe
proposaltothetechnicalmanagementboard,whichmayrequesttheChiefExecutiveOfficertosubmitthedocumenttotheenquirystageandtoestablishanadhocgroup
todealwithmatterssubsequentlyarising;
c) ascertainthatthereisnoevidentcontradictionwithotherInternationalStandards;
d) distributetheproposeddocumentasanenquirydraft(F.2.1.1andF.2.1.3)inaccordancewith2.6.1,orasafinaldraftInternationalStandard(caseF.2.1.2)inaccordance
with2.7.1,indicating(incasesF.2.1.1andF.2.1.3)thetechnicalcommittee/subcommitteetothedomainofwhichtheproposeddocumentbelongs.
F.2.3 Theperiodforvotingandtheconditionsforapprovalshallbeasspecifiedin2.6foranenquirydraftand2.7forafinaldraftInternationalStandard.Inthecasewhere
notechnicalcommitteeisinvolved,theconditionforapprovalofafinaldraftInternationalStandardisthatnotmorethanonequarterofthetotalnumberofvotescastare
negative.
InISOthevotingperiodonaproposalsubmittedasafinaldraftInternationalStandardshallbe5months.
F.2.4 If,foranenquirydraft,theconditionsofapprovalaremet,thedraftstandardshallprogresstotheapprovalstage(2.7).Ifnot,theproposalhasfailedandanyfurther
actionshallbedecideduponbythetechnicalcommittee/subcommitteetowhichthedocumentwasattributedinaccordancewithF.2.2b).
ThecommitteeleadershipcandecidewhetherornottoskiptheFDISvote,andgostraighttopublicationsee2.6.4.
If,forafinaldraftInternationalStandard,theconditionsofapprovalaremet,thedocumentshallprogresstothepublicationstage(2.8).Ifnot,theproposalhasfailedandany
furtheractionshallbedecideduponbythetechnicalcommittee/subcommitteetowhichtheFDISwasattributedinaccordancewithF.2.2b),orbydiscussionbetweenthe
originatingorganizationandtheofficeoftheCEOifnotechnicalcommitteewasinvolved.
Ifthestandardispublished,itsmaintenanceshallbehandledbythetechnicalcommittee/subcommitteetowhichthedocumentwasattributedinaccordancewithF.2.2b),or,
ifnotechnicalcommitteewasinvolved,theapprovalproceduresetoutaboveshallberepeatediftheoriginatingorganizationdecidesthatchangestothestandardare
required.
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AnnexG(normative)Maintenanceagencies
G.1AtechnicalcommitteeorsubcommitteedevelopinganInternationalStandardthatwillrequireamaintenanceagencyshallinformtheChiefExecutiveOfficeratanearly
stageinorderthatanISO/TMBorIECCouncilBoarddecisionmaybetakeninadvanceofthepublicationoftheInternationalStandard.
G.2TheISO/TMBorIECCouncilBoarddesignatesmaintenanceagenciesinconnectionwithInternationalStandards,includingappointmentoftheirmembers,onthe
proposalofthetechnicalcommitteeconcerned.
G.3Thesecretariatofamaintenanceagencyshouldbeattributedwhereverpossibletothesecretariatofthetechnicalcommitteeorsubcommitteethathaspreparedthe
InternationalStandard.
G.4TheChiefExecutiveOfficershallberesponsibleforcontactswithexternalorganizationsassociatedwiththeworkofamaintenanceagency.
G.5TherulesofprocedureofmaintenanceagenciesshallbesubjecttoISO/TMBorIECCouncilBoardapprovalandanyrequesteddelegationofauthorityinconnectionwith
theupdatingoftheInternationalStandardortheissuingofamendmentsshallbespecificallyauthorizedbytheISO/TMBorIECCouncilBoard.
G.6Anychargesforservicesprovidedbyamaintenanceagencyshallbeauthorizedbythecouncilboard.
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AnnexH(normative)Registrationauthorities
H.1AtechnicalcommitteeorsubcommitteedevelopinganInternationalStandardthatwillrequirearegistrationauthorityshallinformtheChiefExecutiveOfficeratanearly
stage,inordertopermitanynecessarynegotiationsandtoallowthetechnicalmanagementboardtotakeadecisioninadvanceofthepublicationoftheInternational
Standard.
H.2ThetechnicalmanagementboarddesignatesregistrationauthoritiesinconnectionwithInternationalStandardsontheproposalofthetechnicalcommitteeconcerned.
H.3Registrationauthoritiesshouldbequalifiedandinternationallyacceptablebodies;ifthereisnosuchorganizationavailable,suchtasksmaybeconferredupontheoffice
oftheCEObydecisionofthetechnicalmanagementboard.
H.4RegistrationauthoritiesshouldberequiredtoindicateclearlyintheiroperationsthattheyhavebeendesignatedbyISOorIEC(forexample,byincludingappropriate
wordingintheletterheadofthedesignatedbody).
H.5RegistrationfunctionsundertakenbytheregistrationauthorityundertheprovisionsoftherelevantInternationalStandardshallrequirenofinancialcontributionfrom
ISOorIECortheirmembers.Thiswouldnotpreclude,however,thechargingforservicesprovidedbytheregistrationauthorityifdulyauthorizedbythecouncilboard.
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AnnexI(normative)GuidelineforImplementationoftheCommonPatentPolicyforITUT/ITUR/ISO/IEC
ThelatesteditionoftheGuidelinesforImplementationoftheCommonPatentPolicyforITUT/ITUR/ISO/IECareavailableontheISOwebsitethroughthefollowinglink
(includingtheformsinWordorExcelformats):
http://www.iso.org/iso/home/standards_development/governance_of_technical_work/patents.htm
TheyarealsoavailableontheIECwebsitethroughthefollowinglink:
http://www.iec.ch/members_experts/tools/patents/documents/ITUT_ITUR_ISO_IEC_Common_Guidelines.pdf
GuidelinesforImplementationoftheCommonPatentPolicyforITUT/ITUR/ISO/IEC
Revision1,effective23April2012
Revisesinitialeditionof1March2007
CONTENTS
PartICommonguidelines
I.1Purpose
I.2Explanationofterms
I.3Patentdisclosure
I.4PatentStatementandLicensingDeclarationForm
I.4.1ThepurposeoftheDeclarationForm
I.4.2Contactinformation
I.5Conductofmeetings
I.6PatentInformationdatabase
I.7AssignmentorTransferofPatentRights
PartIIOrganizationspecificprovisions
II.1SpecificprovisionsforITU
II.2SpecificprovisionsforISOandIEC
ANNEX1:COMMONPATENTPOLICYFORITUT/ITUR/ISO/IEC
ANNEX2:PATENTSTATEMENTANDLICENSINGDECLARATIONFORMFORITUTORITURRECOMMENDATION|ISOORIECDELIVERABLE
ANNEX3:GENERALPATENTSTATEMENTANDLICENSINGDECLARATIONFORMFORITUTORITURRECOMMENDATION
GuidelinesforImplementationoftheCommonPatentPolicyforITUT/ITUR/ISO/IEC
Revision1,effective23April2012
PartICommonguidelines
I.1 Purpose
ITU,initsTelecommunicationStandardizationSector(ITUT)anditsRadiocommunicationSector(ITUR),ISOandIEChavehadpatentpoliciesformanyyears,thepurpose
beingtoprovideinsimplewordspracticalguidancetotheparticipantsintheirTechnicalBodiesincasepatentrightsmattersarise.
Consideringthatthetechnicalexpertsarenormallynotfamiliarwiththecomplexissueofpatentlaw,theCommonPatentPolicyforITUT/ITUR/ISO/IEC(hereafterreferred
toasthePatentPolicy)wasdraftedinitsoperativepartasachecklist,coveringthethreedifferentcaseswhichmayariseifaRecommendation|Deliverablerequires
licencesforPatentstobepracticedorimplemented,fullyorpartly.
TheGuidelinesforImplementationoftheCommonPatentPolicyforITUT/ITUR/ISO/IEC(hereafterreferredtoastheGuidelines)areintendedtoclarifyandfacilitate
implementationofthePatentPolicy,acopyofwhichcanbefoundinAnnex1andalsoonthewebsiteofeachOrganization.
ThePatentPolicyencouragestheearlydisclosureandidentificationofPatentsthatmayrelatetoRecommendations|Deliverablesunderdevelopment.Indoingso,greater
efficiencyinstandardsdevelopmentispossibleandpotentialpatentrightsproblemscanbeavoided.
TheOrganizationsshouldnotbeinvolvedinevaluatingpatentrelevanceoressentialitywithregardstoRecommendations|Deliverables,interferewithlicensing
negotiations,orengageinsettlingdisputesonPatents;thisshouldbeleftasinthepasttothepartiesconcerned.
OrganizationspecificprovisionsarecontainedinPartIIofthisdocument.However,itisunderstoodthatthoseOrganizationspecificprovisionsshallcontradictneitherthe
PatentPolicynortheGuidelines.
I.2 Explanationofterms
Contribution:AnydocumentsubmittedforconsiderationbyaTechnicalBody.
FreeofCharge:ThewordsFreeofChargedonotmeanthatthePatentHolderiswaivingallofitsrightswithrespecttothePatent.Rather,FreeofChargereferstothe
issueofmonetarycompensation;i.e.,thatthePatentHolderwillnotseekanymonetarycompensationaspartofthelicensingarrangement(whethersuchcompensationis
calledaroyalty,aonetimelicensingfee,etc.).However,whilethePatentHolderinthissituationiscommittingtonotcharginganymonetaryamount,thePatentHolderisstill
entitledtorequirethattheimplementeroftherelevantRecommendation|Deliverablesignalicenseagreementthatcontainsotherreasonabletermsandconditionssuchas
thoserelatingtogoverninglaw,fieldofuse,warranties,etc.
Organizations:ITU,ISOandIEC.
Patent:ThewordPatentmeansthoseclaimscontainedinandidentifiedbypatents,utilitymodelsandothersimilarstatutoryrightsbasedoninventions(including
applicationsforanyofthese)solelytotheextentthatanysuchclaimsareessentialtotheimplementationofaRecommendation|Deliverable.Essentialpatentsarepatents
thatwouldberequiredtoimplementaspecificRecommendation|Deliverable.
PatentHolder:Personorentitythatowns,controlsand/orhastheabilitytolicensePatents.
Reciprocity:ThewordReciprocitymeansthatthePatentHoldershallonlyberequiredtolicenseanyprospectivelicenseeifsuchprospectivelicenseewillcommitto
licenseitsPatent(s)forimplementationofthesamerelevantRecommendation|DeliverableFreeofChargeorunderreasonabletermsandconditions.
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Recommendations|Deliverables:ITUTandITURRecommendationsarereferredtoasRecommendations,ISOdeliverablesandIECdeliverablesarereferredtoas
Deliverables.ThevarioustypesofRecommendation(s)|Deliverable(s)arereferredtoasDocumenttypesinthePatentStatementandLicensingDeclarationForm
(hereafterreferredtoasDeclarationForm)attachedasAnnex2.
TechnicalBodies:StudyGroups,anysubordinategroupsandothergroupsofITUTandITURandtechnicalcommittees,subcommitteesandworkinggroupsinISOandIEC.
I.3 Patentdisclosure
AsmandatedbythePatentPolicyinitsparagraph1,anypartyparticipating3intheworkoftheOrganizationsshould,fromtheoutset,drawtheirattentiontoanyknown
PatentortoanyknownpendingPatentapplication,eitheritsownorthatofotherorganizations.
Inthiscontext,thewordsfromtheoutsetimplythatsuchinformationshouldbedisclosedasearlyaspossibleduringthedevelopmentoftheRecommendation|
Deliverable.Thismightnotbepossiblewhenthefirstdrafttextappearssinceatthistime,thetextmightbestilltoovagueorsubjecttosubsequentmajormodifications.
Moreover,thatinformationshouldbeprovidedingoodfaithandonabesteffortbasis,butthereisnorequirementforpatentsearches.
Inadditiontotheabove,anypartynotparticipatinginTechnicalBodiesmaydrawtheattentionoftheOrganizationstoanyknownPatent,eithertheirownand/orofany
thirdparty.
WhendisclosingtheirownPatents,PatentHoldershavetousethePatentStatementandLicensingDeclarationForm(referredtoastheDeclarationForm)asstatedin
Section4oftheseGuidelines.
AnycommunicationdrawingtheattentiontoanythirdpartyPatentshouldbeaddressedtotheconcernedOrganization(s)inwriting.ThepotentialPatentHolderwillthenbe
requestedbytheDirector/CEOoftherelevantOrganization(s)tosubmitaDeclarationForm,ifapplicable.
ThePatentPolicyandtheseGuidelinesalsoapplytoanyPatentdisclosedordrawntotheattentionoftheOrganizationssubsequenttotheapprovalofaRecommendation|
Deliverable.
WhethertheidentificationofthePatenttookplacebeforeoraftertheapprovaloftheRecommendation|Deliverable,ifthePatentHolderisunwillingtolicenseunder
paragraph2.1or2.2ofthePatentPolicy,theOrganizationswillpromptlyadvisetheTechnicalBodiesresponsiblefortheaffectedRecommendation|Deliverablesothat
appropriateactioncanbetaken.Suchactionwillinclude,butmaynotbelimitedto,areviewoftheRecommendation|Deliverableoritsdraftinordertoremovethepotential
conflictortofurtherexamineandclarifythetechnicalconsiderationscausingtheconflict.
I.4 PatentStatementandLicensingDeclarationForm
I.4.1 ThepurposeoftheDeclarationForm
ToprovideclearinformationinthePatentInformationdatabasesofeachOrganization,PatentHoldershavetousetheDeclarationForm,whichisavailableonthewebsiteof
eachOrganization(theDeclarationFormisincludedinAnnex2forinformationpurposes).TheymustbesenttotheOrganizationsfortheattention,forITU,oftheDirectors
oftheTSBortheBRor,forISOorIEC,oftheCEOs.ThepurposeoftheDeclarationFormistoensureastandardizedsubmissiontotherespectiveOrganizationsofthe
declarationsbeingmadebyPatentHolders.
TheDeclarationFormgivesPatentHoldersthemeansofmakingalicensingdeclarationrelativetorightsinPatentsrequiredforimplementationofaspecific
Recommendation|Deliverable.Specifically,bysubmittingthisDeclarationFormthesubmittingpartydeclaresitswillingnesstolicense(byselectingoption1or2onthe
Form)/oritsunwillingnesstolicense(byselectingoption3ontheForm),accordingtothePatentPolicy,Patentsheldbyitandwhoselicencewouldberequiredtopractice
orimplementpart(s)orallofaspecificRecommendation|Deliverable.
IfaPatentHolderhasselectedthelicensingoption3ontheDeclarationForm,then,forthereferencedrelevantITURecommendation,theITUrequiresthePatentHolderto
providecertainadditionalinformationpermittingpatentidentification.Insuchasituation,foranyrelevantISOorIECDeliverable,theISOandIECstronglyencourage(butdo
notrequire)thePatentHoldertoprovidecertainadditionalinformationpermittingpatentidentification.
MultipleDeclarationFormsareappropriateifthePatentHolderwishestoidentifyseveralPatentsandclassifiesthemindifferentoptionsoftheDeclarationFormforthe
sameRecommendation|DeliverableorifthePatentHolderclassifiesdifferentclaimsofacomplexpatentindifferentoptionsoftheDeclarationForm.
InformationcontainedinaDeclarationFormmaybecorrectedincaseofobviouserrors,suchasatypographicalmistakeinastandardorpatentreferencenumber.The
licensingdeclarationcontainedintheDeclarationFormremainsinforceunlessitissupersededbyanotherDeclarationFormcontainingmorefavourablelicensingtermsand
conditionsfromalicensee'sperspectivereflecting(a)achangeincommitmentfromoption3toeitheroption1oroption2,(b)achangeincommitmentfromoption2to
option1or(c)uncheckingoneormoresuboptionscontainedwithinoption1or2.
I.4.2 Contactinformation
IncompletingDeclarationForms,attentionshouldbegiventosupplyingcontactinformationthatwillremainvalidovertime.Wherepossible,theNameandDepartment
andemailaddressshouldbegeneric.Alsoitispreferable,wherepossible,thatparties,particularlymultinationalorganizations,indicatethesamecontactpointonall
DeclarationFormssubmitted.
WithaviewtomaintaininguptodateinformationinthePatentInformationdatabaseofeachOrganization,itisrequestedthattheOrganizationsbeinformedofanychange
orcorrectionstotheDeclarationFormsubmittedinthepast,especiallywithregardtothecontactperson.
I.5 Conductofmeetings
EarlydisclosureofPatentscontributestotheefficiencyoftheprocessbywhichRecommendations|Deliverablesareestablished.Therefore,eachTechnicalBody,inthe
courseofthedevelopmentofaproposedRecommendation|Deliverable,willrequestthedisclosureofanyknownPatentsessentialtotheproposedRecommendation|
Deliverable.
ChairmenofTechnicalBodieswill,ifappropriate,ask,atanappropriatetimeineachmeeting,whetheranyonehasknowledgeofpatents,theuseofwhichmayberequiredto
practiceorimplementtheRecommendation|Deliverablebeingconsidered.Thefactthatthequestionwasaskedshallberecordedinthemeetingreport,alongwithany
affirmativeresponses.
AslongastheOrganizationconcernedhasreceivednoindicationofaPatentHolderselectingparagraph2.3ofthePatentPolicy,theRecommendation|Deliverablemaybe
approvedusingtheappropriateandrespectiverulesoftheOrganizationconcerned.ItisexpectedthatdiscussionsinTechnicalBodieswillincludeconsiderationofincluding
patentedmaterialinaRecommendation|Deliverable,howevertheTechnicalBodiesmaynottakepositionregardingtheessentiality,scope,validityorspecificlicensing
termsofanyclaimedPatents.
I.6 PatentInformationdatabase
InordertofacilitateboththestandardsmakingprocessandtheapplicationofRecommendations|Deliverables,eachOrganizationmakesavailabletothepublicaPatent
InformationdatabasecomposedofinformationthatwascommunicatedtotheOrganizationsbythemeansofDeclarationForms.ThePatentInformationdatabasemay
containinformationonspecificpatents,ormaycontainnosuchinformationbutratherastatementaboutcompliancewiththePatentPolicyforaparticularRecommendation
|Deliverable.
ThePatentInformationdatabasesarenotcertifiedtobeeitheraccurateorcomplete,butonlyreflecttheinformationthathasbeencommunicatedtotheOrganizations.As
such,thePatentInformationdatabasesmaybeviewedassimplyraisingaflagtoalertusersthattheymaywishtocontacttheentitieswhohavecommunicatedDeclaration
FormstotheOrganizationsinordertodetermineifpatentlicensesmustbeobtainedforuseorimplementationofaparticularRecommendation|Deliverable.
I.7 AssignmentorTransferofPatentRights
IntheeventaPatentHolderparticipatingintheworkoftheOrganizationsassignsortransfersownershiporcontrolofPatentsforwhichthePatentHolderreasonably
believesithasmadealicenseundertakingtotheITU/ISO/IEC,thePatentHoldershallmakereasonableeffortstonotifysuchassigneeortransfereeoftheexistenceofsuch
licenseundertaking.Inaddition,ifthePatentHolderspecificallyidentifiedpatentstoITU/ISO/IEC,thenthePatentHoldershallhavetheassigneeortransfereeagreetobe
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boundbythesamelicensingcommitmentasthePatentHolderforthesamepatent.IfthePatentHolderdidnotspecificallyidentifythepatentsinquestiontoITU/ISO/IEC,
thenitshallusereasonableefforts(butwithoutrequiringapatentsearch)tohavetheassigneeortransfereetoagreetobesobound.Bycomplyingwiththeabove,thePatent
Holderhasdischargedinfullallofitsobligationsandliabilitywithregardstothelicensingcommitmentsafterthetransferorassignment.Thisparagraphisnotintendedto
placeanydutyonthePatentHoldertocompelcompliancewiththelicensingcommitmentbytheassigneeortransfereeafterthetransferoccurs.
PartIIOrganizationspecificprovisions
II.1 SpecificprovisionsforITU
ITU1GeneralPatentStatementandLicensingDeclarationForm
AnyonemaysubmitaGeneralPatentStatementandLicensingDeclarationFormwhichisavailableonthewebsitesofITUTandITUR(theforminAnnex3isincludedfor
informationpurposes).ThepurposeofthisformistogivePatentHoldersthevoluntaryoptionofmakingagenerallicensingdeclarationrelativetomaterialprotectedby
PatentscontainedinanyoftheirContributions.Specifically,bysubmittingitsform,thePatentHolderdeclaresitswillingnesstolicenseitsPatentsownedbyitincase
part(s)orallofanyproposalscontainedinitsContributionssubmittedtotheOrganizationareincludedinRecommendation(s)andtheincludedpart(s)containitemsfor
whichPatentshavebeenfiledandwhoselicencewouldberequiredtopracticeorimplementRecommendation(s).
TheGeneralPatentStatementandLicensingDeclarationFormisnotareplacementfortheindividual(seeclause4ofPartI)DeclarationForm,whichismadeper
Recommendation,butisexpectedtoimproveresponsivenessandearlydisclosureofthePatentHolder'scompliancewiththePatentPolicy.Therefore,inadditiontoits
existingGeneralPatentStatementandLicensingDeclarationinrespectofitsContributions,thePatentHoldershould,whenappropriate(e.g.ifitbecomesawarethatithas
aPatentforaspecificRecommendation),alsosubmitanindividualPatentStatementandLicensingDeclarationForm:
forthePatentscontainedinanyofitsContributionssubmittedtotheOrganizationwhichareincludedinaRecommendation,anysuchindividualPatentStatement
andLicensingDeclarationsmaycontaineitherthesamelicensingtermsandconditionsasintheGeneralPatentStatementandLicensingDeclarationForm,ormore
favourablelicensingtermsandconditionsfromalicensee'sperspectiveasdefinedintheindividual(seeclause4.1ofPartI)DeclarationForm;and
forthePatentsthatthePatentHolderdidnotcontributetotheOrganizationwhichareincludedinaRecommendation,anysuchindividualPatentStatementand
LicensingDeclarationsmaycontainanyofthethreeoptionsavailableontheForm(seeclause4.1ofPartI),regardlessofthecommitmentinitsexistingGeneralPatent
StatementandLicensingDeclaration.
