Directives ISO/CEI, Partie 1 - Welcome to the IEC · ISO/IEC Directives, Part 1 Directives ISO/CEI, Partie 1 Consolidated JTC 1 Supplement 2016 — Procedures specific to JTC 1 Procédures

ISO/IECDirectives,Part1DirectivesISO/CEI,Partie1

ConsolidatedJTC1Supplement2016—ProceduresspecifictoJTC1

Procédures spécifiques à JTC 1

BasedonISO/IECDirectivesPart1TwelfthEdition‐2016

InternationalOrganizationforStandardization(ISO)ChemindeBlandonnet8

CP‐4011214VernierGenevaSwitzerlandTelephone+41227490111Fax+41227333430Email:[email protected]

InternationalElectrotechnicalCommission(IEC)3,ruedeVarembéP.O.Box131CH‐1211GENEVA20SwitzerlandPhone:++41229190211Fax:+41229190300E‐mail:[email protected]

ISO/IECJointTechnicalCommittee1(JTC1)Secretariatc/oANSI25West43rdStreet,4thFloorNewYork,NY10036USAPhone:+12126424932Fax:+12128402298Email:[email protected]

ISO/IECDirectives,part1–ConsolidatedJTC1Supplement2016

©ISO/IEC2016 ii

Contents Page

0 Introduction(ConsolidatedJTC1Supplement).............................................................vi 0.1 WhatistheConsolidatedJTC1Supplement?.......................................................vi 0.2 RelationshipoftheConsolidatedJTC1SupplementtoISO/IECDirectivesvi 0.3 ThestructureoftheConsolidatedJTC1Supplement........................................vi 0.4 ObtainingtheConsolidatedJTC1Supplement....................................................vi 0.5 ContactinformationfortheConsolidatedJTC1Supplement..........................vi

1 Organizationalstructureandresponsibilitiesforthetechnicalwork..................1 1.1 Roleofthetechnicalmanagementboard.............................................................1 1.2 Advisorygroupstothetechnicalmanagementboard......................................2 1.3 Jointtechnicalwork.....................................................................................................2 1.4 RoleoftheChiefExecutiveOfficer..........................................................................3 1.5 Establishmentoftechnicalcommittees.................................................................3 1.6 Establishmentofsubcommittees............................................................................5 1.7 Participationintheworkoftechnicalcommitteesandsubcommittees....6 1.8 Chairsoftechnicalcommitteesandsubcommittees.........................................8 1.9 Secretariatsoftechnicalcommitteesandsubcommittees............................10 1.10 Projectcommittees....................................................................................................13 1.11 Editingcommittees....................................................................................................14 1.12Workinggroups...........................................................................................................15 1.13 Groupshavingadvisoryfunctionswithinacommittee..................................18 1.14 Adhocgroups..............................................................................................................18 1.15 Liaisonbetweentechnicalcommittees................................................................19 1.16 LiaisonbetweenISOandIEC...................................................................................20 1.17 Liaisonwithotherorganizations...........................................................................20

2 DevelopmentofInternationalStandards......................................................................25 2.1 Theprojectapproach................................................................................................25 2.2 Preliminarystage.......................................................................................................29 2.3 Proposalstage..............................................................................................................30 2.4 Preparatorystage.......................................................................................................33 2.5 Committeestage..........................................................................................................34 2.6 Enquirystage...............................................................................................................36 2.7 Approvalstage.............................................................................................................38 2.8 Publicationstage.........................................................................................................39 2.9 Maintenance.................................................................................................................40 2.10 Technicalcorrigendaandamendments..............................................................44 2.11Maintenanceagencies...............................................................................................46 2.12 Registrationauthorities...........................................................................................46 2.13 Copyright.......................................................................................................................46 2.14 Referencetopatenteditems(seealsoAnnexI)................................................47

3 Developmentofotherdeliverables.................................................................................47 3.1 TechnicalSpecifications...........................................................................................47 3.2 PubliclyAvailableSpecifications(PAS)...............................................................48 3.3 TechnicalReports.......................................................................................................49

4 Meetings...................................................................................................................................49 4.1 General...........................................................................................................................49 4.2 Procedureforcallingameeting.............................................................................50 4.3 Languagesatmeetings..............................................................................................51 4.4 Cancellationofmeetings..........................................................................................52