TheGeneralPatentStatementandLicensingDeclarationremainsinforceunlessitissupersededbyanotherGeneralPatentStatementandLicensingDeclarationform
containingmorefavourablelicensingtermsandconditionsfromalicensee'sperspectivereflecting(a)achangeincommitmentfromoption2tooption1or(b)un
checkingoneormoresuboptionscontainedwithinoption1or2.
TheITUPatentInformationdatabasealsocontainsarecordofGeneralPatentStatementandLicensingDeclarations.
ITU2Notification
TextshallbeaddedtothecoversheetsofallnewandrevisedITUTandITURRecommendations,whereappropriate,urginguserstoconsulttheITUPatentInformation
database.Thewordingis:
ITUdrawsattentiontothepossibilitythatthepracticeorimplementationofthisRecommendationmayinvolvetheuseofaclaimedIntellectualPropertyRight.ITUtakes
nopositionconcerningtheevidence,validityorapplicabilityofclaimedIntellectualPropertyRights,whetherassertedbyITUmembersorothersoutsideofthe
Recommendationdevelopmentprocess.
AsofthedateofapprovalofthisRecommendation,ITU[had/hadnot]receivednoticeofintellectualproperty,protectedbypatents,whichmayberequiredtoimplement
thisRecommendation.However,implementersarecautionedthatthismaynotrepresentthelatestinformationandarethereforestronglyurgedtoconsulttheITUPatent
Informationdatabase.
II.2 SpecificprovisionsforISOandIEC
ISO/IEC1ConsultationsondraftDeliverables
Alldraftssubmittedforcommentshallincludeonthecoverpagethefollowingtext:
Recipientsofthisdraftareinvitedtosubmit,withtheircomments,notificationofanyrelevantpatentrightsofwhichtheyareawareandtoprovidesupporting
documentation.
ISO/IEC2Notification
Apublisheddocument,forwhichnopatentrightsareidentifiedduringthepreparationthereof,shallcontainthefollowingnoticeintheforeword:
Attentionisdrawntothepossibilitythatsomeoftheelementsofthisdocumentmaybethesubjectofpatentrights.ISO[and/or]IECshallnotbeheldresponsiblefor
identifyinganyorallsuchpatentrights.
Apublisheddocument,forwhichpatentrightshavebeenidentifiedduringthepreparationthereof,shallincludethefollowingnoticeintheintroduction:
TheInternationalOrganizationforStandardization(ISO)[and/or]International
ElectrotechnicalCommission(IEC)drawsattentiontothefactthatitisclaimedthatcompliancewiththisdocumentmayinvolvetheuseofapatentconcerning(subject
matter)givenin(subclause).
ISO[and/or]IECtake[s]nopositionconcerningtheevidence,validityandscopeofthispatentright.
TheholderofthispatentrighthasassuredtheISO[and/or]IECthathe/sheiswillingtonegotiatelicencesunderreasonableandnondiscriminatorytermsandconditions
withapplicantsthroughouttheworld.Inthisrespect,thestatementoftheholderofthispatentrightisregisteredwithISO[and/or]IEC.Informationmaybeobtained
from:
nameofholderofpatentright
address
Attentionisdrawntothepossibilitythatsomeoftheelementsofthisdocumentmaybethesubjectofpatentrightsotherthanthoseidentifiedabove.ISO[and/or]IEC
shallnotbeheldresponsibleforidentifyinganyorallsuchpatentrights.
ISO/IEC3NationalAdoptions
PatentDeclarationsinISO,IECandISO/IECDeliverablesapplyonlytotheISOand/orIECdocumentsindicatedintheDeclarationForms.Declarationsdonotapplyto
documentsthatarealtered(suchasthroughnationalorregionaladoption).However,implementationsthatconformtoidenticalnationalandregionaladoptionsandthe
respectiveISOand/orIECDeliverables,mayrelyonDeclarationssubmittedtoISOand/orIECforsuchDeliverables.
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AnnexJ(normative)Formulatingscopesoftechnicalcommitteesandsubcommittees
J.1 Introduction
Thescopeofatechnicalcommitteeorsubcommitteeisastatementpreciselydefiningthelimitsoftheworkofthatcommittee.Assuchithasanumberoffunctions:
itassiststhosewithqueriesandproposalsrelatingtoafieldofworktolocatetheappropriatecommittee;
itpreventsoverlappingtheworkprogrammesoftwoormoreISOand/orIECcommittees;
itcanalsohelpguardagainstmovingoutsidethefieldofactivitiesauthorizedbytheparentcommittee.
J.2 Formulationofscopes
Basicrulesfortheformulationofscopesoftechnicalcommitteesandsubcommitteesaregivenin1.5.10.
Theorderoftheelementsofascopeshallbe:
basicscope;
intheISO,horizontalfunctions,whereapplicable;
intheIEC,horizontaland/orgroupsafetyfunctionswhereapplicable;
exclusions(ifany);
notes(ifany).
J.3 Basicscope
Scopesoftechnicalcommitteesshallnotrefertothegeneralaimsofinternationalstandardizationorrepeattheprinciplesthatgoverntheworkofalltechnicalcommittees.
Inexceptionalcases,explanatorymaterialmaybeincludedifconsideredimportanttotheunderstandingofthescopeofthecommittee.Suchmaterialshallbeintheformof
Notes.
J.4 Exclusions
Shoulditbenecessarytospecifythatcertaintopicsareoutsidethescopeofthetechnicalcommittee,theseshallbelistedandbeintroducedbythewordsExcluded
Exclusionsshallbeclearlyspecified.
WheretheexclusionsarewithinthescopeofoneormoreotherexistingISOorIECtechnicalcommittees,thesecommitteesshallalsobeidentified.
EXAMPLE1
Excluded:ThosecoveredbyISO/TC.
EXAMPLE2
Excluded:Standardizationforspecificitemsinthefieldof(ISO/TC),(IEC/TC),etc..
Itisnotnecessarytomentionselfevidentexclusions.
EXAMPLE3
Excluded:ProductscoveredbyotherISOorIECtechnicalcommittees.
EXAMPLE4
Excluded:Specificationsforelectricalequipmentandapparatus,whichfallwithinthescopeofIECcommittees.
J.5 Scopesofcommitteesrelatedtoproducts
Scopesofcommitteesrelatedtoproductsshallclearlyindicatethefield,applicationareaormarketsectorwhichtheyintendtocover,inordertoeasilyascertainwhethera
particularproductis,orisnot,withinthatfield,applicationareaormarketsector.
EXAMPLE1
Standardizationofandusedin.
EXAMPLE2
Standardizationofmaterials,componentsandequipmentforconstructionandoperationofandaswellasequipmentusedintheservicingandmaintenanceof.
Thelimitsofthescopecanbedefinedbyindicatingthepurposeoftheproducts,orbycharacterizingtheproducts.
Thescopeshouldnotenumeratethetypesofproductcoveredbythecommitteesincetodosomightsuggestthatothertypescanbe,orare,standardizedbyothercommittees.
However,ifthisistheintention,thenitispreferabletolistthoseitemswhichareexcludedfromthescope.
Theenumerationofaspectssuchasterminology,technicalrequirements,methodsofsampling,testmethods,designation,marking,packaging,dimensions,etc.suggestsa
restrictioninthescopetothoseparticularaspects,andthatotheraspectsmaybestandardizedbyothercommittees.Theaspectsoftheproductstobestandardizedshould
thereforenotbeincludedinthescopeunlessitisintendedthatthescopeislimitedtothoseparticularaspects.
Ifthescopemakesnomentionofanyaspect,thismeansthatthesubjectinitsentiretyiscoveredbythecommittee.
NOTE
Thecoveragedoesnotnecessarilymeantheneedforpreparingastandard.Itonlymeansthatstandardsonanyaspect,ifneeded,willbepreparedbythatcommitteeandnoother.
Anexampleofunnecessaryenumerationofaspectsisasfollows:
EXAMPLE3
Standardizationofclassification,terminology,sampling,physical,chemicalorothertestmethods,specifications,etc..
Mentionofpriorities,whetherreferringtotypeofproductoraspect,shallnotappearinthescopesincethesewillbeindicatedintheprogrammeofwork.
J.6 Scopesofcommitteesnotrelatedtoproducts
Ifthescopeofacommitteeisintendedtobelimitedtocertainaspectswhichareunrelated,oronlyindirectlyrelatedtoproducts,thescopeshallonlyindicatetheaspecttobe
covered(e.g.safetycoloursandsigns,nondestructivetesting,waterquality).
Thetermterminologyasapossibleaspectofstandardizationshouldnotbementionedunlessthisaspectistheonlytasktobedealtwithbythecommittee.Ifthisisnotthe
case,thementionofterminologyissuperfluoussincethisaspectisalogicalpartofanystandardizationactivity.
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AnnexK(normative)Projectcommittees
K.1 Proposalstage
Anewworkitemproposalnotfallingwithinthescopeofanexistingtechnicalcommitteeshallbepresentedusingtheappropriateformandfullyjustified(see2.3.4)byoneof
thebodiesauthorizedtomakenewworkitemproposals(see2.3.2).
TheofficeoftheCEOmaydecidetoreturntheproposaltotheproposerforfurtherdevelopmentbeforecirculationforvoting.Inthiscase,theproposershallmakethe
changessuggestedorprovidejustificationfornotmakingthechanges.Iftheproposerdoesnotmakethechangesandrequeststhatitsproposalbecirculatedforvotingas
originallypresented,thetechnicalmanagementboardwilldecideonappropriateaction.Thiscouldincludeblockingtheproposaluntilthechangesaremadeoracceptingthat
itbeballotedasreceived.
Inallcases,theofficeoftheCEOmayalsoincludecommentsandrecommendationstotheproposalform.
Fordetailsrelatingtojustificationoftheproposal,seeAnnexC.
Inthecaseofaproposaltoestablishaprojectcommitteetopreparemanagementsystemstandards,seeAnnexSL.
Itshallbesubmittedtothesecretariatofthetechnicalmanagementboardwhichshallarrangeforittobesubmittedtoallnationalbodiesforvoting.
Proposersarealsoencouragedtoindicatethedateofthefirstmeetingoftheprojectcommittee(seeK.3).
Iftheproposalwasnotsubmittedbyanationalbody,thesubmissiontothenationalbodiesshallincludeacallforofferstoassumethesecretariatofaprojectcommittee.
Votesshallbereturnedwithinthreemonths.
Acceptancerequires:
approvalbya2/3majorityofthenationalbodiesvoting;
acommitmenttoparticipateactivelybyatleastfivenationalbodiesthatapprovedthenewworkitemproposalandnominatedtechnicalexperts.
K.2 Establishmentofaprojectcommittee
Thetechnicalmanagementboardshallreviewtheresultsofvotingonthenewworkitemproposalandiftheapprovalcriteriaaremet,shallestablishaprojectcommittee
(thereferencenumbershallbethenextavailablenumberinthetechnicalcommittee/projectcommitteesequence).
Thesecretariatoftheprojectcommitteeshallbeallocatedtothenationalbodythatsubmittedtheproposal,orthetechnicalmanagementboardshalldecideontheallocation
amongsttheoffersreceivediftheproposaldidnotoriginatefromanationalbody.
Nationalbodiesthatapprovedthenewworkitemproposalandnominated(a)technicalexpert(s)shallberegisteredasPmembersoftheprojectcommittee.Nationalbodies
thatapprovedthenewworkitemproposalbutdidnotmakeacommitmenttoparticipateactivelyshallberegisteredasOmembers.Nationalbodiesthatvotednegatively,
butneverthelessindicatedthattheywouldparticipateactivelyifthenewworkitemwasapproved,shallberegisteredasPmembers.Nationalbodiesvotingnegatively
withoutindicatingawishtoparticipateshallberegisteredasOmembers.
TheofficeoftheCEOshallannouncetothenationalbodiestheestablishmentoftheprojectcommitteeanditsmembership.
Nationalbodieswillbeinvitedtoconfirm/changetheirmembershipstatusbyinformingtheofficeoftheCEO.
Thesecretariatwillcontactanypotentialliaisonorganizationsidentifiedinthenewworkitemproposalorinnationalbodycommentsthereonandwillinvitethemto
indicatewhethertheyhaveaninterestintheworkand,ifso,whichcategoryofliaisontheywouldbeinterestedin.Requestsforliaisonwillbeprocessedaccordingtothe
existingprocedures.
K.3 Firstmeetingofaprojectcommittee
TheprocedureforcallingaprojectcommitteemeetingshallbecarriedoutinaccordancewithClause4,withtheexceptionthatasixweeks'noticeperiodmaybeusedifthe
dateofthefirstmeetingwascommunicatedatthetimeofsubmissionoftheproposal.
Thechairoftheprojectcommitteeshallbetheprojectleadernominatedinthenewworkitemproposalorshallbenominatedbythesecretariatifnoprojectleaderwas
nominatedinthenewworkitemproposal.
Thefirstmeetingshallconfirmthescopeofthenewworkitem.Incaserevisionisnecessary(forpurposesofclarificationbutnotextensionofthescope),therevisedscope
shallbesubmittedtothetechnicalmanagementboardforapproval.ItshallalsoconfirmtheprojectplanandinISOthedevelopmenttrackanddecideonanysubstructures
neededtocarryoutthework.
Ifitisdeterminedthattheprojectneedstobesubdividedtoproducetwoormorepublications,thisispossibleprovidedthatthesubdivisionsoftheworkliefullywithinthe
scopeoftheoriginalnewworkitemproposal.Ifnot,anewworkitemwillneedtobepreparedforconsiderationbythetechnicalmanagementboard.
NOTE
Projectcommitteesareexemptedfromtherequirementtoestablishastrategicbusinessplan.
K.4 Preparatorystage
Thepreparatorystageshallbecarriedoutinaccordancewith2.4.
K.5 Committee,enquiry,approvalandpublicationstages
Thecommittee,enquiry,approvalandpublicationstagesshallbecarriedoutinaccordancewith2.5to2.8.
K.6 Disbandingofaprojectcommittee
Oncethestandard(s)is/arepublished,theprojectcommitteeshallbedisbanded.
K.7 Maintenanceofstandard(s)preparedbyaprojectcommittee
Thenationalbodywhichheldthesecretariatshallassumeresponsibilityforthemaintenanceofthestandard(s)accordingtotheproceduresgivenin2.9unlesstheproject
committeehasbeentransformedintoatechnicalcommittee(see1.10)inwhichcasethetechnicalcommitteeshallbegiventheresponsibilityforthemaintenanceofthe
standard.
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AnnexSA(normative)ISOCodeofConduct
TheISOCodeofConductisavailableontheGovernanceoftechnicalworkpage(http://www.iso.org/iso/home/standards_development/governance_of_technical_work.htm)
ofwww.iso.orgat:
http://www.iso.org/iso/codes_of_conduct.pdf.
TheCodeistofacilitateISO'sworkwhichiscarriedoutinaninternational,multistakeholder,multisectorenvironment.Itappliestopeoplewhochoosetoparticipateinan
ISOcommittee,workinggrouporotherconsensusgroup.TheCodeisanobligationforparticipationintheabovegroupsthatworkintheframeworkoftheISO/IEC
Directives.
TipsforimplementingtheCodeareavailableat:
http://www.iso.org/iso/suggestions_for_implementation_of_the_iso_code_of_conduct.pdf
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AnnexSB(normative)Documentdistribution
SB.1 Documentdistribution
Detailsshowingdocumentdistributionareshowninthetable.
SB.2 Electronicnotificationsofdocumentdelivery
Theinformationincludedinelectronicnotificationsofdocumentavailabilityshallcomprise
Subjectline:committeereference
Content(thepreciseformatmayvary):
1) Nnumber(automaticallygenerated)
2) OfficialISOreferencenumber(e.g.CD1234foracommitteedraft,NP2345foranewworkitemproposal)
3) Titleofthedocument
4) Expectedaction
5) Duedateforexpectedaction
6) Typeofdocument(information,ballot,comment,noticeofmeeting,etc.)
7) Dateandlocation,ifitisameetingdocument
8) Notefield,forspecialinformationrelatedtoaparticulardocument
9) Hyperlinktothedocument
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AnnexSC(normative)Strategicbusinessplans
SC.1 Objectivesofastrategicbusinessplan(SBP)
1) Todemonstrateinanobjectivemannerthespecificbenefitswhichresultfrom,orareexpectedfrom,theworkofthistechnicalcommittee.
NOTE1
Thesebenefitscanvarysignificantlybetweendifferentfieldsinwhichcommitteesareinvolved:theycanbeeconomic(costsavings,reducedtimetomarket,easieraccesstocertain
regionalmarkets,lowersalesprices),theycanbesocial(improvementofsafetyforworkers,measuredinthereductionofaccidents)ortheycanbetheimprovementoftheenvironmental
impact,forexample.
2) Tosupportprioritizationandtoimprovethemanagementofthetechnicalworkinacommittee.
NOTE2
Thisincludesthedefinitionoftargetdatesandtheplanningofresourcesfortheworkofthetechnicalcommittee(anditsSCs)inrelationtothedevelopmentofnewandthe
maintenanceofexistingdocuments.
3) Toincreasethetransparencyinrelationtothemarketforcesandthepercentageofmarketsharerepresentedwithinacommittee.
AllcurrentSBPmaybeviewedonlineathttp://www.iso.org/bp.
SC.2 Developmenttoolsandadditionalguidance
TofacilitatethepreparationofSBP,ISOCentralSecretariathasdevelopedadocumenttemplate.ThistemplateandadditionalguidancemaybedownloadedfromtheISOTC
serveratwww.iso.org/forms.
SC.3 Procedureforthedevelopmentofastrategicbusinessplan
SC.3.1 Thecommitteesecretary,incooperationwithcommitteemembersand/orthecommitteechair,shallprepareadraftSBP.ThedraftSBPshallbesubmittedtoan
internalconsultationwithinthetechnicalcommittee.Itshallbeformallyagreeduponbythetechnicalcommitteebywayofaresolution,beforebeingsubmittedtothe
technicalmanagementboardforreview.
ThetechnicalcommitteeshallsubmitthedraftSBP(tmb@iso.org)inrevisable(i.e.Word)andPDFformattotheISOtechnicalmanagementboardwhowillreviewthedraft
SBPagainstthesetofminimumrequirementsforSBPs(seeTableSC.1).
TableSC.1RequirementsforstrategicbusinessplansofISOtechnicalcommittees
Item
DescriptionofRequirements
Score
DescriptionsofrelevantdynamicsinthebusinessenvironmentrelatedtotheworkoftheISOcommittee,andquantitativeindictorsoftrendsinthis
businessenvironmentandtheacceptanceandimplementationoftheISOcommittee'sstandards.
1to5
Descriptionsoftangiblebenefitsthatthestandardizationprogrammeisexpectedtoachieveforthebusinessenvironment.
1to5
DescriptionsofidentifiedobjectivesoftheISOcommitteeandstrategiestoachievethoseobjectives.Thisshouldincludedescriptionsofspecificactions
thatwillbetakenorthatwillbeproposedtotheISOcommitteetobetterrespondtotheneedsandtrendsofthebusinessenvironment.
1to5
DescriptionsoffactorsthatmaynegativelyimpacttheISOcommittee'sabilitytoachieveitsobjectivesandimplementitsstrategies,including
informationontherepresentationofthemajormarketforcesinthecommittee(geographicallyaswellasbytype,e.g.manufacturer,government,etc.).
1to5
ObjectiveinformationregardingtheISOcommitteeanditsworkprogrammethatisrequired:
linkaddedinsection7totheTC'spageonISO'swebsiteAbout(Secretariat,Secretary,Chair,Dateofcreation,Scope,etc.),Contactdetails,Structure
(Subcommitteesandworkinggroups),Liaisons,Meetings,Tools,Workprogramme(publishedstandardsandstandardsunderdevelopment;
prioritiesassignedtoprojectsintheworkprogramme(ifthecommitteeassignspriorities)withanexplanationofthereasons/processfor
prioritization;
relationshipsofprojectstoEuropeanregionalstandardization(CEN);
timeallocatedtoeachprojectbyworkinggroupconvenors,projectleaders/editorsandfortranslation;and
therangeofstakeholdersthatshouldbeengagedbasedonthesubjectareabeingstandardized.
Noscore
(Yes/No)
Mandatory
information
SC.3.2 Anaveragescoreofatleast10isnecessaryforapproval.IftheSBPisnotapprovedbytheTMB,thetechnicalmanagementboardscoresandcommentswillbesent
tothecommitteewhowillbeaskedtoresubmittheSBP.Ifapproved,thecommentsfromthetechnicalmanagementboardshallbetakenintoconsiderationduringtheSBP
reviewatthenextplenarymeeting.
SC.3.3 Onceapprovedbythetechnicalmanagementboard,theSBPismadeavailabletothegeneralpublicforreviewandcommentonapubliclyaccessibleserver
(http://www.iso.org/bp)bytheISOCentralSecretariat.MemberbodiesareencouragedtoinformtheinterestedpublicintheircountriesoftheavailabilityoftheSBPfor
publicreviewand,ifappropriate,tosetlinkstotheSBPs.
SC.3.4 Allcommentsreceivedshallbeconsideredbythecommitteeateachplenarymeetingaspartofaregularreview(preferablyonceperyear)andupdating(if
necessary)oftheSBP.UpdatedSBPdonotneedtobesubmittedforTMBapprovaltheyshallbeapprovedbyconsensuswithinthecommittee(or,ifconsensusisnot
possible,byasimplemajorityofPmemberscastingavote).
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AnnexSD(normative)Matrixpresentationofprojectstages
SL000000SD_e.EPS
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AnnexSE(normative)Numberingofdocuments
SE.1 Workingdocuments(includingcommitteedrafts)
Eachdocument(includingcommitteedraftsseealsoSE.2)relatingtotheworkofanISOtechnicalcommitteeorsubcommitteecirculatedtoallorsomeofthemember
bodiesshallhaveaNnumbergeneratedbythesystemthatappearsatthetoprighthandcornerofrectopagesandatthetoplefthandcornerofversopages.Thefirstpage
ofthedocumentshallalsobear,immediatelyunderthereferencenumber,thedate,writteninaccordancewithISO8601(Dataelementsandinterchangeformats
InformationinterchangeRepresentationofdatesandtimes),onwhichthedocumentwascompiled.
Onceareferencenumberisusedforaworkingdocument,itcannotbeusedagainforadocumentwithdifferingwordingand/ordifferentcontents.Thesamenumbermaybe
usedforaproposalandavotingform(optional).Ifadocumentreplacesanearlierone,thesystemgeneratesanewNnumberonthefirstpageofthenewdocument.
TheNnumberismadeupofthefollowingtwopartsseparatedbytheletterN:
1)thenumberofthetechnicalcommittee(TC)and,whenapplicable,thenumberofthesubcommittee(SC)towhichtheworkingdocumentbelongs;
2)anoverallserialnumber.
Asanexample,thereferencenumberwilllookasfollows:ISO/TCa/SCbNn
SE.2 Workingdrafts(WD),committeedrafts(CD),draftInternationalStandards(DIS),finaldraftInternationalStandards(FDIS)and
InternationalStandards
WhenanewprojectisregisteredbyISOCentralSecretariat(see2.3.5),thelatterwillallocateanISOreferencenumbertotheproject.Thenumberallocatedwillremainthe
samefortheensuingWD,CD,DISandFDISandforthepublishedInternationalStandard.Thenumberallocatedispurelyaregistrationandreferencenumberandhasno
meaningwhatsoeverinthesenseofclassificationorchronologicalorder.ThenumberallocatedtoawithdrawnprojectorInternationalStandardwillnotbeusedagain.
IftheprojectrepresentsarevisionoramendmentofanexistingInternationalStandard,theregisteredprojectwillbeallocatedthesamenumberastheexistingInternational
Standard(with,inthecaseofanamendment,asuffixindicatingthenatureofthedocument).
If,however,thescopeissubstantiallychanged,theprojectshallbegivenadifferentnumber.
SuccessiveWDsorCDsonthesamesubjectshallbemarkedfirstworkingdraft,secondworkingdraft,etc.,orfirstcommitteedraft,secondcommitteedraft,etc.,as
wellaswiththeworkingdocumentnumberinaccordancewithSE.1.
SuccessiveDISonthesamesubjectwillcarrythesamenumberbutwillbedistinguishedbyanumericalsuffix(.2,.3,etc.).
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AnnexSF(normative)Hostingmeetings
SF.1 WhomayhostanISOmeeting?
Meetingsmaybehostedby:
anyISOmember(memberbody,correspondentmember,subscribermember);
forworkinggroupmeetingsonly,anyliaisonmemberofthecommitteeconcerned.
Fortechnicalcommitteeorsubcommitteemeetings,theISOmemberbodyinthecountryshallbethehostanditspreapprovalofthemeetingisrequired.
Forworkinggroupmeetings,theISOmemberbodyinthecountrymustbeinformedofthemeetingbeforethemeetingisconfirmed.
Itisnotnecessaryforahosttobeadirectparticipantintheworkofthecommitteeconcerned,althoughthatwilltypicallybethecase.
ApotentialhostshallfirstascertainthattherearenorestrictionsimposedbyitscountrytotheentryofrepresentativesofanyPmemberofthetechnicalcommitteeor
subcommitteeforthepurposeofattendingthemeeting.Insomecasesitmaybenecessaryforspecialpermissiontobeobtainedforattendancewhereverpossiblethehost
shouldassistindeterminingifthisisthecase,butitisthejointresponsibilityofthesecretariatorgroupleader,andtheparticipanttodetermineanyrestrictions.
Giventhatsomehostsmaynothavesufficientmeetingfacilitiesand/orotherresourcesoftheirown,themainhostsayanISOmembermayacceptaninvitationfrom
anotherorganizationtoassistby,forinstance,providingameetinglocationororganizingawelcomingevent.
Irrespectiveoftheactualhostofameeting,responsibilityforthemeetingconcernedrestswiththesecretary(inthecaseofatechnicalcommitteeorsubcommittee,orsimilar
groups)orgroupleader(inthecaseofworkinggroups,adhocgroups,etc.).Thus,potentialhostsshouldliaisedirectlywiththeseindividuals.
SF.2 Sponsorshipofmeetings
LargeISOmeetingscanbeexpensiveand/orcomplicatedtostageandsupport,andtheresourcerequirementsmayexceedthosethatanISOmembercanitselfprovide.Itis
thereforeacceptableforameetingtohaveoneormoresponsorscontributingtoitsorganizationandcost.Nevertheless,whilstitisacceptableforsponsorstobeidentified,
andfortheirsupporttoberecognizedinthemeeting,anISOmeetingshallnotbeusedasanopportunityforthepromotionforcommercialorotherreasonsoftheproducts
orservicesofanysponsor(seealsoFeesfordelegatesatISOmeetings).
SF.3 Proposingorwithdrawingsupportasameetinghost
TheISO/IECDirectives,Part1,requestthatthefollowingadvancenoticebegiven:
Meetingof
Advancenoticeof
meetingdate
Advancenoticeof
meetinglocation
2years
4months
6weeks
Technicalcommitteeor
subcommittee
Workinggroup
Ingeneral,themorenoticethebetterinorderthatparticipantsmaymakeappropriatetravelandbusinessarrangements,andalsoobtainbriefing,whereappropriate.
Ifahostfindsthattheyneedtowithdrawanoffer,thesenoticeperiodsshouldalsoberespected.
SF.4 Meetinglocations
Inplanningmeetings,accountshouldbetakenofthepossibleadvantageofgroupingmeetingsoftechnicalcommitteesandsubcommitteesdealingwithrelatedsubjects,in
ordertoimprovecommunicationandtolimittheburdenofattendanceatmeetingsbydelegateswhoparticipateinseveraltechnicalcommitteesorsubcommittees.
SF.5 Facilitiestoprovideatmeetings
AnymemberbodyofferingtohostanISOtechnicalcommitteeorsubcommitteemeetingundertakestoprovideappropriatemeetingfacilities,includinganyprovisionsfor
interpretation(seeSF.6),fortheTC/SC,takingintoaccountthenormalattendanceatsuchmeetingsandanyrequirementsforeseenbythecommitteesecretariatforfacilities
forparallelmeetings(forexample,ofworkinggroups,adhocgroupsorthedraftingcommittee).Theworkingfacilitiesrequiredduringameeting(i.e.additionaltorooms)
willvaryfromgrouptogroup.Thismayincludeprinting,andinternetaccess(teleconferencefacilities).Administrativesupportmayalsobeneeded.Thehostmaybe
requested,butshallnotbeobliged,toprovideseparatefacilitiesservingasthechair'sorsecretariatroom.
Theexactrequirementsshouldbedeterminedbythecommitteesecretariatorgroupleader.Somecommitteesecretariatsdevelopandmaintainastandingdocumentto
advisememberbodiesofthefacilitiesthatwillberequiredofanypotentialhostofameetingofthecommittee,whichensuresclearunderstandingofwhatwillberequired.
Thehostofaworkinggroupisalsoexpectedtoprovideallbasicworkingfacilities.
SF.6 Interpretationfacilitiesatmeetings
Thechairandsecretariatareresponsiblefordealingwiththequestionoflanguageatameetinginamanneracceptabletotheparticipants,followingthegeneralrulesofISO,
asappropriate.TheofficiallanguagesatmeetingsareEnglish,FrenchandRussian,andmeetingsareconductedinanyoneormoreofthese.Thetypicallanguage
combinationsareEnglishandFrench,orEnglishonly.Inthelattercase,Frenchmayonlybeomittedwiththeexplicitagreementofthefrancophonemember(s).Thus,there
maybeanobligationonthehosttoprovideinterpretationbetweenEnglishandFrench.Thisneedstobedeterminedinadvance.Potentialhostsmayneedtoseekassistance
fromISOCentralSecretariatorfromotherPmembers.ThenationalbodyfortheRussianFederationprovidesallinterpretationandtranslationintoorfromtheRussian
language.
Sofarasthecapabilitiesoftranslators(whenrequired)areconcerned,theguidanceis:
formeetingswherefinaldecisionsondraftstandardsareexpectedtobetaken,theservicesofanadequatelyqualifiedinterpreteraregenerallyrequired;
meetingswhereintermediaryorproceduraldecisionsareexpectedtobetaken,briefinterpretationmaybeprovidedbyamemberofthesecretariatoravolunteer
delegate;
atworkinggroupmeetings,themembersshould,wheneverpossible,arrangebetweenthemselvesforanynecessaryinterpretationontheinitiativeandunderthe
authorityoftheconvenoroftheworkinggroup.
SF.7 Welcomingactivitiesandsocialevents
ISOiswidelyrecognizedandrespected.Itisthereforenotunusualforformalceremoniestobeassociatedwith,forexample,theopeningofatechnicalcommitteemeeting.
Sucheventsareacceptable,buttheirincorporationwithinthemeetingperiodisentirelyattheoptionofthehost,andtypicallysubjecttotheapprovalofthesecretaryand
chairofthegroup/sconcerned.
Ahostmayalsooffersocialeventsofonekindoranother,perhapswiththeaidofcosponsors.Asforwelcomingevents,socialeventsareentirelyoptional(seealsoSF.8).
Itisrecognizedthattheinclusionofwelcomingandsocialeventssignificantlyincreasesthetimeandcost,etc.oforganizingameeting.Itmayalsoincreasethecostof
participation.Giventhepressuresontheresourcesofallparticipantsthereismeritinthesimplificationofmeetings.Aboveall,meetingsmustnotbecomecompetitive
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eventssofarashostsareconcerned,inthesensethatnohostshallfeelobliged,inanyrespect,toequalorexceedthewelcomingand/orsocialfacilitiesofferedatany
previousmeeting.
SF.8 FeesfordelegatesatISOmeetings
AccrediteddelegatesshallnotbeobligedtopayafeeasaconditionoftheirparticipationinISOmeetings.However,inveryexceptionalcases(e.g.largeandcomplex
meetings),somechargingmechanismmaybenecessary,butsuchmechanismsshallbeapprovedonacasebycasebasisbytheSecretaryGeneralofISO.
ThereisnoobligationonahosttoprovidesocialfunctionsduringISOmeetingsbutifacommitteerequestsahosttoorganizesocialfunctions,thehostshallhavetherightto
requirethatthecostsofholdingsuchfunctionsbebornebythedelegatesparticipatingtherein.
SF.9 Mediaparticipationpolicy
SF.9.1 General
ThisclausedescribesapolicyforengagingwiththemediatoraisetheeffectivenessofcommunicationactivitiesofISO.Itisvitaltoensuretransparencyandopennessby
proactivelyandconsistentlydeliveringaccurateinformationtothepublic,andtosupporttheuseofproperchannelstodeliverinformationtothepublicaseffectivelyand
efficientlyaspossible.
ThispolicydescribeshowtoraiseawarenessaboutISOactivitiesandensuretransparency.ItisimportantthatallinvolvedinISOactivitiesprovideaccurateandappropriate
informationinaspiritofgoodwillandresponsibility.Themediacontributestotheshapingofattitudesandbehavioursofthegeneralpublic.Buildinggoodmediarelationsis
importantforbuildingawarenessthroughaccurateinformationandpreventingisolatedandunrepresentativeviewsandopinionsfrommisleadingthepublic.
Engagementwiththemediashouldbesoughtthroughmultiplevehiclesatmultipleorganizationallevels.
AllengagementwiththemediarelatingtoISOactivitieswillbeconsistentwiththefollowing:
InterestbythepressorothermediainISOworkistobewelcomedandtheISOCentralSecretariatandmanyISOmemberbodieshavepublicrelationsandpromotion
servicesabletoprovideinformationtothepressconcerningISO,ISOstandards,andworkinprogress.
Inrecentyears,therehasbeenagrowinginterestonthepartofsomeofthepresstobepresentduringmeetingsofparticularISOcommittees.Whilstthisinterestis
welcome,thepresenceofthepressduringanISOmeetingmayinhibitthefreeandopendiscussionofissues.Forthisreason,membersofthepressshallnotbepermitted
tobepresentduringworkingsessionsofISOmeetings.HoweverparticipationbymembersofthepressmaybepermittedduringopeningandclosingceremoniesofISO
plenarymeetings.
SF.9.2 ISOCentralSecretariatroles
WithinISO,theISOCentralSecretariatpreparesandreleasesanyandallofficialpressreleases.TheISOCentralSecretariatreservestherightoffinaldecisiononanyISOpress
release.
SF.9.3 ISOcommitteeandworkinggroupleadershiproles
Leadersshallonlyexpresstheconsensusreachedbythedelegates/expertsatpressconferencesheldinconjunctionwiththeISOcommitteemeetings.Betweenmeetings,the
secretariatwillendeavourtoprovidepromptwrittenresponsestomediarequests.
SF.9.4 Memberbodyandmirrorcommitteeroles
Atalocalornationallevel,mirrorcommitteesaretheproperchannelformediainquiries.Mirrorcommitteesareencouragedtoarrangemeetingswithlocalmedia.Thiswill
improvelocalparticipationandawareness.Atthenationallevel,therelevantmemberbody'smediapolicyshouldapply.
SF.9.5 Delegate,expertandobserverroles
ThesepartiesshallnotcommenttothemediaontheconsensusachievedintheISOcommittee,norshalltheycommentonthecontributionsandcommentsmadebyother
delegatesandexpertsintheworkingsessionsoftheISOcommittee.Thiscouldhaveadetrimentaleffectontheproductivedialogueandtrustnecessaryamongdelegatesand
expertsforeffectiveISOstandardsdevelopment.
SF.9.6 Meetingsandmediaparticipation
MediarepresentativespresentatthesiteofameetingmustregisterwiththeISOcommitteesecretariatandthemeetinghost(name,organization,andcontactnumber).
Mediarepresentativeswillbegivenamediabadgetowearorkeephandywhenpresentatthemeetingsite.
Registeredmediarepresentativeswithbadgesareallowedtoattendthefollowingevents:
Openingandclosingceremonies;
Pressconferences;
Socialeventsifinvitedbythehostorganization.
Peoplefromthemediaarenotallowedtoattend:
Technicalcommitteeorsubcommitteeplenarymeetings;
Workinggroupmeetings;
Chair'sAdvisoryGroup(CAG)meetings.
Pressconferencesmaybescheduledforappropriatetimes(preand/orpostplenary)inadesignatedlocationbytheISOcommitteeleadershipinconsultationwiththe
publicrelationsserviceofthehostISOmemberbody.Atthepressconferences,theISOcommitteeleadersandISOCentralSecretariatrepresentativeswillmakestatementsto
thepress.DelegatesorexpertsmaybeinvitedtospeakbytheISOcommitteeleaders.Otherwise,delegates,expertsandobserversmayattend,butarenotpermittedtospeak
atthepressconferences.
SF.10 RecordingsatISOmeetings
TherecordingofISOmeetingsbythecommitteesecretaryisacceptableprovidedthatattheoutsetofthemeetingallparticipantsaremadeawarethatthemeetingwillbe
recordedandtherearenoobjections.Individualparticipantsshallhavetherighttorequirethatthemeansofrecordingareswitchedoffduringaparticularinterventionif
s/hesodesires.
Suchrecordingsareintendedtoaidthemeetingsecretaryinpreparingtheminutes/reportofthemeeting.Theymayalsobeusedtoresolvedisputesconcerningwhat
occurredatameeting,which,insomeinstances,mayrequirethepreparationoftranscriptsoftherecording.
Therecordingsandanytranscriptsarethepropertyofthemeetingsecretary,whoisexpectedtorespecttheconfidentialityofISOmeetings.Therecordingsandtranscripts
shallaccordinglynotbedivulgedtothirdpartiesandshouldpreferablybedestroyedoncetheminuteshavebeenapproved.
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AnnexSG(normative)Second(andsubsequent)languagetextsforISOstandards
SG.1 Introduction
AnnexEoftheISO/IECDirectives,Part1,specifiesthegeneralpolicyontheuseoflanguagesasappliedinISO.Thisannexdescribesadditionalrequirementsconcerning
obtainingsecondandsubsequentlanguagetexts.(English,FrenchandRussianaretheofficialISOlanguages.)
SG.2 EnglishandFrench
SG.2.1 Responsibilities
ItistheresponsibilityoftheISOcommitteesecretariattoobtain(butnotnecessarilythemselvesprepare)textsinEnglishandFrenchforallISOonlyandISOlead(Vienna
Agreement)projects,unlessoneoftheselanguageversionsisnottobepublished(seeSG.5).TranslationofdocumentsintoEnglishorFrenchistypically(butnotexclusively)
carriedoutbythetranslationdepartmentofthememberbodyoftheUK(BSI)forEnglishorFrance(AFNOR)forFrench,orbyagentsnominatedtoactontheirbehalf.Other
optionsarepossible(seeISO/IECDirectivesPart1,AnnexE).
SG.2.2 Equivalenceoftexts
ThesecretariatofatechnicalcommitteeorsubcommitteeisresponsibleforensuringtheequivalenceoftheEnglishandFrenchtextsduringthedevelopmentofanISO
deliverable,ifnecessarywiththeassistanceofexpertsinthelanguage(s)concerned.Arecommendedwayofensuringequivalenceoftextsistoestablishamultilingual
editingcommittee.
SG.2.3 Timingofpreparationoftexts
TheISO/IECDirectivesnotethattheconcomitantpreparationoflanguageversionsiswithadvantagestartedasearlyaspossibleinthedevelopmentcycle.Itispreferable,but
notrequired,thatCommitteeDraftsareavailableinallenvisagedlanguageversions.Apartfromaidingcomprehensionduringdevelopment,thisalsoservestohelpavoid
preparationrelateddelaysatlaterstages.
Whereasecondlanguageversionisrequired,TCandSCsecretariatsshallprovidethememberbodyresponsibleforthesecondlanguagewithacopyofthefirstlanguage
versionnolaterthanwhenitsubmitsthetexttoISOCentralSecretariatforprocessingasaDIS,suchactionbeingnotifiedinwriting.
SG.2.4 Delaysinreceivinglanguageversions
InthecasewhereasecondlanguageversionofanEnquiryDraft(DIS)isnotavailableatthetimethefirstlanguageversionissenttoISOCentralSecretariat,ifthesecond
languageversionisnotavailablewithin60daysofthesubmissionoftheoriginaltext,ISOCentralSecretariatisauthorizedtoproceedwithDISvotingandsubsequent
publicationoftheapprovedInternationalStandardinonelanguage,thesecondlanguageversionbeingpublishedwhenitbecomesavailable.
IftwoormorelanguageversionswerecirculatedattheDISStage,thentheyshouldalsonormallybecirculatedsimultaneouslyattheFDISStage,forfinalvoting.
SG.2.5 Updatinglanguageversionsafterballot
InthecaseofpreparationofasecondorsubsequentDIS,ortheFDIStext,inordertofacilitatethepreparationofthesecondlanguagetext(whererequired),TCandSC
secretariatsshouldpreferablyprovidethememberbodyresponsibleforthesecondlanguageversionwithamarkedupcopyoftherevisedfirstlanguageDISshowingthe
changestobemade.
SG.3 Russian
ItistheresponsibilityoftheRussianmemberbodytodeterminethosecasesforwhichtheyconsideraRussianversiontobeappropriate,andtoprovidealltranslationintoor
fromtheRussianlanguage.ISOdoesnotitselftypicallypublishRussianlanguageversionsofInternationalStandards,exceptinthosecaseswhereRussianisoneofthe
languagesinamultilingualdocument,suchasavocabulary.InthecaseoftherevisionofatextwithacorrespondingRussianversion,thecommitteesecretariatshallliaise
withtheRussianmemberbodytodeterminewhatisrequired.
SG.4 Otherlanguages
Inthecaseofsomemultilingualdocuments,suchasvocabulariesorlistsofequivalentterms,languagesotherthantheofficiallanguagesofISOmaybeincluded.Insuchcases
itistheresponsibilityofthecommitteesecretariattoensurethattheselanguageversionshavebeenpreparedandvalidatedbythosehavinganappropriatelevelofskillin
thelanguage(s)concerned.
InthosecaseswhereanISOprojectisajointprojectwithCENundertheAgreementontechnicalcooperationbetweenISOandCEN(ViennaAgreement),thepreparationofa
Germanversionisarequirement.FormoreguidancereferenceshouldbemadetotheseparateGuidelinesforChairmenandSecretariatsontheimplementationoftheVienna
Agreement.
SG.5 Singlelanguageversions
Itmayexceptionallybeproposedthataninternationaldocumentneedonlybedevelopedinasinglelanguage,perhapswherethereisonlyalimitedinterestinsay
francophonecountries.Wherethisisenvisaged,theexplicitapprovalforprogressionasasinglelanguageversionneedstobeobtainedassoonaspossible.Itmaybeuseful,
forexampleforfuturereference,ifaformalrecordofthedecisionisobtained.Furtherlanguageversionscanalwaysbepreparedasatranslationofthepublishedtext.
SG.6 Translations
UnderthetermsoftheISOStatutes,assupplementedbytheagreementISOpoliciesandproceduresforcopyright,copyrightexploitationrightsandsalesofISOpublications
(ISOPOCOSA),thememberbodiesofISOmay,undertheirsoleresponsibility,preparetranslationsintootherlanguagesofcertainISOpublicationsanddocuments.