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5 Appeals.....................................................................................................................................52 5.1 General...........................................................................................................................52 5.2 Appealagainstasubcommitteedecision............................................................53 5.3 Appealagainstatechnicalcommitteedecision................................................53 5.4 Appealagainstatechnicalmanagementboarddecision...............................53 5.5 Progressofworkduringanappealprocess.......................................................54

AnnexA(normative)Guides..........................................................................................................55 A.1 Introduction.................................................................................................................55 A.2 Proposalstage..............................................................................................................55 A.3 Preparatorystage.......................................................................................................55 A.4 Committeestage..........................................................................................................55 A.5 Enquirystage...............................................................................................................56 A.6 Publicationstage.........................................................................................................56 A.7 WithdrawalofaGuide...............................................................................................56

AnnexB(normative)ISO/IECproceduresforliaisonandworkallocation....................57 B.1 Introduction.................................................................................................................57 B.2 Generalconsiderations.............................................................................................57 B.3 Establishingnewtechnicalcommittees..............................................................58 B.4 CoordinatingandallocatingworkbetweenISOandIECtechnical

committees...................................................................................................................58

AnnexC(normative)Justificationofproposalsfortheestablishmentofstandards...62 C.1 General...........................................................................................................................62 C.2 Termsanddefinitions...............................................................................................62 C.3 Generalprinciples......................................................................................................63 C.4 Elementstobeclarifiedwhenproposinganewfieldoftechnicalactivity

oranewworkitem....................................................................................................63

AnnexD(normative)Resourcesofsecretariatsandqualificationsofsecretaries.......68 D.1 Termsanddefinitions...............................................................................................68 D.2 Resourcesofasecretariat........................................................................................68 D.3 Requirementsofasecretary...................................................................................69

AnnexE(normative)Generalpolicyontheuseoflanguages..............................................71 E.1 Expressingandcommunicatingideasinaninternationalenvironment..71 E.2 Theuseoflanguagesinthetechnicalwork.......................................................71 E.3 InternationalStandards...........................................................................................72 E.4 Otherpublicationsdevelopedbytechnicalcommittees................................72 E.5 Documentsfortechnicalcommitteeandsubcommitteemeetings............72 E.6 DocumentspreparedinlanguagesotherthanEnglishorFrench..............73 E.7 Technicalmeetings....................................................................................................73

AnnexF(normative)Optionsfordevelopmentofaproject................................................75 F.1 Simplifieddiagramofoptions................................................................................75 F.2 “Fast‐trackprocedure”..............................................................................................77 F.3 PreparationandAdoptionofInternationalStandards–JTC1PAS

TranspositionProcess..............................................................................................79 F.4 AdoptionofSubmissionsundertheJTC1Fast‐TrackProcedureorJTC1

PASTranspositionProcess......................................................................................83

AnnexG(normative)Maintenanceagencies.............................................................................89

AnnexH(normative)Registrationauthorities........................................................................90

AnnexI(normative)GuidelineforImplementationoftheCommonPatentPolicyforITU‐T/ITU‐R/ISO/IEC...........................................................................................................91


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GuidelinesforImplementationoftheCommonPatentPolicyforITU‐T/ITU‐R/ISO/IEC.......................................................................................................92

PartI–Commonguidelines.............................................................................................93 I.1 Purpose.........................................................................................................................93 I.2 Explanationofterms...............................................................................................93 I.3 Patentdisclosure......................................................................................................94 I.4 PatentStatementandLicensingDeclarationForm....................................95 I.5 Conductofmeetings.................................................................................................96 I.6 PatentInformationdatabase...............................................................................96 I.7 Assignmentortransferofpatentrights..........................................................97 PartII–Organization‐specificprovisions.................................................................98 II.1 SpecificprovisionsforITU....................................................................................98 II.2 SpecificprovisionsforISOandIEC....................................................................99 COMMONPATENTPOLICYFORITU‐T/ITU‐R/ISO/IEC...........................................101