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AnnexSH(normative)Proceduresforthestandardizationofgraphicalsymbols
SH.1 Introduction
Thisannexdescribestheprocedurestobeadoptedinthesubmissionandsubsequentapprovalandregistration,whenappropriate,ofallgraphicalsymbolsappearinginISO
documents.
WithinISOtheresponsibilityforthecoordinationofthedevelopmentofgraphicalsymbolshasbeensubdividedintotwoprincipalareas,allocatedtotwoISOtechnical
committees:
ISO/TC 145allgraphicalsymbols(exceptthoseforuseintechnicalproductdocumentation)(seeISO/TC145website);
ISO/TC 10graphicalsymbolsfortechnicalproductdocumentation(tpd)(seeISO/TC10website).
InadditionthereiscoordinationwithIEC/TC3(Informationstructures,documentationandgraphicalsymbols)andwithIEC/TC3/SC3C(Graphicalsymbolsforuseon
equipment).
Thebasicobjectivesofthestandardizationofgraphicalsymbolsareto:
meettheneedsofusers;
ensurethattheinterestsofallconcernedISOcommitteesaretakenintoaccount;
ensurethatgraphicalsymbolsareunambiguousandconformtoconsistentsetsofdesigncriteria;
ensurethatthereisnoduplicationorunnecessaryproliferationofgraphicalsymbols.
Thebasicstepsinthestandardizationofanewgraphicalsymbolare:
identificationofneed;
elaboration;
evaluation;
approval,whenappropriate;
registration;
publication.
Allstepsshouldbecarriedoutbyelectronicmeans.
ProposalsforneworrevisedgraphicalsymbolsmaybesubmittedbyanISOcommittee,aliaisonmemberofanISOcommitteeoranyISOmemberorganization(hereafter
jointlycalledtheproposer).
Eachapprovedgraphicalsymbolwillbeallocatedauniquenumbertofacilitateitsmanagementandidentificationthrougharegisterthatprovidesinformationthatcanbe
retrievedinanelectronicformat.
ConflictswiththerelevantrequirementsandguidelinesforgraphicalsymbolsshallberesolvedbyliaisonanddialoguebetweenISO/TC145orISO/TC10andtheproduct
committeeconcernedattheearliestpossiblestage.
SH.2 Allgraphicalsymbolsexceptthoseforuseintechnicalproductdocumentation
SH.2.1
General
ISO/TC145isresponsiblewithinISOfortheoverallcoordinationofstandardizationinthefieldofgraphicalsymbols(exceptfortpd).Thisresponsibilityincludes:
standardizationinthefieldofgraphicalsymbolsaswellasofcoloursandshapes,whenevertheseelementsformpartofthemessagethatasymbolisintendedtoconvey,
e.g.asafetysign;
establishingprinciplesforpreparation,coordinationandapplicationofgraphicalsymbols:generalresponsibilityforthereviewandthecoordinationofthosealready
existing,thoseunderstudy,andthosetobeestablished.
Thestandardizationofletters,numerals,punctuationmarks,mathematicalsignsandsymbols,andsymbolsforquantitiesandunitsisexcluded.However,suchelementsmay
beusedascomponentsofagraphicalsymbol.
ThereviewandcoordinationroleofISO/TC145appliestoallcommitteesthatundertaketheresponsibilityforcreationandstandardizationofgraphicalsymbolswithin
theirownparticularfields.
ISO/TC145hasallocatedtheseresponsibilitiesasfollows:
ISO/TC 145/SC1:Publicinformationsymbols;
ISO/TC 145/SC2:Safetyidentification,signs,shapes,symbolsandcolours;
ISO/TC 145/SC3:Graphicalsymbolsforuseonequipment.
ThereisalsoliaisonwithISO/TC10andwithIEC,inparticularwithIEC/SC3C,Graphicalsymbolsforuseonequipment.
TableSH.1showsthecategoriesofgraphicalsymbolscoveredbyeachcoordinatingcommittee.
TableSH.1Categoriesofgraphicalsymbols
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Basicmessage
Location
Targetaudience
Design
principles
Overview
Responsible
committee
Public
information
symbols
Locationof
serviceor
facility
Inpublicareas
Generalpublic
ISO22727
ISO7001
ISO/TC145/SC1
Safetysigns
(symbols)
Relatedtosafetyandhealth
of
persons
Inworkplacesandpublic
areas
a)Generalpublic
or
b)authorizedandtrained
persons
ISO38641
ISO38643
ISO7010
ISO/TC145/SC2
Product
safetylabels
Relatedtosafetyandhealth
of
persons
Onproducts
c)Generalpublic
or
d)authorizedandtrained
persons
ISO38642
ISO38643
ISO/TC145/SC2
Graphical
symbolsforuseon
equipment
Relatedto
equipment
Onequipment
e)Generalpublic
or
f)authorizedandtrained
persons
IEC804161
ISO804162
IEC804163
ISO7000 ISO/TC145/SC3
IEC60417 IEC/TC3/SC3C
tpdsymbols
(Product
representation)
Technical
product
documentation(drawings,
diagrams,etc.)
Trainedpersons
ISO817141
ISO14617 ISO/TC10/SC10
IEC60617 IEC/TC3
TableSH.2Examplesofdifferenttypesofgraphicalsymbolsshownintheircontextofuse
SL000000SH_e.EPS
SH.2.2
Submissionofproposals
ProposersshallsubmittheirproposalsontherelevantapplicationformassoonaspossibletothesecretariatoftheappropriateISO/TC145subcommitteeinordertoallow
fortimelyreviewandcomment.ItisstronglyrecommendedthatthissubmissionbemadebyproposersattheCDstage,butitshallbenolaterthanthefirstenquirystage(i.e.
DISorDAM)inthecaseofanInternationalStandard.
Priortosubmittingagraphicalsymbolproposal,theproposershould:
beabletodemonstratetheneedfortheproposedgraphicalsymbol;
havereviewedtherelevantISOand/orIECstandardsofgraphicalsymbols,inordertoavoidambiguityand/oroverlapwithexistingstandardizedgraphicalsymbols,and
tocheckforconsistencywithanyrelatedgraphicalsymbolorfamilyofgraphicalsymbolsalreadystandardized;
createtheproposedgraphicalsymbolinaccordancewiththerelevantstandardsandinstructions,theseincludedesignprinciplesandcriteriaofacceptance.
SH.2.3
Standardizationprocedureforproposedgraphicalsymbols
Uponreceiptofaproposal,theISO/TC145subcommitteeconcernedshallreviewtheapplicationform,withintwomonths,tocheckwhetherithasbeencorrectlycompleted
andtherelevantgraphicsfile(s)hasbeencorrectlyprovided.Ifnecessary,theproposerwillbeinvitedtomodifytheapplication,andtoresubmitit.
Uponreceiptofacorrectlycompletedapplicationform,aformalreviewprocessshallbecommencedtoreviewtheproposalforconsistencywithstandardizedgraphical
symbols,therelevantdesignprinciplesandcriteriaofacceptance.
Whenthisformalreviewprocesshasbeencompleted,theresultsshallbetransmittedtotheproposer,togetherwithanyrecommendations.Theproposerwill,where
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Whenthisformalreviewprocesshasbeencompleted,theresultsshallbetransmittedtotheproposer,togetherwithanyrecommendations.Theproposerwill,where
appropriate,beinvitedtomodifytheproposal,andtoresubmititforafurtherreview.
TheproceduresoutlinedontherelevantISO/TC145subcommitteewebsiteshallbefollowed:
ISO/TC 145/SC1:Publicinformationsymbols(www.iso.org/tc145/sc1);
ISO/TC 145/SC2:Safetyidentification,signs,shapes,symbolsandcolours(www.iso.org/tc145/sc2);
ISO/TC 145/SC3:Graphicalsymbolsforuseonequipment(www.iso.org/tc145/sc3).
Thesewebsitesalsoprovideapplicationformsforthesubmissionofproposals.
GraphicalsymbolsapprovedbyISO/TC145shallbeassignedadefinitiveregistrationnumberandincludedintherelevantISO/TC145standard.
NOTE
Inexceptionalcases,unregisteredsymbolsmaybeincludedinISOstandardssubjecttoTMBapproval.
SH.3 Graphicalsymbolsforuseintechnicalproductdocumentation(tpd)(ISO/TC10)
ISO/TC10isresponsiblefortheoverallresponsibilityforstandardizationinthefieldofgraphicalsymbolsfortechnicalproductdocumentation(tpd).Thisresponsibility
includes
maintenanceofISO817141:DesignofgraphicalsymbolsforuseinthetechnicaldocumentationofproductsPart1:Basicrules,incooperationwithIEC;
standardizationofgraphicalsymbolstobeusedintechnicalproductdocumentation,coordinatedwithIEC;
establishingandmaintainingadatabaseforgraphicalsymbolsincludingmanagementofregistrationnumbers.
Includedisthestandardizationofsymbolsforuseindiagramsandpictorialdrawings.
ISO/TC10hasallocatedtheseresponsibilitiestoISO/TC10/SC10.TheSecretariatofISO/TC10/SC10issupportedbyamaintenancegroup.
AnycommitteeidentifyingtheneedforneworrevisedgraphicalsymbolsfortpdshallassoonaspossiblesubmittheirproposaltothesecretariatofISO/TC10/SC10for
reviewandonceapprovedallocationofaregistrationnumber.
AnnexSI(normative)ProcedureforthedevelopmentofInternationalWorkshopAgreements(IWA)
SI.1 ProposalstodevelopIWAs
AproposaltoholdanISOworkshopforthepurposeofdevelopingoneormoreIWAsonaparticularsubjectmaycomefromanysource,includingISOmemberbodies,liaison
organizations,corporatebodiesetc.AnorganizationthatisnotanISOmemberbodyorliaisonorganization,orisnotinternationalinscope,shallinformtheISOmember
bodyinitscountryofitsintenttosubmitsuchaproposal.
Wheneverpracticable,proposersshallprovidedetailsconcerning:
Purposeandjustificationoftheproposal;
Relevantdocuments;and
Cooperationandliaison,
inaccordancewiththeISO/IECDirectives,Part1,AnnexC.
Additionally,whereverpossible,proposalsshallincludeindicationofanISOMemberBodywillingtoprovidesecretariatsupporttotheIWAWorkshop.Ifitisconsidered
likelythatparticipationintheworkshopwillneedtobelimited(seeSJ.5.2),thisshallalsobeindicated.
Insomecircumstances,itmaybeconsideredthatseveralmeetingsmaybeneededinordertoreachaconsensus.Insuchcases,theproposerisencouraged,ormaybe
requiredbytheISOTechnicalManagementBoard,todevelopabusinessplanwhichwouldgivedetailsconcerningmeetingschedules,expecteddatesofavailabilityofdraft
documents,thepossibilitythataworkshopmayestablishprojectteamstoprogressworkbetweenmeetingsoftheworkshop,theexpecteddateofavailabilityofanyIWA,etc.
SI.2 Reviewofproposals
ProposalswillbereferredtotheISOTechnicalManagementBoardforapproval.Proposalsshouldcontainananalysisoftheglobalinterestinthesubjectbeingproposedfor
theIWAindifferentcountriesandbystakeholders.
Iftheproposalisaccepted,theISO/TMBwillinitiateconsultationswithmemberbodiestoidentifyacandidatewillingtoactastheorganizerandtoprovideadministrative
andlogisticssupporttotheproposer.Preferencewillnormallybegivento:
Thememberbodyfromthecountryoftheproposer,iftheproposerisnotamemberbody;or
Memberbodiesholdingsecretariatsinfieldsrelatedtothatcoveredbytheproposal.
Ifthereismorethanoneoffer,theISO/TMBwillformallydesignatethememberbodyassignedtoactastheworkshopsecretariat.TheassignedISOmemberbodymay
establishfinancialarrangementswiththeproposertocoveradministrativeandlogisticssupportcostsfortheworkshop.Ifamemberbodyisnotwillingtoactasworkshop
secretariat,theISO/TMBmayauthorizetheISOCentralSecretariattofulfilthisrole,providedallassociatedcostsarerecoveredbyworkshopregistrationfees.
AninformativechecklistforestimatingIWAworkshopcostsisprovidedinSI.10.
Theworkshopsecretariatandtheproposershalldesignatethechairoftheworkshop.
SI.3 Announcement
Oncetheworkshopsecretariatandtheproposerhaveagreedonadateandvenueforthefirstmeetingoftheworkshop,theseshallbecommunicatedtotheISOmember
bodies.Thesedetailsshallbefurtherannouncedbytheworkshopsecretariat,theISOCentralSecretariatandbyanyotherinterestedmemberbodiesinthemostappropriate
way(s)toachievethewidestpossiblecirculation(e.g.apubliclyaccessiblewebsite).Thismayincludeanumberofdifferentannouncementoptionsandmedia,buttheintent
istoensurethatthebroadestrangeofrelevantinterestedpartiesworldwideareinformedoftheworkshopandhavetheopportunitytoattend.
TheproposerandworkshopsecretariatwillensurethatanyISOcommitteeswithprojectsrelevanttothesubjectwillbeinvitedtoberepresentedattheworkshop.
Aregistrationfeemaybeappliedtohelpsupportpreparationandhostingoftheworkshop.Anyregistrationfeesshallbestatedintheworkshopannouncement.
NOTE
Whenthesubjectmatterofaworkshopislikelytobeofinteresttodevelopingcountries,itisrecommendedeitherthatafundingmechanismotherthanaregistrationfeebeapplied
tofacilitateparticipationfromsuchcountries,orthatanumberoffreeregistrationsbepermitted.
Theannouncementshallbemadeatleast90daysinadvanceoftheagreeddatetoallowpotentialattendeesadequatetimetoplanonattendingtheworkshop.The
announcementshallbeaccompaniedbyaregistrationformtoallowpotentialparticipantstoregisterfortheworkshop.Registrationformsshallbereturnedtotheworkshop
Secretariat.
SI.4 Workshopinformation
Aworkshopprogrammedetailingworkshopobjectives,deliverables,agenda,draftdocumentsandanyotherrelevantdetailsfortheworkshopshallbeavailable,and
circulatedtoregisteredparticipants,nolaterthansixweekspriortotheworkshopdate.Registeredparticipantsmaysubmittheirowncontributionstotheworkshop
secretariatforfurtherdistributiontootherparticipants.
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SI.5 Participation
SI.5.1 Workshopchairs
Theproposerandworkshopsecretaryshalldesignatethechairofanyparticularworkshop.Thechairshallactinapurelyinternationalandneutralcapacityandinparticular
shall
Ensurethatallpointsofviewexpressedduringaworkshopareadequatelysummedupsothattheyareunderstoodbyallpresent,
Conducttheworkshopwithaviewtoreachingconsensus,
Ensurethatalldecisionsareclearlyformulatedand,ifneeded,madeavailabletotheparticipantsbeforeclosureofthemeetingoftheworkshop.
SI.5.2 Registeredparticipants
Anyorganizationmayregisterasaparticipantinaworkshopandparticipationwillbeopentotheregisteredparticipantsonly.Participantsarenotrequiredtobeappointed
bytheISOmemberbodyintheircountry.Theworkshopsecretariat,chairandproposershallendeavourtoensurethatthebroadestrangeofinterestsisrepresentedinany
workshopandthatthereisanappropriatebalanceofrepresentation.Ifneeded,thismayrequirethatsomelimitationbeplacedonparticipation(forexamplenomorethan
tworegisteredparticipantsfromthesamecorporatebodyororganization).Iftheneedtolimitparticipationisexpectedattheoutset,thisshallbeindicatedintheproposal
submittedtotheISOTechnicalManagementBoard.Ifaneedforlimitationbecomesapparentafterannouncementoftheworkshop,thisshallbeauthorizedbytheTMB
secretariatfollowingconsultationwiththeISO/TMBchairand,ifneeded,otherISO/TMBmembers.
Workshopsecretariatsareresponsibleforensuringthattheoutcomeoftheworkshopistrulyinternational,i.e.itisattendedbymorethanonecountry.
SI.5.3 Projectteams
Incasesinwhichmorethanonemeetingwillberequiredtoreachconsensus,aworkshopmayestablishoneormoreprojectteamstoprogressworkbetweenmeetingsofthe
workshop.Theworkshopshalldesignatethemembershipofsuchprojectteams,ensuringthattheirworkingmethodswillallowallintereststoparticipatefully.
SI.6 Workshopproceduresandmanagementoversight
Workshopswillbepermittedtoworkinapracticallyautonomousmannerusingveryflexibleprocedures.
However,thereareanumberofgeneralISOpolicieswhichneedtoberespected,inparticularthoseconcerningintellectualpropertyrightsandtheuseofSIunits.Itshallbe
theresponsibilityoftheworkshopsecretariattoensurethattheappropriatepoliciesareknowntoregisteredparticipantsandarerespected.
Managementoversightwillbekepttotheminimumrequiredtoensurecoordinationwithexistingstandardizationactivitiesifrelevantandtoensurethatappropriate
resourceisprovidedbytheISOsystem.Itwillbetheresponsibilityoftheworkshopchairtodeterminewhenconsensusoftheworkshopparticipantshasbeenreachedona
particularitemordeliverable.Forthepurposesofdeterminingconsensus,theworkshopchairshallapplythedefinitionofconsensusinclause2.5.6.
ItshouldbenotedthatanIWAworkshopmayarriveattheconsensusthatanIWAdeliverableisnotnecessary.
Theworkshopdeliverablesshallcontainadescriptionoftheworkshopconsensusachievedincludinganyrecommendationsforpossiblefutureactionsorrevisionstothe
workshopdeliverables.Thedeliverableresultingfromtheworkshopwillproceedtopublicationbasedontheconsensusoftheworkshopwithoutadditionalreviewsor
approvalsbyanyotherbody,exceptinthecaseofanappealonsuchadeliverable(seeimmediatelybelow).
SI.7 Appeals
Anypartiesaffectedbythedeliverableresultingfromtheworkshopshallhavetherightofappealforthefollowingreasons:
Theworkshopandtheprocesstoarriveatitsdeliverablehavenotcompliedwiththeseprocedures;
Thedeliverableresultingfromtheworkshopisnotinthebestinterestsofinternationaltradeandcommerce,orsuchpublicfactorsassafety,healthortheenvironment;
or
ThecontentsofthedeliverableresultingfromtheworkshopconflictwithexistingordraftISOstandard(s)ormaybedetrimentaltothereputationofISO.
SuchappealsshallbesubmittedwithintwomonthsofthedateoftheworkshopandshallbeconsideredbytheISOTechnicalManagementBoardwhichinsuchcircumstances
willtakethefinaldecisionconcerningpublicationofanIWA.
SI.8 Workshopdeliverablesandpublication
Workshopswilldecideonthecontentoftheirowndeliverables.DeliverablesshallbesenttotheISOCentralSecretariatforpublicationasInternationalWorkshop
Agreements.TheywillbenumberedinaspecialIWAseries.EachIWAshallincludethelistofparticipantsintheworkshopthatdevelopedit.
IWAsmaybepublishedinoneoftheofficialISOlanguagesonlyandcompetingIWAsonthesamesubjectarepermitted.ThetechnicalcontentofanIWAmaycompetewith
thetechnicalcontentofanexistingISOorIECstandard,ortheproposedcontentofanISOorIECstandardunderdevelopment,butconflictisnotnormallypermittedunless
expresslyauthorizedbytheISO/TMB.
SI.9 ReviewofIWAs
Threeyearsafterpublication,thememberbodywhichprovidedtheworkshopsecretariatwillberequestedtoorganizethereviewofanIWA,consultinginterestedmarket
playersaswellas,ifneeded,therelevantISOcommittee(s).TheresultofthereviewmaybetoconfirmtheIWAforafurtherthreeyearperiod,towithdrawtheIWAorto
submititforfurtherprocessingasanotherISOdeliverableinaccordancewithPart1oftheISO/IECDirectives.
AnIWAmaybefurtherprocessedtobecomeaPubliclyAvailableSpecification,aTechnicalSpecificationoranInternationalStandard,accordingtothemarketrequirement.
AnIWAmayexistforamaximumofsixyearsfollowingwhichitshalleitherbewithdrawnorbeconvertedintoanotherISOdeliverable.
SI.10 ChecklisttoestimatecostsassociatedwithhostinganISOIWAWorkshop(WS)
CompletionofthischecklistisNOTmandatoryfortheproposedhostingofanIWA.ItisintendedsimplyasatooltoassistproposersandassignedISOmemberbodiesin
determiningmajorcostsassociatedwithhostinganISOIWAWorkshop.SomeofthesamplecostsprovidedmaynotbeapplicabletoparticularIWAWorkshops,ormaybe
coveredinadifferentmannerthanisdescribedbelow.
SI.10.1 Overallmeasurestoconsider
Expectednumberofdeliverables
ExpectednumberofProjectGroups
Expectednumberofparticipants
ExpectednumberofWSplenarymeetings
ExpectednumberofProjectGroupmeetings
SI.10.2 PlannedResourcesHumanResourceRequirements&Functions
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PlannedResourcesHumanResourceRequirements&Functions
Function
Who
Estimated
Cost
Covered
by
(Who)
Commitment
(Y/N)
WSSecretariat
organizingWSplenarymeetings
producingWSandprojectmeetingreportsandactionlists
administrativecontactpointforWSprojects
managingWS(andprojectgroup)membershiplists
managingWS(andprojectgroup)documentregisters
followupofactionlists
iftheWorkshopworksmainlybyelectronicmeans,assistChairinmonitoringandfollowupofelectronicdiscussion
WSChair
chairingWSplenarymeetings
responsibleforoverallWS/projectmanagement
producingprojectmanagementprogressreports
actingasformalliaisonwithrelatedWS/projectsandliaisonbody
iftheWorkshopworksmainlybyelectronicmeans,followandsteerelectronicdiscussionsthattakeplacebetween
meetings,takenecessarydecisions
WSViceChair
IfyourWSwillhaveViceChair(s),youshouldlistthemhere,alongwiththeirparticularfunctionsandfillintherightside
ofthistable.
ProjectLeader(s)
(whereapplicable)
chairingprojectgroupmeetings
producingprojectgroupmeeting
reportsandactionlists
preparingprojectgroupprogressreports
iftheWorkshopworksmainlyby
electronicmeans,followandsteer
electronicdiscussionsthattakeplace
regardinghis/herparticularproject
IWAEditor
editingoftheIWAtexts
attendmeetings
followdiscussionsrelatingtotheIWA(s)thats/heisediting
SI.10.3 PlannedResourcesMaterialResourceRequirements
MaterialResourcecosts
Numbers
EstimatedCost
permeeting
Coveredby
(Who)
Commitment
(Y/N)
WSMeetings
Meetingrooms
Logistics(ITsupport,photocopies,etc.)
Foodandbeverage
Interpretationduringmeetings
AnnexSJ(normative)Forms
Theseareavailableinelectronicformat(typicallyMSWord)fordownloadfromwww.iso.org/forms.
AnnexSK(CurrentlyblankPlaceholderfornewannexes)
AnnexSL(normative)Proposalsformanagementsystemstandards
SL.1 General
Wheneveraproposalismadetoprepareanewmanagementsystemstandard(MSS),includingsectoralapplicationsofgenericMSS,ajustificationstudy(JS)shallbecarried
outinaccordancewithAppendix1tothisAnnexSL.
NOTE
NoJSisneededfortherevisionofanexistingMSSwhosedevelopmenthasalreadybeenapproved(unlessitwasnotprovidedduringitsfirstdevelopment).
Totheextentpossible,theproposershallendeavourtoidentifythefullrangeofdeliverableswhichwillconstitutetheneworrevisedMSSfamily,andaJSshallbeprepared
foreachofthedeliverables.
SL.2 ObligationtosubmitaJS
AllMSSproposalsandtheirJSmustbeidentifiedbytherelevantTC/SC/PCleadershipandmustbesenttotheISO/TMB(oritsMSStaskforce)forevaluationbeforetheNWI
ballottakesplace.ItistheresponsibilityoftherelevantTC/SC/PCsecretariattoidentifyallMSSproposals,withoutexception,sothattherewillbenoMSSproposalswhich
fail(withknowledgeorwithoutknowledge)tocarryouttheJSorwhichfailtobesenttotheISO/TMBforevaluation.
NOTE
NoJSisrequiredforaTypeBMSSprovidingguidanceonaspecificTypeAMSSforwhichaJShasalreadybeensubmittedandapproved.Forexample,ISO/IEC27003:2010
(InformationtechnologySecuritytechniquesInformationsecuritymanagementsystemimplementationguidance)doesnotneedtohaveJSsubmittedasISO/IEC27001:2013
(InformationtechnologySecuritytechniquesInformationsecuritymanagementsystemsRequirements)hasalreadyhadaJSsubmittedandapproved.
SL.3 CaseswherenoJShavebeensubmitted
MSSproposalswhichhavenotbeensubmittedforISO/TMBevaluationbeforetheNWIballotwillbesenttotheISO/TMBforevaluationandnonewballotshouldtakeplace
beforetheISO/TMBdecision(projectonhold).ItisconsideredgoodpracticethattheTC/SC/PCmembersendorsetheJSprioritissenttotheISO/TMB.
NOTE
AlreadypublishedMSSwhichdidnothaveaJSsubmittedwillbetreatedasnewMSSatthetimeofrevision,i.e.aJSistobepresentedandapprovedbeforeanyworkcanbegin.
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SL.4 ApplicabilityofAnnexSL
TheaboveproceduresapplytoallISOdeliverablesincludingIWAs.
SL.5 Termsanddefinitions
ForthepurposesofthisAnnexSL,thefollowingtermsanddefinitionsapply.
SL.5.1
managementsystem
SeedefinitioncontainedinAppendix2(clause3.04)ofthisAnnexSL.
SL.5.2
ManagementSystemStandard
MSS
Standardformanagementsystems(SL.5.1).
Notetoentry:
Forthepurposesofthisdocument,thisdefinitionalsoappliestootherISOdeliverables(e.g.TS,PAS).
SL.5.3
TypeAMSS
MSSprovidingrequirements
EXAMPLES
Managementsystemrequirementsstandards(specifications).
Managementsystemsectorspecificrequirementsstandards.
SL.5.4
TypeBMSS
MSSprovidingguidelines
EXAMPLES
Guidanceontheuseofmanagementsystemrequirementsstandards.
Guidanceontheestablishmentofamanagementsystem.
Guidanceontheimprovement/enhancementofamanagementsystem.
SL.5.5
HighLevelStructure
HLS
outcomeoftheworkoftheISO/TMB/JTCGJointtechnicalCoordinationGrouponMSSwhichreferstohighlevelstructure(HLS),identicalsubclausetitles,identicaltext
andcommontermsandcoredefinitions.SeeAppendix2tothisAnnexSL.
SL.6 Generalprinciples
AllprojectsfornewMSS(orforMSSwhicharealreadypublishedbutforwhichnoJSwascompleted)mustundergoaJS(seeSL.1andNotetoSL.3).Thefollowinggeneral
principlesprovideguidancetoassessthemarketrelevanceofproposedMSSandforthepreparationofaJS.ThejustificationcriteriaquestionsinAppendix1tothisAnnexSL
arebasedontheseprinciples.TheanswerstothequestionswillformpartoftheJS.AnMSSshouldbeinitiated,developedandmaintainedonlywhenallofthefollowing
principlesareobserved.
1)Marketrelevance
AnyMSSshouldmeettheneedsof,andaddvaluefor,theprimaryusersandotheraffectedparties.
2)Compatibility
CompatibilitybetweenvariousMSSandwithinanMSSfamilyshouldbemaintained.
3)Topiccoverage
AnMSSshouldhavesufficientapplicationcoveragetoeliminateorminimizetheneedforsectorspecificvariances.
4)Flexibility
AnMSSshouldbeapplicabletoorganizationsinallrelevantsectorsandculturesandofeverysize.AnMSSshouldnotpreventorganizations
fromcompetitivelyaddingtoordifferentiatingfromothers,orenhancingtheirmanagementsystemsbeyondthestandard.
5)Freetrade
AnMSSshouldpermitthefreetradeofgoodsandservicesinlinewiththeprinciplesincludedintheWTOAgreementonTechnicalBarriersto
Trade.
6)Applicabilityof
conformity
assessment
Themarketneedforfirst,secondorthirdpartyconformityassessment,oranycombinationthereof,shouldbeassessed.TheresultingMSS
shouldclearlyaddressthesuitabilityofuseforconformityassessmentinitsscope.AnMSSshouldfacilitatejointaudits.
7)Exclusions
AnMSSshouldnotincludedirectlyrelatedproduct(includingservices)specifications,testmethods,performancelevels(i.e.settingoflimits)
orotherformsofstandardizationforproductsproducedbytheimplementingorganization.
8)Easeofuse
ItshouldbeensuredthattheusercaneasilyimplementoneormoreMSS.AnMSSshouldbeeasilyunderstood,unambiguous,freefrom
culturalbias,easilytranslatable,andapplicabletobusinessesingeneral.
SL.7 Justificationstudyprocessandcriteria
SL.7.1
General
Thisclausedescribesthejustificationstudy(JS)processforjustifyingandevaluatingthemarketrelevanceofproposalsforanMSS.Appendix1tothisAnnexSLprovidesaset
ofquestionstobeaddressedinthejustificationstudy.
SL.7.2
Justificationstudyprocess
TheJSprocessappliestoanyMSSprojectandconsistsofthefollowing:
a) thedevelopmentoftheJSby(oronbehalfof)theproposerofanMSSproject;
b) anapprovaloftheJSbytheISO/TMB(orISO/TMBMSStaskforce).
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TheJSprocessisfollowedbythenormalISOballotingprocedurefornewworkitemapprovalasappropriate.
SL.7.3
ustificationstudycriteria
BasedonAnnexCoftheISO/IECDirectives,Part1,2012,andthegeneralprinciplesstatedabove,asetofquestions(seeAppendix1tothisAnnexSL)mustbeusedascriteria
forjustifyingandassessingaproposedMSSprojectandmustbeansweredbytheproposer.Thislistofquestionsisnotexhaustiveandanyadditionalinformationthatis
relevanttothecaseshouldbeprovided.TheJSshoulddemonstratethatallquestionshavebeenconsidered.Ifitisdecidedthattheyarenotrelevantorappropriatetoa
particularsituation,thenthereasonsforthisdecisionshouldbeclearlystated.TheuniqueaspectofaparticularMSSmayrequireconsiderationofadditionalquestionsin
ordertoassessobjectivelyitsmarketrelevance.
SL.8 GuidanceonthedevelopmentprocessandstructureofanMSS
SL.8.1
General
ThedevelopmentofanMSSwillhaveeffectsinrelationto
thefarreachingimpactofthesestandardsonbusinesspractice,
theimportanceofworldwidesupportforthestandards,
thepracticalpossibilityforinvolvementbymany,ifnotall,ISOMemberBodies,and
themarketneedforcompatibleandalignedMSS.
ThisclauseprovidesguidanceinadditiontotheprocedureslaiddownintheISO/IECDirectives,inordertotaketheseeffectsintoaccount.
AllMSS(whethertheyareTypeAorTypeBMSS)shall,inprinciple,useconsistentstructure,commontextandterminologysothattheyareeasytouseandcompatiblewith
eachother.TheguidanceandstructuregiveninAppendix2tothisAnnexSLshall,inprinciple,alsobefollowed(basedonISO/TMBResolution18/2012).
ATypeBMSSwhichprovidesguidanceonanotherMSSofthesameMSSfamilyshouldfollowthesamestructure(i.e.clausesnumbering).WhereMSSprovidingguidance
(TypeBMSS)areinvolved,itisimportantthattheirfunctionsbeclearlydefinedtogetherwiththeirrelationshipwiththeMSSprovidingrequirements(TypeAMSS),for
example:
guidanceontheuseoftherequirementsstandard;
guidanceontheestablishment/implementationofthemanagementsystem;
guidanceonimprovement/enhancementofthemanagementsystem.
WheretheproposedMSSissectorspecific:
itshouldbecompatibleandalignedwiththegenericMSS;
therelevantcommitteeresponsibleforthegenericMSSmayhaveadditionalrequirementstobemetorprocedurestobefollowed;
othercommitteesmayneedtobeconsulted,aswellasCASCOonconformityassessmentissues.
Inthecaseofsectorspecificdocuments,theirfunctionandrelationshipwiththegenericMSSshouldbeclearlydefined(e.g.additionalsectorspecificrequirements;
elucidation;orbothasappropriate).
Sectorspecificdocumentsshouldalwaysshowclearly(e.g.byusingdifferenttypographicalstyles)thekindofsectorspecificinformationbeingprovided.
NOTE1
TheISO/TMB/JTCGJointTechnicalCoordinationGrouponMSShasproducedasetofrulesfortheadditionofdisciplinespecifictexttotheidenticaltext.
NOTE2
WheretheidenticaltextoranyoftherequirementscannotbeappliedinaspecificMSS,duetospecialcircumstances,thisshouldbereportedtotheISO/TMBthroughtheTMB
Secretaryattmb@iso.org(seeSL.9.3).
SL.8.2
MSSdevelopmentprocess
SL.8.2.1 General
InadditiontotheJS,thedevelopmentofanMSSshouldfollowthesamerequirementsasotherISOdeliverables(ISO/IECDirectives,Part1,Clause2).
SL.8.2.2 Designspecification
Toensurethattheintentionofthestandard,asdemonstratedbythejustificationstudy,willbemaintained,adesignspecificationmaybedevelopedbeforeaworkingdraftis
prepared.
Theresponsiblecommitteewilldecidewhetherthedesignspecificationisneededandincaseitisfeltnecessary,itwilldecideuponitsformatandcontentthatisappropriate
fortheMSSandshouldsetupthenecessaryorganizationtocarryoutthetask.
Thedesignspecificationshouldtypicallyaddressthefollowing.
Userneeds
Theidentificationoftheusersofthestandardandtheirassociatedneeds,togetherwiththecostsandbenefitsfortheseusers.
Scope
Thescopeandpurposeofthestandard,thetitleandthefieldofapplication.
Compatibility HowcompatibilitywithinthisandwithotherMSSfamilieswillbeachieved,includingidentificationofthecommonelementswithsimilarstandards,and
howthesewillbeincludedintherecommendedstructure(seeAppendix2tothisAnnexSL).
Consistency
NOTE
Consistencywithotherdocuments(tobe)developedwithintheMSSfamily.
Most,ifnotalloftheinformationonuserneedsandscopewillbeavailablefromthejustificationstudy.
Thedesignspecificationshouldensurethat
a) theoutputsofthejustificationstudyaretranslatedcorrectlyintorequirementsfortheMSS,
b) theissuesofcompatibilityandalignmentwithotherMSSareidentifiedandaddressed,
c) abasisforverificationofthefinalMSSexistsatappropriatestagesduringthedevelopmentprocess,
d) theapprovalofthedesignspecificationprovidesabasisforownershipthroughouttheprojectbythemembersoftheTC/SC(s),
e) accountistakenofcommentsreceivedthroughtheNWIballotphase,and
f) anyconstraintsaretakenintoaccount.
TheCommitteedevelopingtheMSSshouldmonitorthedevelopmentoftheMSSagainstthedesignspecificationinordertoensurethatnodeviationshappeninthecourseof
theproject.
SL.8.2.3 Producingthedeliverables
SL.8.2.3.1 Monitoringoutput
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Inthedraftingprocess,theoutputshouldbemonitoredforcompatibilityandeaseofusewithotherMSS,bycoveringissuessuchas
thehighlevelstructure(HLS),identicalsubclausetitles,identicaltextandcommontermsandcoredefinitionstheneedforclarity(bothinlanguageandpresentation),and
avoidingoverlapandcontradiction.
SL.8.2.4 TransparencyoftheMSSdevelopmentprocess
MSShaveabroaderscopethanmostothertypesofstandard.Theycoveralargefieldofhumanendeavourandhaveanimpactonawiderangeofuserinterests.
CommitteespreparingMSSshouldaccordinglyadoptahighlytransparentapproachtothedevelopmentofthestandards,ensuringthat
possibilitiesforparticipationintheprocessofdevelopingstandardsareclearlyidentified,and
thedevelopmentprocessesbeingusedareunderstoodbyallparties.
Committeesshouldprovideinformationonprogressthroughoutthelifecycleoftheproject,including
thestatusoftheprojecttodate(includingitemsunderdiscussion),
contactpointsforfurtherinformation,
communiqusandpressreleasesonplenarymeetings,and
regularlistingsoffrequentlyaskedquestionsandanswers.
Indoingthis,accountneedstobetakenofthedistributionfacilitiesavailableintheparticipatingcountries.
WhereitmaybeexpectedthatusersofaTypeAMSSarelikelytodemonstrateconformitytoit,theMSSshallbesowrittenthatconformitycanbeassessedbyamanufacturer
orsupplier(firstparty,orselfdeclaration),auserorpurchaser(secondparty)oranindependentbody(thirdparty,alsoknownascertificationorregistration).
MaximumuseshouldbemadeoftheresourcesoftheISOCentralSecretariattofacilitatethetransparencyoftheprojectandthecommitteeshould,inaddition,considerthe
establishmentofadedicatedopenaccesswebsite.
CommitteesshouldinvolvethenationalmemberbodiestobuildupanationalawarenessoftheMSSproject,providingdraftsasappropriatefordifferentinterestedand
affectedparties,includingaccreditationbodies,certificationbodies,enterprisesandtheusercommunity,togetherwithadditionalspecificinformationasneeded.
ThecommitteeshouldensurethattechnicalinformationonthecontentoftheMSSunderdevelopmentisreadilyavailabletoparticipatingmembers,especiallythosein
developingcountries.
SL.8.2.5 Processforinterpretationofastandard
Thecommitteemayestablishaprocesstohandleinterpretationquestionsrelatedtotheirstandardsfromtheusers,andmaymaketheresultinginterpretationsavailableto
othersinanexpedientmanner.Suchamechanismcaneffectivelyaddresspossiblemisconceptionsatanearlystageandidentifyissuesthatmayrequireimprovedwordingof
thestandardduringthenextrevisioncycle.Suchprocessesareconsideredtobecommitteespecificprocedures[seeForewordf)].
SL.9 Highlevelstructure,identicalcoretextandcommontermsandcoredefinitionsforuseinManagementSystemsStandards
SL.9.1
Introduction
TheaimofthisdocumentistoenhancetheconsistencyandalignmentofISOMSSbyprovidingaunifyingandagreeduponhighlevelstructure,identicalcoretextand
commontermsandcoredefinitions.TheaimbeingthatallISOTypeAMSS(andBwhereappropriate)arealignedandthecompatibilityofthesestandardsisenhanced.Itis
envisagedthatindividualMSSwilladdadditionaldisciplinespecificrequirementsasrequired.
NOTE
InAnnexSL9.1andAnnexSL2and3disciplinespecificisusedtoindicatespecificsubject(s)towhichamanagementsystemstandardrefers,e.g.energy,quality,records,
environmentetc.
TheintendedaudienceforthisdocumentisISOTechnicalCommittees(TC),Subcommittees(SC)andProjectCommittees(PC)andothersthatareinvolvedinthe
developmentofMSS.
ThiscommonapproachtonewMSSandfuturerevisionsofexistingstandardswillincreasethevalueofsuchstandardstousers.Itwillbeparticularlyusefulforthose
organizationsthatchoosetooperateasingle(sometimescalledintegrated)managementsystemthatcanmeettherequirementsoftwoormoreMSSsimultaneously.
Appendix2tothisAnnexSLsetsoutthehighlevelstructure,identicalcoretextandcommontermsandcoredefinitionsthatformthenucleusoffutureandrevisedISO
TypeAMSSandTypeBMSSwhenpossible.
Appendix3tothisAnnexSLsetsoutguidancetotheuseofAppendix2tothisAnnexSL.
SL.9.2
Use
ISOMSSincludethehighlevelstructureandidenticalcoretextasfoundinAppendix2tothisAnnexSL.Thecommontermsandcoredefinitionsareeitherincludedor
normativelyreferenceaninternationalstandardwheretheyareincluded.
NOTE
Thehighlevelstructureincludesthemainclauses(1to10)andtheirtitles,inafixedsequence.Theidenticalcoretextincludesnumberedsubclauses(andtheirtitles)aswellastext
withinthesubclauses.
SL.9.3
Nonapplicability
Ifduetoexceptionalcircumstancesthehighlevelstructureoranyoftheidenticalcoretext,commontermsandcoredefinitionscannotbeappliedinthemanagementsystem
standardthentheTC/PC/SCneedstonotifyISO/TMBthroughtheISO/TMBSecretaryattmb@iso.orgoftherationaleforthisandmakeitavailableforreviewbyISO/TMB.
NOTETC/PC
SL.9.4
/SCstrivetoavoidanynonapplicabilityofthehighlevelstructureoranyoftheidenticalcoretext,commontermsandcoredefinitions.
UsingAnnexSLAppendix2
DisciplinespecifictextadditionstoAnnexSLAppendix2aremanagedasfollows.
1. DisciplinespecificadditionsaremadebytheindividualISO/TC,PC,SCorothergroupthatisdevelopingthespecificISOmanagementsystemstandard.
2. Disciplinespecifictextdoesnotaffectharmonizationorcontradictorunderminetheintentofthehighlevelstructure,identicalcoretext,commontermsandcore
definitions.
3. Insertadditionalsubclauses,orsubsubclauses(etc.)eitheraheadofanidenticaltextsubclause(orsubsubclauseetc.),oraftersuchasubclause(etc.)andrenumbered
accordingly.
NOTE1
HangingparagraphsarenotpermittedseeISO/IECDirectives,Part2,clause5.2.4.
NOTE2
Attentionisdrawntotheneedtocheckcrossreferencing.
4. AddorinsertdisciplinespecifictextwithinAppendix2tothisAnnexSL.Examplesofadditionsinclude:
a)newbulletpoints
b)disciplinespecificexplanatorytext(e.g.NotesorExamples),inordertoclarifyrequirements
c)disciplinespecificnewparagraphstosubclauses(etc.)withintheidenticaltext
d)addingtextthatenhancestheexistingrequirementsinAppendix2tothisAnnexSL
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5. Avoidrepeatingrequirementsbetweenidenticalcoretextanddisciplinespecifictextbyaddingtexttotheidenticalcoretexttakingaccountofpoint4.2above.
6. Distinguishbetweendisciplinespecifictextandidenticalcoretextfromthestartofthedraftingprocess.Thisaidsidentificationofthedifferenttypesoftextduringthe
developmentandballotingstages.
NOTE1
Distinguishingoptionsincludebycolour,font,fontsize,italics,orbybeingboxedseparatelyetc.
NOTE2
Identificationofdistinguishingtextisnotnecessarilycarriedintothepublishedversion.
7. Understandingoftheconceptofriskmaybemorespecificthanthatgiveninthedefinitionunder3.09ofAppendix2tothisAnnexSL.Inthiscaseadisciplinespecific
definitionmaybeneeded.Thedisciplinespecifictermsanddefinitionsaredifferentiatedfromthecoredefinition,e.g.(XXX)risk.
NOTE
Theabovecanalsoapplytoanumberofotherdefinitions.
8. Commontermsandcoredefinitionswillbeintegratedintothelistingoftermsanddefinitionsinthedisciplinespecificmanagementsystemstandardconsistentwiththe
conceptsystemofthatstandard.
SL.9.5
Implementation
Followthesequence,highlevelstructure,identicalcoretext,commontermsandcoredefinitionsforanynewmanagementsystemstandardandforanyrevisionstoexisting
managementsystemstandard.
SL.9.6
Guidance
FindsupportingguidanceinAppendix3tothisAnnexSL.
Appendix1
(normative)
Justificationcriteriaquestions
1 General
ThelistofquestionstobeaddressedinthejustificationstudyareinlinewiththeprincipleslistedinSL.6.Thislistisnotexhaustive.Additionalinformationnotcoveredbythe
questionsshouldbeprovidedifitisrelevanttothecase.