AnnexJ(normative)Formulatingscopesoftechnicalcommitteesandsubcommittees....................................................................................................................108 J.1 Introduction..............................................................................................................108 J.2 Formulationofscopes............................................................................................108 J.3 Basicscope.................................................................................................................108 J.4 Exclusions..................................................................................................................109 J.5 Scopesofcommitteesrelatedtoproducts.......................................................109 J.6 Scopesofcommitteesnotrelatedtoproducts...............................................110

AnnexK(normative)Projectcommittees...............................................................................111 K.1 Proposalstage...........................................................................................................111 K.2 Establishmentofaprojectcommittee..............................................................112 K.3 Firstmeetingofaprojectcommittee................................................................112 K.4 Preparatorystage....................................................................................................113 K.5 Committee,enquiry,approvalandpublicationstages................................113 K.6 Disbandingofaprojectcommittee....................................................................113 K.7 Maintenanceofstandard(s)preparedbyaprojectcommittee................113

AnnexJA(normative)Voting.......................................................................................................114 JA.1 General........................................................................................................................114 JA.2 Proposalstage–Votesonnewworkitemproposals...................................115 JA.3 PreparatoryStage....................................................................................................118 JA.4 CommitteeStage‐VotesonCDs/PDAMs/PDTSs/PDTRs............................118 JA.5 Enquirystage‐VotesonDIS,DAM,fast‐trackDTSandfast‐trackDTR..118 JA.6 Approvalstage–CombinedvotingprocedureforvotesonFDIS/FDAM119 JA.7 VotesonDCORs........................................................................................................120 JA.8 OverviewofBallotPeriodsinISO/IECJTC1...................................................120

AnnexJB(normative)ITU‐TandISO/IECJTC1Cooperation............................................122

AnnexJC(normative)Proposalsformanagementsystemstandards.............................123 JC.1 General........................................................................................................................123 JC.2 ObligationtosubmitaJS.......................................................................................123 JC.3 CaseswherenoJShavebeensubmitted...........................................................123 JC.4 ApplicabilityofAnnexJC.......................................................................................123 JC.5 Termsanddefinitions............................................................................................124 JC.6 Generalprinciples...................................................................................................125 JC.7 Justificationstudyprocessandcriteria............................................................126 JC.8 GuidanceonthedevelopmentprocessandstructureofanMSS..............126


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JC.9 Highlevelstructure,identicalcoretextandcommontermsandcoredefinitionsforuseinManagementSystemsStandards...............................130

Appendix1(normative)Justificationcriteriaquestions.....................................133 Appendix2(normative)Highlevelstructure,identicalcoretext,common

termsandcoredefinitions....................................................................................138 Appendix3(informative)Guidanceonhighlevelstructure,identicalcoretext,

commontermsandcoredefinitions..................................................................147 AnnexJD(normative).......................................................................................................148

JD.1IntroductiontotheHarmonizedStageCode................................................................148

JD.2Designofthestagecodematrix........................................................................................148 JD.3Basicguidelinesforusingthesystem...............................................................148

Matrixpresentationofprojectstages........................................................................................149

AnnexJE(normative)Proceduresforthestandardizationofgraphicalsymbols......151 JE.1 Introduction..............................................................................................................151 JE.2 Allgraphicalsymbolsexceptthoseforuseintechnicalproduct

documentation.........................................................................................................152 JE.3 Graphicalsymbolsforuseintechnicalproductdocumentation(tpd)

(ISO/TC10)................................................................................................................156

Referencedocuments.....................................................................................................................157


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0 Introduction(ConsolidatedJTC1Supplement)

0.1 WhatistheConsolidatedJTC1Supplement?

The ISO/IEC Directives define the basic procedures to be followed in the development ofInternationalStandardsandotherpublications.ThisConsolidatedJTC1SupplementcontainstheproceduresspecifictoJTC1.

Part 1 of the ISO/IEC Directives, together with this Consolidated JTC 1 Supplement, providesprocedural rules to be followedby ISO/IEC JTC1. There are, however, other documentswhichprovidefurtherguidance,suchasJTC1StandingDocuments.FormsuniquetoJTC1arefoundintheJTC1Templatesfolderat

http://isotc.iso.org/livelink/livelink?func=ll&objId=8913214&objAction=browse&sort=name.