EachgeneralprincipleshouldbegivendueconsiderationandideallywhenpreparingtheJS,theproposershouldprovideageneralrationaleforeachprinciple,priorto
answeringthequestionsassociatedwiththeprinciple.
TheprinciplestheproposeroftheMSSshouldpaydueattentiontowhenpreparingthejustificationstudyare:
1.Marketrelevance
2.Compatibility
3.Topiccoverage
4.Flexibility
5.Freetrade
6.Applicabilityofconformityassessment
7.Exclusions
NOTE
Noquestionsdirectlyrefertotheprinciple8easeofuse,butitshouldguidethedevelopmentofthedeliverable.
BasicinformationontheMSSproposal
1 WhatistheproposedpurposeandscopeoftheMSS?Isthedocumentsupposedtobeaguidancedocumentoradocumentwithrequirements?
2 Doestheproposedpurposeorscopeincludeproduct(includingservice)specifications,producttestmethods,productperformancelevels,orotherformsofguidanceor
requirementsdirectlyrelatedtoproductsproducedorprovidedbytheimplementingorganization?
3 IsthereoneormoreexistingISOcommitteeornonISOorganizationthatcouldlogicallyhaveresponsibilityfortheproposedMSS?Ifso,identify.
4 Haverelevantreferencematerialsbeenidentified,suchasexistingguidelinesorestablishedpractices?
5 Aretheretechnicalexpertsavailabletosupportthestandardizationwork?Arethetechnicalexpertsdirectrepresentativesoftheaffectedpartiesfromthedifferent
geographicalregions?
6 Whateffortsareanticipatedasbeingnecessarytodevelopthedocumentintermsofexpertsneededandnumber/durationofmeetings?
7 IstheMSSintendedtobeaguidancedocument,contractualspecificationorregulatoryspecificationforanorganization?
Principle1:marketrelevance
8 Havealltheaffectedpartiesbeenidentified?Forexample:
a)organizations(ofvarioustypesandsizes):thedecisionmakerswithinanorganizationwhoapproveworktoimplementandachieveconformancetotheMSS;
b)customers/endusers,i.e.individualsorpartiesthatpayfororuseaproduct(includingservice)fromanorganization;
c)supplierorganizations,e.g.producer,distributor,retailerorvendorofaproduct,oraproviderofaserviceorinformation;
d)MSSserviceprovider,e.g.MSScertificationbodies,accreditationbodiesorconsultants;
e)regulatorybodies;
f)nongovernmentalorganizations.
9 WhatistheneedforthisMSS?Doestheneedexistatalocal,national,regionalorgloballevel?Doestheneedapplytodevelopingcountries?Doesitapplytodeveloped
countries?WhatistheaddedvalueofhavinganISOdocument(e.g.facilitatingcommunicationbetweenorganizationsindifferentcountries)?
10 Doestheneedexistforanumberofsectorsandisthusgeneric?Ifso,whichones?Doestheneedexistforsmall,mediumorlargeorganizations?
11 Istheneedimportant?Willtheneedcontinue?Ifyes,willthetargetdateofcompletionfortheproposedMSSsatisfythisneed?Areviablealternativesidentified?
12 Describehowtheneedandimportanceweredetermined.Listtheaffectedpartiesconsultedandthemajorgeographicaloreconomicalregionsinwhichtheyare
located.
13 IsthereknownorexpectedsupportfortheproposedMSS?Listthosebodiesthathaveindicatedsupport.IsthereknownorexpectedoppositiontotheproposedMSS?
Listthosebodiesthathaveindicatedopposition.
14 Whataretheexpectedbenefitsandcoststoorganizations,differentiatedforsmall,mediumandlargeorganizationsifapplicable?
Describehowthebenefitsandthecostsweredetermined.Provideavailableinformationongeographicoreconomicfocus,industrysectorandsizeoftheorganization.
Provideinformationonthesourcesconsultedandtheirbasis(e.g.provenpractices),premises,assumptionsandconditions(e.g.speculativeortheoretical),andother
pertinentinformation.
15 Whataretheexpectedbenefitsandcoststootheraffectedparties(includingdevelopingcountries)?
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15 Whataretheexpectedbenefitsandcoststootheraffectedparties(includingdevelopingcountries)?
Describehowthebenefitsandthecostsweredetermined.Provideanyinformationregardingtheaffectedpartiesindicated.
16 Whatwillbetheexpectedvaluetosociety?
17 Haveanyotherrisksbeenidentified(e.g.timelinessorunintendedconsequencestoaspecificbusiness)?
Principle2:compatibility
18 Istherepotentialoverlaporconflictwith(orwhatistheaddedvalueinrelationto)otherexistingorplannedISOornonISOinternationalstandards,orthoseatthe
nationalorregionallevel?Arethereotherpublicorprivateactions,guidance,requirementsandregulationsthatseektoaddresstheidentifiedneed,suchastechnical
papers,provenpractices,academicorprofessionalstudies,oranyotherbodyofknowledge?
19 IstheMSSortherelatedconformityassessmentactivities(e.g.audits,certifications)likelytoaddto,replaceallorpartsof,harmonizeandsimplify,duplicateorrepeat,
conflictwith,ordetractfromtheexistingactivitiesidentifiedabove?Whatstepsarebeingconsideredtoensurecompatibility,resolveconflictoravoidduplication?
20 IstheproposedMSSlikelytopromoteorstemproliferationofMSSatthenationalorregionallevel,orbyindustrysectors?
Principle3:topiccoverage
21 IstheMSSforasinglespecificsector?
22 WilltheMSSreferenceorincorporateanexisting,nonindustryspecificISOMSS(e.g.fromtheISO9000seriesofqualitymanagementstandards)?Ifyes,willthe
developmentoftheMSSconformtotheISO/IECSectorPolicy(see6.8.2ofISO/IECDirectives,Part2),andanyotherrelevantpolicyandguidanceprocedures(e.g.those
thatmaybemadeavailablebyarelevantISOcommittee)?
23 WhatstepshavebeentakentoremoveorminimizetheneedforparticularsectorspecificdeviationsfromagenericMSS?
Principle4:flexibility
24 WilltheMSSallowanorganizationcompetitivelytoaddto,differentiateorencourageinnovationofitsmanagementsystembeyondthestandard?
Principle5:freetrade
25 HowwouldtheMSSfacilitateorimpactglobaltrade?CouldtheMSScreateorpreventatechnicalbarriertotrade?
26 CouldtheMSScreateorpreventatechnicalbarriertotradeforsmall,mediumorlargeorganizations?
27 CouldtheMSScreateorpreventatechnicalbarriertotradefordevelopingordevelopedcountries?
28 IftheproposedMSSisintendedtobeusedingovernmentregulations,isitlikelytoaddto,duplicate,replace,enhanceorsupportexistinggovernmentalregulations?
Principle6:applicabilityofconformity
29 Iftheintendeduseisforcontractualorregulatorypurposes,whatarethepotentialmethodstodemonstrateconformance(e.g.firstparty,secondpartyorthirdparty)?
DoestheMSSenableorganizationstobeflexibleinchoosingthemethodofdemonstratingconformance,andtoaccommodateforchangesinitsoperations,
management,physicallocationsandequipment?
30 Ifthirdpartyregistration/certificationisapotentialoption,whataretheanticipatedbenefitsandcoststotheorganization?WilltheMSSfacilitatejointauditswith
otherMSSorpromoteparallelassessments?
Principle7:exclusions
31 Doestheproposedpurposeorscopeincludeproduct(includingservice)specifications,producttestmethods,productperformancelevels,orotherformsofguidanceor
requirementsdirectlyrelatedtoproductsproducedorprovidedbytheimplementingorganization?
Appendix2
(normative)
Highlevelstructure,identicalcoretext,commontermsandcoredefinitions
NOTEIntheIdenticaltextproposals,XXX=anMSSdisciplinespecificqualifier(e.g.energy,roadtrafficsafety,ITsecurity,foodsafety,societalsecurity,environment,
quality)thatneedstobeinserted.Blueitalicizedtextisgivenasadvisorynotestostandardsdrafters.
Introduction
DRAFTINGINSTRUCTIONSpecifictothediscipline.
1. Scope
DRAFTINGINSTRUCTIONSpecifictothediscipline.
2. Normativereferences
DRAFTINGINSTRUCTIONClauseTitleshallbeused.Specifictothediscipline.
3. Termsanddefinitions
DRAFTINGINSTRUCTION1ClauseTitleshallbeused.Termsanddefinitionsmayeitherbewithinthestandardorinaseparatedocument.ToreferenceCommontermsandCore
definitions+disciplinespecificones.Thearrangementoftermsanddefinitionsshallbeaccordingtotheconceptsystemsofeachstandard.
Forthepurposesofthisdocument,thefollowingtermsanddefinitionsapply.
DRAFTINGINSTRUCTION2Thefollowingtermsanddefinitionsconstituteanintegralpartofthecommontextformanagementsystemsstandards.Additionaltermsand
definitionsmaybeaddedasneeded.Notesmaybeaddedormodifiedtoservethepurposeofeachstandard.
DRAFTINGINSTRUCTION3Italicstypeinadefinitionindicatesacrossreferencetoanothertermdefinedinthisclause,andthenumberreferenceforthetermisgivenin
parentheses.
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parentheses.
DRAFTINGINSTRUCTION4WherethetextXXXappearsthroughoutthisclause,theappropriatereferenceshouldbeinserteddependingonthecontextinwhichtheseterms
anddefinitionsarebeingapplied.Forexample:anXXXobjectivecouldbesubstitutedasaninformationsecurityobjective.
3.01
organization
personorgroupofpeoplethathasitsownfunctionswithresponsibilities,authoritiesandrelationshipstoachieveitsobjectives(3.08)
Note1toentry:
Theconceptoforganizationincludes,butisnotlimitedtosoletrader,company,corporation,firm,enterprise,authority,partnership,charityorinstitution,orpartor
combinationthereof,whetherincorporatedornot,publicorprivate.
3.02
interestedparty(preferredterm)
stakeholder(admittedterm)
personororganization(3.01)thatcanaffect,beaffectedby,orperceiveitselftobeaffectedbyadecisionoractivity
3.03
requirement
needorexpectationthatisstated,generallyimpliedorobligatory
Note1toentry:
Generallyimpliedmeansthatitiscustomorcommonpracticefortheorganizationandinterestedpartiesthattheneedorexpectationunderconsiderationisimplied.
Note2toentry:
Aspecifiedrequirementisonethatisstated,forexampleindocumentedinformation.
3.04
managementsystem
setofinterrelatedorinteractingelementsofanorganization(3.01)toestablishpolicies(3.07)andobjectives(3.08)andprocesses(3.12)toachievethoseobjectives
Note1toentry:
Amanagementsystemcanaddressasingledisciplineorseveraldisciplines.
Note2toentry:
Thesystemelementsincludetheorganization'sstructure,rolesandresponsibilities,planningandoperation.
Note3toentry:
Thescopeofamanagementsystemmayincludethewholeoftheorganization,specificandidentifiedfunctionsoftheorganization,specificandidentifiedsectionsofthe
organization,oroneormorefunctionsacrossagroupoforganizations.
3.05
topmanagement
personorgroupofpeoplewhodirectsandcontrolsanorganization(3.01)atthehighestlevel
Note1toentry:
Topmanagementhasthepowertodelegateauthorityandprovideresourceswithintheorganization.
Note2toentry:
Ifthescopeofthemanagementsystem(3.04)coversonlypartofanorganization,thentopmanagementreferstothosewhodirectandcontrolthatpartoftheorganization.
3.06
effectiveness
extenttowhichplannedactivitiesarerealizedandplannedresultsachieved
3.07
policy
intentionsanddirectionofanorganization(3.01),asformallyexpressedbyitstopmanagement(3.05)
3.08
objective
resulttobeachieved
Note1toentry:
Anobjectivecanbestrategic,tactical,oroperational.
Note2toentry:
Objectivescanrelatetodifferentdisciplines(suchasfinancial,healthandsafety,andenvironmentalgoals)andcanapplyatdifferentlevels(suchasstrategic,organization
wide,project,productandprocess(3.12)).
Note3toentry:
Anobjectivecanbeexpressedinotherways,e.g.asanintendedoutcome,apurpose,anoperationalcriterion,asanXXXobjective,orbytheuseofotherwordswithsimilar
meaning(e.g.aim,goal,ortarget).
Note4toentry:
InthecontextofXXXmanagementsystems,XXXobjectivesaresetbytheorganization,consistentwiththeXXXpolicy,toachievespecificresults.
3.09
risk
effectofuncertainty
Note1toentry:
Aneffectisadeviationfromtheexpectedpositiveornegative.
Note2toentry:
Uncertaintyisthestate,evenpartial,ofdeficiencyofinformationrelatedto,understandingorknowledgeof,anevent,itsconsequence,orlikelihood.
Note3toentry:
Riskisoftencharacterizedbyreferencetopotentialevents(asdefinedinISOGuide73:2009,3.5.1.3)andconsequences(asdefinedinISOGuide73:2009,3.6.1.3),ora
combinationofthese.
Note4toentry:
Riskisoftenexpressedintermsofacombinationoftheconsequencesofanevent(includingchangesincircumstances)andtheassociatedlikelihood(asdefinedin
ISOGuide73:2009,3.6.1.1)ofoccurrence.
3.10
competence
abilitytoapplyknowledgeandskillstoachieveintendedresults
3.11
documentedinformation
informationrequiredtobecontrolledandmaintainedbyanorganization(3.01)andthemediumonwhichitiscontained
Note1toentry:
Documentedinformationcanbeinanyformatandmedia,andfromanysource.
Note2toentry:
Documentedinformationcanreferto:
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themanagementsystem(3.04),includingrelatedprocesses(3.12);
informationcreatedinorderfortheorganizationtooperate(documentation);
evidenceofresultsachieved(records).
3.12
process
setofinterrelatedorinteractingactivitieswhichtransformsinputsintooutputs
3.13
performance
measurableresult
Note1toentry:
Performancecanrelateeithertoquantitativeorqualitativefindings.
Note2toentry:
Performancecanrelatetothemanagementofactivities,processes(3.12),products(includingservices),systemsororganizations(3.01).
3.14
outsource(verb)
makeanarrangementwhereanexternalorganization(3.01)performspartofanorganization'sfunctionorprocess(3.12)
Note1toentry:
Anexternalorganizationisoutsidethescopeofthemanagementsystem(3.04),althoughtheoutsourcedfunctionorprocessiswithinthescope.
3.15
monitoring
determiningthestatusofasystem,aprocess(3.12)oranactivity
Note1toentry:
Todeterminethestatus,theremaybeaneedtocheck,superviseorcriticallyobserve.
3.16
measurement
process(3.12)todetermineavalue
3.17
audit
systematic,independentanddocumentedprocess(3.12)forobtainingauditevidenceandevaluatingitobjectivelytodeterminetheextenttowhichtheauditcriteriaare
fulfilled
Note1toentry:
Anauditcanbeaninternalaudit(firstparty)oranexternalaudit(secondpartyorthirdparty),anditcanbeacombinedaudit(combiningtwoormoredisciplines).
Note2toentry:
Aninternalauditisconductedbytheorganizationitself,orbyanexternalpartyonitsbehalf.
Note3toentry:
AuditevidenceandauditcriteriaaredefinedinISO19011.
3.18
conformity
fulfilmentofarequirement(3.03)
3.19
nonconformity
nonfulfilmentofarequirement(3.03)
3.20
correctiveaction
actiontoeliminatethecauseofanonconformity(3.19)andtopreventrecurrence
3.21
continualimprovement
recurringactivitytoenhanceperformance(3.13)
4. Contextoftheorganization
4.1 Understandingtheorganizationanditscontext
Theorganizationshalldetermineexternalandinternalissuesthatarerelevanttoitspurposeandthataffectitsabilitytoachievetheintendedoutcome(s)ofitsXXX
managementsystem.
4.2 Understandingtheneedsandexpectationsofinterestedparties
Theorganizationshalldetermine:
theinterestedpartiesthatarerelevanttotheXXXmanagementsystem;
therelevantrequirementsoftheseinterestedparties.
4.3 DeterminingthescopeoftheXXXmanagementsystem
TheorganizationshalldeterminetheboundariesandapplicabilityoftheXXXmanagementsystemtoestablishitsscope.
Whendeterminingthisscope,theorganizationshallconsider:
theexternalandinternalissuesreferredtoin4.1;
therequirementsreferredtoin4.2.
Thescopeshallbeavailableasdocumentedinformation.
4.4 XXXmanagementsystem
Theorganizationshallestablish,implement,maintainandcontinuallyimproveanXXXmanagementsystem,includingtheprocessesneededandtheirinteractions,in
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Theorganizationshallestablish,implement,maintainandcontinuallyimproveanXXXmanagementsystem,includingtheprocessesneededandtheirinteractions,in
accordancewiththerequirementsofthisInternationalStandard/thispartofISOXXXX/thisTechnicalSpecification.
5. Leadership
5.1 Leadershipandcommitment
TopmanagementshalldemonstrateleadershipandcommitmentwithrespecttotheXXXmanagementsystemby:
ensuringthattheXXXpolicyandXXXobjectivesareestablishedandarecompatiblewiththestrategicdirectionoftheorganization;
ensuringtheintegrationoftheXXXmanagementsystemrequirementsintotheorganization'sbusinessprocesses;
ensuringthattheresourcesneededfortheXXXmanagementsystemareavailable;
communicatingtheimportanceofeffectiveXXXmanagementandofconformingtotheXXXmanagementsystemrequirements;
ensuringthattheXXXmanagementsystemachievesitsintendedoutcome(s);
directingandsupportingpersonstocontributetotheeffectivenessoftheXXXmanagementsystem;
promotingcontinualimprovement;
supportingotherrelevantmanagementrolestodemonstratetheirleadershipasitappliestotheirareasofresponsibility.
NOTE
ReferencetobusinessinthisInternationalStandard/thispartofISOXXXX/thisTechnicalSpecificationcanbeinterpretedbroadlytomeanthoseactivitiesthatarecoretothe
purposesoftheorganization'sexistence.
5.2 Policy
TopmanagementshallestablishaXXXpolicythat:
a) isappropriatetothepurposeoftheorganization;
b) providesaframeworkforsettingXXXobjectives;
c) includesacommitmenttosatisfyapplicablerequirements;
d) includesacommitmenttocontinualimprovementoftheXXXmanagementsystem.
TheXXXpolicyshall:
beavailableasdocumentedinformation;
becommunicatedwithintheorganization;
beavailabletointerestedparties,asappropriate.
5.3 Organizationalroles,responsibilitiesandauthorities
Topmanagementshallensurethattheresponsibilitiesandauthoritiesforrelevantrolesareassignedandcommunicatedwithintheorganization.
Topmanagementshallassigntheresponsibilityandauthorityfor:
a) ensuringthattheXXXmanagementsystemconformstotherequirementsofthisInternationalStandard/thispartofISOXXXX/thisTechnicalSpecification;
b) reportingontheperformanceoftheXXXmanagementsystemtotopmanagement.
6. Planning
6.1 Actionstoaddressrisksandopportunities
WhenplanningfortheXXXmanagementsystem,theorganizationshallconsidertheissuesreferredtoin4.1andtherequirementsreferredtoin4.2anddeterminetherisks
andopportunitiesthatneedtobeaddressedto:
giveassurancethattheXXXmanagementsystemcanachieveitsintendedoutcome(s);
prevent,orreduce,undesiredeffects;
achievecontinualimprovement.
Theorganizationshallplan:
a) actionstoaddresstheserisksandopportunities;
b) howto:
integrateandimplementtheactionsintoitsXXXmanagementsystemprocesses;
evaluatetheeffectivenessoftheseactions.
6.2 XXXobjectivesandplanningtoachievethem
TheorganizationshallestablishXXXobjectivesatrelevantfunctionsandlevels.
TheXXXobjectivesshall:
a) beconsistentwiththeXXXpolicy;
b) bemeasurable(ifpracticable);
c) takeintoaccountapplicablerequirements;
d) bemonitored;
e) becommunicated;
f) beupdatedasappropriate.
TheorganizationshallretaindocumentedinformationontheXXXobjectives.
WhenplanninghowtoachieveitsXXXobjectives,theorganizationshalldetermine:
whatwillbedone;
whatresourceswillberequired;
whowillberesponsible;
whenitwillbecompleted;
howtheresultswillbeevaluated.
7. Support
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7. Support
7.1 Resources
Theorganizationshalldetermineandprovidetheresourcesneededfortheestablishment,implementation,maintenanceandcontinualimprovementoftheXXXmanagement
system.
7.2 Competence
Theorganizationshall:
determinethenecessarycompetenceofperson(s)doingworkunderitscontrolthataffectsitsXXXperformance;
ensurethatthesepersonsarecompetentonthebasisofappropriateeducation,training,orexperience;
whereapplicable,takeactionstoacquirethenecessarycompetence,andevaluatetheeffectivenessoftheactionstaken;
retainappropriatedocumentedinformationasevidenceofcompetence.
NOTE
Applicableactionscaninclude,forexample,theprovisionoftrainingto,thementoringof,orthereassignmentofcurrentlyemployedpersons;orthehiringorcontractingof
competentpersons.
7.3 Awareness
Personsdoingworkundertheorganization'scontrolshallbeawareof:
theXXXpolicy;
theircontributiontotheeffectivenessoftheXXXmanagementsystem,includingthebenefitsofimprovedXXXperformance;
theimplicationsofnotconformingwiththeXXXmanagementsystemrequirements.
7.4 Communication
TheorganizationshalldeterminetheinternalandexternalcommunicationsrelevanttotheXXXmanagementsystem,including:
onwhatitwillcommunicate;
whentocommunicate;
withwhomtocommunicate;
howtocommunicate.
7.5 Documentedinformation
7.5.1 General
Theorganization'sXXXmanagementsystemshallinclude:
a) documentedinformationrequiredbythisInternationalStandard/thispartofISOXXXX/thisTechnicalSpecification;
b) documentedinformationdeterminedbytheorganizationasbeingnecessaryfortheeffectivenessoftheXXXmanagementsystem.
NOTE
TheextentofdocumentedinformationforaXXXmanagementsystemcandifferfromoneorganizationtoanotherdueto:
thesizeoforganizationanditstypeofactivities,processes,productsandservices;
thecomplexityofprocessesandtheirinteractions;
thecompetenceofpersons.
7.5.2 Creatingandupdating
Whencreatingandupdatingdocumentedinformationtheorganizationshallensureappropriate:
identificationanddescription(e.g.atitle,date,author,orreferencenumber);
format(e.g.language,softwareversion,graphics)andmedia(e.g.paper,electronic);
reviewandapprovalforsuitabilityandadequacy.
7.5.3 Controlofdocumentedinformation
DocumentedinformationrequiredbytheXXXmanagementsystemandbythisInternationalStandard/thispartofISOXXXX/thisTechnicalSpecificationshallbecontrolled
toensure:
a) itisavailableandsuitableforuse,whereandwhenitisneeded;
b) itisadequatelyprotected(e.g.fromlossofconfidentiality,improperuse,orlossofintegrity).
Forthecontrolofdocumentedinformation,theorganizationshalladdressthefollowingactivities,asapplicable:
distribution,access,retrievalanduse;
storageandpreservation,includingpreservationoflegibility;
controlofchanges(e.g.versioncontrol);
retentionanddisposition.
DocumentedinformationofexternalorigindeterminedbytheorganizationtobenecessaryfortheplanningandoperationoftheXXXmanagementsystemshallbeidentified,
asappropriate,andcontrolled.
NOTE
Accesscanimplyadecisionregardingthepermissiontoviewthedocumentedinformationonly,orthepermissionandauthoritytoviewandchangethedocumentedinformation.
8. Operation
8.1 Operationalplanningandcontrol
DRAFTINGINSTRUCTIONThissubclauseheadingwillbedeletedifnoadditionalsubclausesareaddedtoClause8.
Theorganizationshallplan,implementandcontroltheprocessesneededtomeetrequirements,andtoimplementtheactionsdeterminedin6.1,by:
establishingcriteriafortheprocesses;
implementingcontroloftheprocessesinaccordancewiththecriteria;
keepingdocumentedinformationtotheextentnecessarytohaveconfidencethattheprocesseshavebeencarriedoutasplanned.
Theorganizationshallcontrolplannedchangesandreviewtheconsequencesofunintendedchanges,takingactiontomitigateanyadverseeffects,asnecessary.
Theorganizationshallensurethatoutsourcedprocessesarecontrolled.
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Theorganizationshallensurethatoutsourcedprocessesarecontrolled.
9. Performanceevaluation
9.1 Monitoring,measurement,analysisandevaluation
Theorganizationshalldetermine:
whatneedstobemonitoredandmeasured;
themethodsformonitoring,measurement,analysisandevaluation,asapplicable,toensurevalidresults;
whenthemonitoringandmeasuringshallbeperformed;
whentheresultsfrommonitoringandmeasurementshallbeanalysedandevaluated.
Theorganizationshallretainappropriatedocumentedinformationasevidenceoftheresults.
TheorganizationshallevaluatetheXXXperformanceandtheeffectivenessoftheXXXmanagementsystem.
9.2 Internalaudit
9.2.1 TheorganizationshallconductinternalauditsatplannedintervalstoprovideinformationonwhethertheXXXmanagementsystem:
a) conformsto:
theorganization'sownrequirementsforitsXXXmanagementsystem;
therequirementsofthisInternationalStandard/thispartofISOXXXX/thisTechnicalSpecification;
b) iseffectivelyimplementedandmaintained.
9.2.2 Theorganizationshall:
a) plan,establish,implementandmaintainanauditprogramme(s)includingthefrequency,methods,responsibilities,planningrequirementsandreporting,whichshalltake
intoconsiderationtheimportanceoftheprocessesconcernedandtheresultsofpreviousaudits;
b) definetheauditcriteriaandscopeforeachaudit;
c) selectauditorsandconductauditstoensureobjectivityandtheimpartialityoftheauditprocess;
d) ensurethattheresultsoftheauditsarereportedtorelevantmanagement;
e) retaindocumentedinformationasevidenceoftheimplementationoftheauditprogrammeandtheauditresults.
9.3 Managementreview
Topmanagementshallreviewtheorganization'sXXXmanagementsystem,atplannedintervals,toensureitscontinuingsuitability,adequacyandeffectiveness.
Themanagementreviewshallincludeconsiderationof:
a) thestatusofactionsfrompreviousmanagementreviews;
b) changesinexternalandinternalissuesthatarerelevanttotheXXXmanagementsystem;
c) informationontheXXXperformance,includingtrendsin:
nonconformitiesandcorrectiveactions;
monitoringandmeasurementresults;
auditresults;
d) opportunitiesforcontinualimprovement.
TheoutputsofthemanagementreviewshallincludedecisionsrelatedtocontinualimprovementopportunitiesandanyneedforchangestotheXXXmanagementsystem.
Theorganizationshallretaindocumentedinformationasevidenceoftheresultsofmanagementreviews.
10. Improvement
10.1 Nonconformityandcorrectiveaction
Whenanonconformityoccurs,theorganizationshall:
a) reacttothenonconformityand,asapplicable:
takeactiontocontrolandcorrectit;
dealwiththeconsequences;
b) evaluatetheneedforactiontoeliminatethecausesofthenonconformity,inorderthatitdoesnotrecuroroccurelsewhere,by:
reviewingthenonconformity;
determiningthecausesofthenonconformity;
determiningifsimilarnonconformitiesexist,orcouldpotentiallyoccur;
c) implementanyactionneeded;
d) reviewtheeffectivenessofanycorrectiveactiontaken;
e) makechangestotheXXXmanagementsystem,ifnecessary.
Correctiveactionsshallbeappropriatetotheeffectsofthenonconformitiesencountered.
Theorganizationshallretaindocumentedinformationasevidenceof:
thenatureofthenonconformitiesandanysubsequentactionstaken;
theresultsofanycorrectiveaction.
10.2 Continualimprovement
Theorganizationshallcontinuallyimprovethesuitability,adequacyandeffectivenessoftheXXXmanagementsystem.
Appendix3
(informative)
Guidanceonhighlevelstructure,identicalcoretext,commontermsandcoredefinitions
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Guidanceonthehighlevelstructure,identicalcoretext,commontermsandcoredefinitionsisprovidedatthefollowingURL:
AnnexSLGuidancedocuments(http://isotc.iso.org/livelink/livelink?func=ll&objId=16347818&objAction=browse&viewType=1).
AnnexSM(normative)GlobalrelevanceofISOtechnicalworkandpublications
SM.1 Introduction
TheformationoftheWTOandthesubsequentadoptionoftheWTOTechnicalBarrierstoTradeAgreement(WTO/TBT),placedanobligationonISOtoensurethatthe
InternationalStandardsitdevelops,adoptsandpublishesaregloballyrelevant.InAnnex4,paragraph10oftheSecondTriennialReviewoftheAgreement,thefollowing
criteriastatethatagloballyrelevantstandardshould:
Effectivelyrespondtoregulatoryandmarketneeds(intheglobalmarketplace)
Respondtoscientificandtechnicaldevelopmentsinvariouscountries
Notdistortthemarket
Havenoadverseeffectsonfaircompetition
Notstifleinnovationandtechnologicaldevelopment
Notgivepreferencetocharacteristicsorrequirementsofspecificcountriesorregionswhendifferentneedsorinterestsexistinothercountriesorregions
Beperformancebasedasopposedtodesignprescriptive
HencethedevelopmentandadoptionofanInternationalStandardthatfailstomeettheserequirementsisopentobeingchallengedascreatingabarriertofreetrade.
Notingtheneedtoprovidefulleradvicetocommitteesonglobalrelevance,andfollowingarequestfromtheISOCouncil,theISO/TMBestablishedaGlobalRelevanceTask
Force.Thistaskforceand,subsequently,theISO/TMBhaveagreedonthesetofprinciplesthatfollows.
SM.2 Termsanddefinitions
Standard
Document,establishedbyconsensusandapprovedbyarecognizedbody,thatprovides,forcommonandrepeateduse,rules,guidelinesorcharacteristicsforactivitiesor
theirresults,aimedattheachievementoftheoptimumdegreeoforderinagivencontext.
NOTE
Standardsshouldbebasedontheconsolidatedresultsofscience,technologyandexperience,andaimedatthepromotionofoptimumcommunitybenefits.
(ISO/IECGuide2,ISO/IECDirectives,Part2)
internationalstandard
Standardthatisadoptedbyaninternationalstandardizing/standardsorganizationandmadeavailabletothepublic.
(ISO/IECGuide2,ISO/IECDirectives,Part2)
InternationalStandard
InternationalstandardwheretheinternationalstandardsorganizationisISOorIEC.
(ISO/IECDirectives,Part2)
Globalrelevance
RequiredcharacteristicofanInternationalStandardthatitcanbeused/implementedasbroadlyaspossiblebyaffectedindustriesandotherstakeholdersinmarketsaround
theworld.
SM.3 Principles
SM.3.1ThestatusandmeaningofanInternationalStandardshallberespected.
AnyInternationalStandardshallrespecttheabovedefinitionsandshalltotheextentpossiblerepresentauniqueinternationalsolution.Incaseswhereuniqueinternational
solutionsarenotpossibleforspecificprovisionsofanInternationalStandardatthecurrenttimeduetolegitimatemarketandessentialdifferences,InternationalStandards
maypresentoptionstoaccommodatethesedifferenceswherejustified.
SM.3.2ThecommitmenttoparticipateinthedevelopmentofandthefeasibilityofpreparingInternationalStandardsshallbedemonstratedattheoutsetofa
standardsdevelopmentproject.
Itisrecognizedthatinsomeinstancesvarioussolutionsexisttomeetuniqueaspectsofthelocalmarketsindifferentregionsandcountries.Withglobalizationandthe
unificationofmarkets,thesemarketdifferencesshouldbeminimizedovertimeandevolveintooneglobalmarket.Simplyprojectingonesolutionthataccommodatesone
market(butnotothers)astheInternationalStandardwillnotforcemarketstoevolveandcoalesce.Insuchcases,themarketsandtheirrelatedindustrieswilllookelsewhere
forstandardsthatbetteraccommodatetheirneeds,andISOwillloseitsrelevanceforthosemarketsandindustries.Ratherthanforcesuchasituation,ISOcommitteesshould
ascertainattheoutsetofaprojectwhether:
agloballyrelevantInternationalStandardpresentingoneuniqueinternationalsolutioninallofitsprovisionsisfeasible;
anInternationalStandardisfeasiblethatpresentsoptionsinspecificprovisionstoaccommodateexistingandlegitimatemarketdifferenceswherejustified;or
thepreparationofagloballyrelevantInternationalStandardisnotfeasibleandworkshouldnotbeundertakeninsuchcircumstances.
Additionalpracticalguidanceforcommitteeleadersanddelegates/expertsmaybefoundintheISO/TMB'sGlobalRelevanceImplementationGuidancedocument.
SM.3.3Preferenceshallbegiventopreparingperformanceratherthanprescriptivestandards.
Pleasenotethefollowing:Annex3oftheWTO/TBTAgreement.
Whereverappropriate,thestandardizingbodyshallspecifystandardsbasedonproductrequirementsintermsofperformanceratherthandesignordescriptive
characteristics.
ISO/IECDirectives,Part2,clause4.2Performanceapproach(Excerpt)Wheneverpossible,requirementsshallbeexpressedintermsofperformanceratherthandesignor
descriptivecharacteristics.Thisapproachleavesmaximumfreedomtotechnicaldevelopment.Primarilythosecharacteristicsshallbeincludedthataresuitablefor
worldwide(universal)acceptance.Wherenecessary,owingtodifferencesinlegislation,climate,environment,economies,socialconditions,tradepatterns,etc.,several
opinionsmaybeindicated.
Giventhesequotations,theuseoftheperformancebasedapproachiswidelyrecognizedassupportingthedevelopmentofgloballyrelevantISOstandards.Inthecaseof
designbasedstandards,thefreedomforfurthertechnicalinnovationismostlimited,whileperformancebasedstandardsprovideformaximumfreedomforfurther
innovation.However,inpractice,theremaybecaseswhereinclusionofdesignrequirementsforsomeprovisionswithinaperformancebasedstandardisappropriate.There
mayalsobeothercaseswheredevelopmentofacompletelydesignbasedstandardmaybeappropriateandwillresultinagloballyrelevantISOstandard.
Thus,whichapproachismostappropriatedependsonthetechnicalmatterinquestion.
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Thus,whichapproachismostappropriatedependsonthetechnicalmatterinquestion.
Additionalpracticalguidanceforcommitteeleadersanddelegates/expertsmaybefoundintheISO/TMB'sGlobalRelevanceImplementationGuidancedocument.
SM.3.4Givenexistingandlegitimatemarketdifferences,anInternationalStandardmaypassthroughanevolutionaryprocess,withtheultimateobjectivebeing
topublish,atalaterpoint,anInternationalStandardthatpresentsoneuniqueinternationalsolutioninallofitsprovisions.
Underthisprinciple,acommitteemaywishtoconsiderhowitaddressescurrentandpotentiallychangeabledifferencesinmarkets(basedonfactorssuchaslegislation,
economies,socialconditions,tradepatterns,marketneeds,scientifictheories,designphilosophies,etc.)intheISOdeliverablesitproduces.
Additionalpracticalguidanceforcommitteeleadersanddelegates/expertsmaybefoundintheISO/TMB'sGlobalRelevanceImplementationGuidancedocument.
SM.3.5EssentialdifferencesconsistentwithAnnex3totheWTOAgreementonTechnicalBarrierstoTradecanbeincludedinInternationalStandards,but
specificrulesshallbeappliedifacommitteewishestointroducesuchdifferencesandspecialauthorizationneedstobegivenbytheISO/TMBininstancesnot
coveredbytheserules.
Underthisprinciple,acommitteemaywishtoconsiderhowitaddressesessentialdifferencesinmarketsaroundtheworld,thatis,factorsthatarenotexpectedtochange
overtime,suchasimbeddedtechnologicalinfrastructures,climatic,geographicaloranthropologicaldifferences.
Additionalpracticalguidanceforcommitteeleadersanddelegates/expertsmaybefoundintheISO/TMB'sGlobalRelevanceImplementationGuidancedocument.
SM.3.6CommitteescanonlyensuretheglobalrelevanceoftheInternationalStandardstheyproduceiftheyareawareofallthefactorsthatmayaffecta
particularstandard'sglobalrelevance.
Additionalpracticalguidanceforcommitteeleadersanddelegates/expertsmaybefoundintheISO/TMB'sGlobalRelevanceImplementationGuidancedocument.
AnnexSN(CurrentlyblankPlaceholderfornewannexes)
AnnexSO(informative)PrinciplesfordevelopingISOandIECStandardsrelatedtoorsupportingpublicpolicy
initiatives
SO.1 BackgroundContext
The2007ISOGeneralAssemblyOpenSessiononInternationalStandardsandPublicPolicyaddressedimportantdynamicsconfrontingtheISOcommunitytherelationship
betweenISOstandardsandpublicpolicyaswellastheuniqueneedsandconcernsofonemajorclassofISOstandardsusers,namely,governments.ISO'ssisterorganization
IEC,responsibleforelectrotechnicalstandardization,applaudstheinitiativeandwishestocooperatewithISOtodevelopcommonISO/IECprinciplesandguidanceto
technicalcommitteesofbothorganizations.ItisareasonablegoalthatISOandIECwishtomaketheirportfolioofstandardsmorevisibletopublicauthoritiesand,equally
important,ensurethatitsstandardsaddresstherelevantneedsandconcernsofthepublicauthorities.Thiswillsupporttheirglobalrelevanceandapplicabilityworldwide,as
ithasbeenshownthatISOandIECstandardsarecapableofprovidingvaluablesupporttotheimplementationofpublicpolicy.ISOandIEChavebeenandwillcontinuetobe
effectiveprovidersofvoluntarystandardsthatsupporttheprogramsofgovernmentauthorities,whoneedstandardsthatmeettheWTOTBTcriteriaandthatsupport
technicalregulationsand/orprocurementactions.
Itshouldbenotedthat,asprivate,voluntaryorganizations,ISOandIECthemselvesarenotdirectlyrepresentativeofgovernmentinterests.ISOandIECconsensusonISOand
IECstandardsreflectsagreementacrossarangeofstakeholdersatthestandarddraftinglevel,ANDitreflectsaconsensusacrossnationalstandardsbodiesattheapproval
level.NationalpositionsonISOorIECstandardsarenotnecessarilygovernmentpositions,althoughgovernmentexpertsmayparticipateindevelopingthesepositionswith
theircounterpartsfromtheprivatesector.
ThefollowingsetofprincipleshasbeenestablishedtoguideISOandIECcommitteesdevelopingstandardsrelatedtoorsupportingpublicpolicyinitiatives.Theseprinciples
willensurethatISOandIECstandardscanproperlysupportandbeusedbypublicauthorities.
SO.2 Principles
a) ISOandIECarecommittedtocreatingmarketdrivenInternationalStandards,basedonobjectiveinformationandknowledgeonwhichthereisglobalconsensus,andnot
onsubjectivejudgments,inordertoprovidecredibletechnicaltoolsthatcansupporttheimplementationofregulationandpublicpolicyinitiatives.
b) ISOandIECarecommittedtodevelopingInternationalStandardsthataremarketrelevant,meetingtheneedsandconcernsofallrelevantstakeholdersincludingpublic
authoritieswhereappropriate,withoutseekingtoestablish,driveormotivatepublicpolicy,regulations,orsocialandpoliticalagendas.
WhenISOorIECstandardsareanticipatedtosupportapublicpolicyinitiative,therelationshipbetweenthestandard(s)andthepublicpolicyinitiative(s)shouldbeclearly
understoodamongallconcernedparties.Theinteractionofstandardizationandpublicpolicyorregulationshouldbeanticipatedandtheinterventionofthepublic
authoritiesinthestandardsdevelopmentprocessshouldoccurasearlyaspossible.Itshouldbenotedthatinmanycasesexpertsrepresentingregulatoryauthoritiesare
activelyparticipatinginthedevelopmentofISOandIECInternationalStandardsbothasmembersoftherelevantinternationalcommitteesand/oratthepertinent
nationalmirrorcommitteestoISOandIECtechnicalbodies.
c) ISOandIECrecognizethatthedevelopmentofregulation,publicpolicyand/orthedevelopmentandinterpretationofinternationaltreatiesaretheroleofgovernmentsor
treatyorganizations.
d) ISOandIECstandardssupportingregulation,regulatorycooperationandpublicpolicyarebestdevelopedwithinISOandIECstructuresandunderoperational
approachesandparticipationmodelsthathavebeenprovensuccessfulandthataredetailedintheISO/IECDirectives.
Theuseofspecialcommitteestructures,proceduresorparticipationmodelsmaycompromisethecredibilityandsuitabilityoftheresultingISO/IECstandardssupporting
regulationandpublicpolicy.
SO.3 Implementation
InadditiontopromotingtheseprinciplestoISOandIECcommittees,theirleadersandparticipants,ISOandIECshallactivelysupportandpromotetheprinciplesfor
internationalstandardizationestablishedintheWTOTBTAgreementandsubsequentdecisionsoftheTBTCommitteeregardingthedevelopmentofInternational
Standards.
ISOmemberbodiesandIECNationalCommitteesshouldensurethatnationalgovernments,includingtheirtraderepresentatives,areawareofISO'sandIEC'sportfolios,
areinformedaboutISOandIECasvenuesforstandardsdevelopment,andareengagedinISOandIECstandardsdevelopmentwheneverappropriatetoreduce
misunderstandingandinadvertentcontradictions.
TheISOTechnicalManagementBoardandtheIECStandardizationManagementBoardshoulddevelopadditionalimplementationguidanceandcasestudiesofsuccessful
ISOandIECstandardseffortsthatsupportpublicpolicyinitiatives(forexample,ISOstandardsrelatedtomedicaldevicesandgreenhousegasemissions,andIEC
standardsrelatedtoradiointerference,safetyofhouseholdappliances,shipsandmarinetechnology).
AnnexSP(normative)EnvironmentalmanagementSector,aspectandelementpolicy
SP.1AnyISOtechnicalcommitteeorsubcommitteethatproposesdevelopmentofasector,aspectorelementspecificenvironmentalmanagementstandard(seeSP.6
belowfordefinitions)shallclearlydemonstrateitsmarketrelevanceandalignmentthroughthecompletionofappropriateISOprojectapprovalprocedures,including:
ISOForm4,NewWorkItemProposalforsector,aspectorelementspecificspecificapplicationofgenericenvironmentalmanagementsystemstandards,environmental
labeling,lifecycleassessmentandgreenhousegasmanagementstandards,and
AnnexSLProposalsformanagementsystemstandardsforsector,aspectorelementspecificspecificapplicationofgenericenvironmentalmanagementsystemstandards.
ApprovaldocumentationshouldincludespecificjustificationastowhytherelevantgenericISO14000seriesstandard(s)insufficientlyaddresssector,aspectorelement
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ApprovaldocumentationshouldincludespecificjustificationastowhytherelevantgenericISO14000seriesstandard(s)insufficientlyaddresssector,aspectorelement
specificneedsandhowtheproposednewstandardwouldeffectivelyresolveidentifiedissues.Proposersshouldcriticallyassesswhetheradditionalsector,aspector
elementspecificrequirementsareneededasopposedtotheprovisionofadditionalguidancetothegenericenvironmentalmanagementstandard(s).
SP.2AnyISOtechnicalcommitteeorsubcommitteethatproposesdevelopmentofasector,aspectorelementspecificenvironmentalmanagementstandardshould
considerandreflecttheneedsofdevelopingcountries,economiesintransition,smallandmediumenterprisesandorganizationsoperatingacrossavarietyofsectors;
SP.3ISO/TC207willcooperateinor,whereappropriateandasdecidedbytheISOTechnicalManagementBoard,leadjointprojectswithISOtechnicalcommitteesor
subcommitteesdevelopingsector,aspectorelementspecificenvironmentalmanagementstandardstoavoidduplicationofeffortandpromoteconsistencyandalignment.
ThereisnointentiontorestrictthedevelopmentofmarketrelevantstandardsincommitteesoutsideofISO/TC207.
SP.4ISOtechnicalcommitteesorsubcommitteesdevelopingsector,aspectorelementspecificenvironmentalmanagementstandardsshall:
includethenormativereferenceoftheappropriategenericISO14000seriesenvironmentalmanagementsystems,environmentallabeling,lifecycleassessmentand
greenhousegasmanagementstandards;
includethenormativereferenceoftheappropriategenericISO14050termsanddefinitions;
distinguishISO14000seriestextifitisreproduced;and
notinterpret,change,orsubtractfromtherequirementsofthegenericISO14000seriesenvironmentalmanagementsystems,environmentallabeling,lifecycle
assessmentandgreenhousegasmanagementstandards.
SP.5Anyrequestsforguidanceonthissector,aspectorelementspecificpolicyorforinterpretationofgenericISO14000seriesstandardsorISO14050termsand
definitionsshallbesubmittedtotheISOCentralSecretariat.
SP.6Termsanddefinitions
SP.6.1
Sectorspecificenvironmentalmanagementstandard
Standardthatprovidesadditionalrequirementsorguidancefortheapplicationofagenericenvironmentalmanagementstandardtoaspecificeconomicorbusinesssector;
forexampletheapplicationofanenvironmentalmanagementsystem(ISO14001)orlifecycleassessment(ISO14044)toagrifoodorenergysectors.
SP.6.2
Aspectspecificenvironmentalmanagementstandard
Standardthatprovidesadditionalrequirementsorguidancefortheapplicationofagenericenvironmentalmanagementstandardforaspecificenvironmentalaspector
aspectswithinitsscope;forexampletheapplicationofanenvironmentalmanagementsystem(ISO14001)forgreenhousegas(aspect)managementorlifecycle
assessment(ISO14044)forthewater(aspect)footprintofproducts.
SP.6.3
Elementspecificenvironmentalmanagementstandard
Standardthatprovidesadditionalrequirementsorguidancefortheapplicationofagenericenvironmentalmanagementstandardforaspecificelementorelementswithin
itsscope;forexamplecommunicationsoremergencymanagement(elements)withinanenvironmentalmanagementsystem(ISO14001)ordatacollectionorcritical
review(elements)withinalifecycleassessment(ISO14044).
SP.6.4
Genericstandard
Standarddesignedtobewidelyapplicableacrosseconomicsectors,varioustypesandsizesoforganizationsanddiversegeographical,culturalandsocialconditions.
SP.6.5
Standard
InternationalStandard,includingrequirementstandards(e.g.TypeAmanagementsystemsstandards)orguidancestandard(e.g.TypeBmanagementsystemstandards).
AnnexSQ(normative)Selectioncriteriaforpeopleleadingthetechnicalwork
SQ.1 Obligationsofmemberbodies
Memberbodiesareresponsibleforensuringthatcandidatesforleadershippositions(i.e.chairs,convenors,andsecretaries)meettherequirementscontainedinSQ.3.
Memberbodiesarealsoresponsibleforensuringthatanygapsinskillsorknowledgeoftheselectedleaders,aswellasexperts,areidentifiedandfilledthroughongoing
training.
SQ.2 Resourcesavailabletofillgapsinskillsorknowledge
Anumberofresourcesareavailabletohelpmemberbodiesfillanyidentifiedgapsinskillsorknowledge:
TrainingandothermaterialsareavailablefromtheISOCentralSecretariattoensuretheeffectivenessofthevariousrolesinconducting/attendingmeetings,including
understandingkeyconcepts.
Tohelptrainexperts,itmaybeusefultoschedulecommitteepresessionsandinformationonexistingresourcesbeforeorinconjunctionwithcommitteeplenaries.
ThesupportoftheTechnicalProgrammeManager,particularlyinthecaseofnewcommittees,isavailabletotrainleadersandexperts.Inthecaseofnewcommittees,the
TechnicalProgrammeManagershouldattendthefirstmeetingtoprovideanoverallintroductionofISOanditsprocesses.
ExchangeprogrammescouldalsobeorganizedbetweenmemberbodiesorwiththeISOCentralSecretariat.Memberbodiesmayalsowishtoconsidertwinnings.
TheservicesofanexternalfacilitatorforcoachingandtrainingcouldbeconsideredasoneoftheoptionstoassistthecommitteeleadershiptodevelopnonISOspecific
skills,suchastheskillsneededtoruneffectivemeetings,generalleadershipskills,etc.
SQ.3 SelectionCriteriaforpeopleleadingthetechnicalwork
Thesuccessofanycommitteeorworkinggroupisdependentonitsleadership.Thisselectioncriteriaappliestocommittee4chairs,workinggroupconvenorsandcommittee
secretaries.MembersbodiesarethereforerequiredtoapplythiscriteriawhennominatingpeopletotheserolesinordertoensurethatthenewISOCodeofConductforthe
technicalworkisupheldandthattheISO/IECDirectivesarecorrectlyapplied.
SQ.3.1
Chairsandconvenors
SQ.3.1.1 Competenciesandattributesofgoodchairsandconvenors:
existingroleandgoodreputationinthesector
relevantprofessionalexperiencewithpreviousexperienceofchairmanship
leadandinspiredelegatesandexpertsfromthesectortowardsconsensus
understandtheinternationalnatureofISO'sworkanditsresultingbenefits
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understandtheinternationalnatureofISO'sworkanditsresultingbenefits
committimeandresourcestotheirrole
developsolutionsthroughinnovativeandcreativethinkinginaconsensusenvironment
actproactivelyandcommunicatediplomatically
fosterandvaluecooperationwithotherISOandIECCommitteesandpartnersincludingthosefromregulatorybodies
actinapurelyinternationalcapacity
SQ.3.1.2 Jobspecificationforchairsandconvenors:
leadmeetingseffectivelywithaviewtoreachingagreementandtoensurethatpositionsanddecisionsareclearlyunderstood
ensurethatallpositionsandviews(atmeetingsandbycorrespondence)aregivenequaltreatment
manageprojectsaccordingtoagreedtargetdatesinaccordancewiththeprojectplanfrompreparationtocompletion
worktoensurethatafullrangeoftechnicalcompetenceisavailabletothegroup
befullyknowledgeableofthesubjectandmarketneeds
proposedecisionstoprogressortostopworkonthebasisofitsmarketorglobalrelevance
havebasicknowledgeofISOanditsprocedures
SQ.3.1.3 Additionallychairsofcommitteesarerequiredto:
takeresponsibilityfortheoverallmanagementofthecommittee,includinganysubcommitteesandworkinggroups
advisetheISOTechnicalManagementBoardonimportantmattersrelatingtotheCommittee
ensurethatthepolicyandstrategicdecisionsoftheISOTechnicalManagementBoardareimplementedbytheCommittee
thinkstrategicallytopromoteISO'sworkinthesector
SQ.3.1.4 Supportinginformation
Thefollowinginformationshouldbeconsideredbythememberbodiesinthenominationsforchairsandconvenors:
currentroleinthesector
education
professionalcareer
leadershipexperience
similaractivities
languageskills
SQ.3.2
Secretariesandsecretariats
SQ.3.2.1 Selectionofsecretariesandsecretariats
ThesuccessofanISOcommitteeisdependentonitssecretariatandsecretary.ThefollowinglistisbasedontheISO/IECDirectivesandshowsthetasksexpectedtobe
performedintheseroles.ISOMembersshouldusethislistwhenappointingorganizationsandprofessionalsassecretariatsandsecretaries.
SQ.3.2.2 Gooddocuments
Preparingdraftsforthecommittee,arrangingfortheirdistributionandthetreatmentofthecommentsreceived.Preparingofdrafts,textandfiguresforcirculationbyISO
CentralSecretariat(ISO/CS)forenquiryandfinaldraftInternationalStandardsorforpublication.FulfillingtheISO/CSsubmissionrequirementsofsuchdocumentswhen
sendingthem.
SQ.3.2.3 Excellentprojectmanagement
Assistingintheestablishmentofprioritiesandtargetdatesforeachproject.NotifyingthenamesofallworkinggroupconvenorsandprojectleaderstotheISOCentral
Secretariat.Initiatingballots.Proposingproactivesolutionsforprojectsthatarerunningsignificantlyovertime,and/orwhichappeartolacksufficientsupport.
SQ.3.2.4 Wellpreparedmeetings
Establishingtheagendaandarrangingforitsdistributionaswellasthedistributionofalldocumentsontheagenda,includingreportsofworkinggroups,andindicatingall
otherdocumentswhicharenecessaryfordiscussionduringthemeeting.Recordingthedecisionstakeninameetingandmakingthesedecisionsavailableinwritingfor
confirmationinthemeeting.Preparingtheminutesofmeetingstobecirculatedinatimelymannerafterthemeeting.
SQ.3.2.5 GoodadviceonISOprocesses
Providingadvicetothechair,projectleaders,andconvenorsontheISO/IECDirectivesandinparticulartheproceduresassociatedwiththeprogressionofprojects.
Contactinganysubcommitteesandworkinggroupregardingtheiractivities.
SQ.3.2.6 Connectingandnetworking
Workingincloseliaisonwiththechairofthecommittee.MaintainingclosecontactwiththeISOCentralSecretariatandwiththemembersofthecommitteeregardingits
activities.Maintainingclosecontactwiththesecretaryofanyparentcommittee.
SQ.3.2.7 Proactivefollowupofactions
Ensuringthatallactionsagreedatmeetingsorbycorrespondencearecompletedontimeandinatransparentmanner.
SQ.3.2.8 GoodwithIT
AppropriateknowledgeandcapabilitiesinusingMSWordbaseddraftingtoolsandtheISOwebbasedapplicationsincludingLivelinkecommittees,thecommitteeballoting
applicationandthesubmissioninterface.
SQ.3.2.9 SupportingInformation
Thefollowinginformationshouldbeconsideredbythememberbodywhenappointingsecretaries:
education
professionalcareer
experienceinstandardizationwork
participationintrainingprogrammesonstandardization
experiencewithISO'sITtoolsandITinfrastructure
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languageskills
AnnexSR(normative)Statementsintendedtolimitthepurposeoruseofdeliverables
SR.1 Principles
TheISOTechnicalManagementBoardadoptedthefollowingISO/TMBResolution8/2012regardingstatementsintendedtolimitthepurposeoruseofdeliverables:
NotingthatISOCouncilResolution9/2001confirmsISO'scompliancewiththebasicprinciplesoftheoperationandimplementationoftheWTOAgreementonTechnical
BarrierstoTrade(TBT),
Agreesthatstatementsintendedtolimitthepurposeoruseofdeliverablesinrelationtobarriersorobstaclestotradearenotpermitted,
Furtheragreesthatstatementsrelatingtocontractualobligationsorgovernmentregulationarealsonotpermitted,
Requeststhatanysuchstatementsberemovedduringthedevelopmentofadeliverable(i.e.beforethecloseoftheDIS)andthatanysuchstatementsinexisting
deliverablesberemovedwhenthedeliverableisrevised,
RequiresthatanyexceptionstotheaboveinexceptionalcasesbeapprovedbytheISO/TMB()
TheISOTechnicalManagementBoardalsoadoptedthefollowingISO/TMBResolution69/2012regardingstatementsintendedtolimitthepurposeoruseofdeliverablesin
relationtoconformityassessment(conformityassessmentdisclaimers):
RecallingTMBResolution8/2012Statementsintendedtolimitthepurposeoruseofdeliverables,
()
Decidesthatstatementsrelatedtoconformityassessment(forexamplecertification)arenotpermittedinISOdeliverables,
()
Agreesthatanyconformityassessmentstatementsmustberemovedduringthedevelopmentofadeliverable(i.e.beforethecloseoftheDIS)andthatanysuchstatements
inexistingdeliverablesmustberemovedwhenthedeliverableisrevised,tobereplacedbythelinkintheForeword,and
RequiresthatanyexceptionstotheabovebeapprovedbytheTMB.
SR.2 Furtherinformationregardingstatementsinrelationtobarriersorobstaclestotrade
Variousstatementsintendedtolimitedpurposeoruseofdeliverables(sometimesreferredtoasdisclaimers)inrelationtobarriersorobstaclestotradeareincludedina
numberofISOdeliverables.Thoughthewordingdiffersslightlyfromcasetocase,theymakethepointthatthedeliverableinquestionisnotintendedtocreatebarriersor
obstaclestotrade.
AsexplainedontheISO/IECInformationCentre,theAgreementonTechnicalBarrierstoTrade(TBT)isoneofthelegaltextsoftheWTOAgreement.ItobligesWTOMembers
toensurethat,interalia,voluntarystandardsdonotcreateunnecessaryobstaclestotrade.Specifically,Annex3oftheTBTentitledCodeofGoodPracticeforthePreparation,
AdoptionandApplicationofStandards(para.E)states:Thestandardizingbodyshallensurethatstandardsarenotprepared,adoptedorappliedwithaviewtoorwiththe
effectof,creatingunnecessaryobstaclestointernationaltrade.
StandardizingbodieswithintheterritoryofaWTOMembercannotifytheiracceptanceoftheTBT.Alistisavailableofthestandardizingbodiesfromthecountriesthathave
notifiedtheiracceptance.InaccordancewiththeTBT,theonusisthenonWTOMemberstoensurethattheTBTisrespectedwithintheirrespectiveterritories.
TheobligationtoavoidobstaclestotradeisthereforeamplycoveredintheTBT.ToaddaTBTdeclaimerinsomestandardsbutnotinotherscreatestwoclassesofstandards
withnocleardifferencebetweenthetwo.Infact,ifthepracticewereallowedtocontinue,thiscouldinadvertentlycreatetheimpressionthattherearetwodifferentlevelsof
compliancewiththeTBT.
Inaddition,theissueofISO'sgeneralcompliancewiththebasicprinciplesoftheoperationandimplementationoftheTBTwasconsideredbytheISOCouncil.BywayofISO
CouncilResolution9/2001,theISOCouncilconfirmedthatISOwasindeedcompliantinthisregard.
SR.3 Furtherinformationregardingstatementsinrelationtocontractualobligationsorgovernmentregulation
ISO/TMBResolution8/2012reinforcestheapplicationofclause6.3.3oftheISO/IECDirectives,Part2whichstatesthatContractualrequirements(concerningclaims,
guarantees,coveringofexpenses,etc.)andlegalorstatutoryrequirementsshallnotbeincluded.
SR.4 Furtherinformationondo'sanddon'tsrelatedtoconformityassessment
FurtherinformationregardingconformityassessmentforstandardwritersisavailableinthepublicationentitledConformityassessmentforstandardswritersDo'sand
Don'ts:http://www.iso.org/iso/casco_do_2012.pdfandin6.7ofISO/IECDirectives,Part2.Additionalguidanceisalsocontainedinthegenerictext,alinktowhichis
includedintheForewordofISOdeliverables(www.iso.org/forewordinfo).
SR.5 Requestsforexceptions
RequestsforexceptionstoincludeastatementintendedtolimitthepurposeoruseofdeliverablesmustbeapprovedbytheISOTechnicalManagementBoardwhowill
carefullyconsidersuchrequestsonacasebycasebasis.
AnnexSS(normative)OptionaluseoftheCommitteeDraft(CD)stageGuidanceforcommittees
ThefollowingisguidanceforcommitteesregardingtheoptionaluseoftheCommitteeDraft(CD)stage.
SS.1 Implementationguidance
DecisionsonwhethertoskiptheCDshouldbemadeonacasebycasebasis.
DecisionsshouldbemadeonthebasisofwhatisexpectedtobegainedbyaCDcirculation(e.g.furtherunderstandingofanissue)comparedtopossibleincreasesincosts
andtime(additionaldraftingandmeetings).
TheproposaltoskiptheCDstageshouldbemadebytheWorkingGroupConvenor/ProjectLeaderfollowingaconsultationwiththeWGexpertstoproveconsensus.
ThefinaldecisionshouldthenbetakenbytheparentcommitteebyconsensusthroughaonemonthCommitteeInternalBallotoratameeting.
IncaseswherethereareconcernsthatskippingoftheCDstagemayseriouslycompromiseconsensus,thenskippingtheCDstageshouldbeavoided.
SS.2 TipsforConvenorsandProjectLeaderswhenproposingtoskiptheCDstage
1) Usestage0tobuildadraftdocumentwhichreflectsalreadyknownstakeholderviews.
2) EnsureahighqualitydraftiscirculatedwiththeNewWorkItemProposal.
3) InformtheparentcommitteesecretaryassoonasitisknownthattheWorkingGroup(WG)wouldliketheprojecttoskiptheCDstage.
4) EnsurePmemberswithamajorinterestinthesubjecthavenominatedexpertstotheWGandthatconsensushasbeenachievedonthedocumentamongtheWG.
5) EnsureappropriatenumberofreiterationsofWorkingDraftscirculationstotheexperts.
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5) EnsureappropriatenumberofreiterationsofWorkingDraftscirculationstotheexperts.
6) GiveregularupdatesaboutthestatusoftheworktothesecretaryofthecommitteewhointurnshouldprovideupdatestothePmembersandcirculateworkingdraftsfor
informationifnecessary.
7) AskWGExpertstoregularlyinformtheirnominatingPmembersofthestatusoftheworkandencouragetheWGexpertstoconductinformalconsultationsatthenational
level.
8) EnsurethedocumentsubmittedtothecommitteesecretaryisofhightechnicalqualitywhichisgoodenoughforaDISvote.
9) AlwaysensureafullreviewoftheDIScommentsaftertheDISvote.
SS.3 TipsforcommitteeChairsandSecretaries
InformthemembersofthecommitteeassoonasitisknownthattheWorkingGroupwouldliketoskiptheCDstage.
WhensubmittingtheDISdrafttoISOCSforpreparationofthevotesendthedrafttothecommitteeforinformation.
SS.4 Otherinformation
Thisdoesnotalterthecurrentstandardsdevelopmenttimeframeswhichremainat2,3or4years.TheoptionaluseoftheCDwillhelpyoumeetorbeatyourtargetdates
thataresetunderthesetimeframes.
ForViennaAgreementprojectstheCDcanalsobeusedonanoptionalbasis.
Referencedocuments
ThefollowingarelinkstoreferencedocumentsfortheISOtechnicalcommunityonanumberofimportantsubjects.
ISO'swebpage(www.iso.org)
ISO/IECDirectives,Parts1&2,ConsolidatedISOSupplementtoISO/IECDirectives,Part1,JTC1Supplement(www.iso.org/directives)
GuidanceforISOnationalstandardsbodiesengagingstakeholdersandbuildingconsensus
(http://www.iso.org/iso/guidance_nsb.pdf).SeealsocompanionforISOmembers:
(http://www.iso.org/sites/PEG/index.html),andAdditionalguidancefromtheTMBonstakeholderengagement:
(http://www.iso.org/iso/additional_guidance_on_stakeholder_engagement_tmb_peg.pdf)
Guidanceforliaisonsorganizationsengagingstakeholdersandbuildingconsensus
(http://www.iso.org/iso/guidance_liaisonorganizations.pdf)
UsingandreferencesISOandIECstandardsfortechnicalregulation
(http://www.iso.org/iso/standards_for_technical_regulations.pdf)
ISO'sglobalrelevancepolicy
(http://www.iso.org/iso/home/standards_development/governance_of_technical_work.htm)
RegistrationAuthoritiesGuidelinesforcommittees
(http://www.iso.org/iso/registration_authorities_guidelines_for_committees.pdf)
ISOCodeofConductforthetechnicalworkandsuggestionsforimplementation
(http://www.iso.org/iso/standards_development/governance_of_technical_work.htm)
PolicyforthedistributionofISOpublicationsandtheprotectionofISO'scopyright(ISOPOCOSA2012)
(https://connect.iso.org/display/marketing/POCOSA)
Howtowritestandards
(http://www.iso.org/iso/howtowritestandards.pdf)
ModelmanuscriptofadraftInternationalStandard(knownasTheRiceModel)
(http://www.iso.org/iso/moddis.pdf)
GuidelinesforTC/SCChairsandSecretariatsforimplementationoftheAgreementontechnicalcooperationbetweenISOandCEN(ViennaAgreement)
(http://isotc.iso.org/livelink/livelink/fetch/2000/2122/3146825/4229629/4230450/4230458/02__Guidelines_for_TC_SC_Chairmen_and_Secretariats_on_the_implementation_of_
nodeid=4230689)
GuidanceontwinninginISOstandardsdevelopmentactivities.
(http://www.iso.org/iso/guidance_twinning_ld.pdf)
Guidanceforwritingstandardstakingintoaccountmicro,smallandmediumsizedenterprises'needs
(http://www.iso.org/iso/guidanceforwritingstandardsforsmes.pdf)
Guideforaddressingsustainabilityinstandards(Guide82)
(http://isotc.iso.org/livelink/livelink?func=ll&objId=8389141&objAction=browse&viewType=1)
PolicyconcerningnormativereferencesinISOpublications
(https://connect.iso.org/pages/viewpage.action?pageId=27592570)
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1)CategoryCliaisonisreservedforISO/IECJTC1.
2)ISOCouncilresolutions49/1976and50/1976andIECAdministrativeCircularNo.13/1977.
3)InthecaseofISOandIEC,thisincludesanyrecipientofadraftstandardatanystageinthestandardsdevelopmentprocess.
4)TechnicalCommittees,Subcommittees,ProjectCommittees.
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