0.2 RelationshipoftheConsolidatedJTC1SupplementtoISO/IECDirectives

ThiseditionoftheConsolidatedJTC1SupplementincorporatesthetwelftheditionoftheISO/IECDirectives,aspublishedin2016.Itdoesnotreplacethatdocument,butratheristobeappliedinconjunctionwiththatdocument.

0.3 ThestructureoftheConsolidatedJTC1Supplement

The clause structureof theConsolidated JTC1Supplement follows thatofPart1of the ISO/IECDirectives.

0.4 ObtainingtheConsolidatedJTC1Supplement

TheISO/IECDirectives,theConsolidatedISOSupplement,theIECSupplement,theConsolidatedJTC1Supplement,andotherrelateddocuments,areavailableviawww.jtc1.org.

0.5 ContactinformationfortheConsolidatedJTC1Supplement

CommentsorquestionsontheConsolidatedJTC1Supplementshouldbereferredto:

InternationalOrganizationforStandardization(ISO)1,ch.delaVoie‐Creuse,Casepostale56CH‐1211Geneva20,SwitzerlandTelephone+41227490111Fax+41227333430Email:[email protected]

InternationalElectrotechnicalCommission(IEC)3,ruedeVarembéP.O.Box131CH‐1211GENEVA20SwitzerlandPhone:++41229190211Fax:+41229190300E‐mail:[email protected]

ISO/IECJointTechnicalCommittee1(JTC1)Secretariatc/oANSI25West43rdStreet,4thFloorNewYork,NY10036USAPhone:+12126424932Fax:+12128402298Email:[email protected]


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Foreword

TheISO/IECDirectivesarepublishedintwoparts:

— Part1:Proceduresforthetechnicalwork

— Part2:PrinciplesandrulesforthestructureanddraftingofISOandIECdocuments

Furthermore, the International Organization for Standardization (ISO), the InternationalElectrotechnicalCommittee(IEC)andISO/IECJointTechnicalCommittee(JTC)1havepublishedindependentsupplementstoPart1,whichincludeproceduresthatarenotcommon.

This part sets out the procedures to be followedwithin ISO and the IEC in carrying out theirtechnicalwork:primarilythedevelopmentandmaintenanceofInternationalStandardsthroughtheactivitiesoftechnicalcommitteesandtheirsubsidiarybodies.

ISO,IECandISO/IECJTC1provideadditionalguidanceandtoolstoallthoseconcernedwiththepreparationoftechnicaldocumentsontheirrespectivewebsites(www.iso.org/directives;http://www.iec.ch/members_experts/refdocs/andhttp://www.jtc1.org).

ThistwelftheditionoftheISO/IECDirectivesPart1,incorporateschangesagreedbytherespectivetechnicalmanagementboardssincepublicationoftheeleventheditionin2014.ProcedureswhicharenotcommontotheISO/IECDirectivesarepublishedseparatelyintheISOSupplement(alsoreferredtoastheConsolidatedISOSupplement),theIECSupplementortheISO/IECJTC1Supplement(alsoreferredtoastheConsolidatedJTC1Supplement),respectively.TheSupplementsaretobeusedinconjunctionwiththisdocument.

ThefollowingclauseshavebeenmodifiedwithrespecttothepreviouseditionofISO/IECDirectivesPart1:Foreword,1.1,1.4,1.5.6,1.5.10,1.7.1,1.7.2,1.7.4,1.8.1,1.9.1,1.12.1,1.12.6,1.13.2,1.15.4,1.17.3.1,1.17.3.2,2.1.5.1,2.1.6.2,2.3.1,2.3.2,2.3.4,2.3.5,2.3.6,2.5.2,2.5.3,2.5.7,2.6.1,2.6.4,2.6.5,2.6.6,2.7.1,2.8.1,2.14.2,3.1.2,3.3.2,4.1.1,4.2.1.3,4.2.2.1,5.1.1,5.3.1,5.4,A.5,A.5.1,A.5.3,C.3,C.4.1,D.2,E.3,F.4,F.5, I,K.1, JA.4, JA.8, JC.9,andJD .Thetrackchangesversionof this twelftheditionshouldbeconsultedforthedetailsofthechangesmade.TheseprocedureshavebeenestablishedbyISOandIECinrecognitionoftheneedforInternationalStandardstobecost‐effectiveandtimely,as well as widely recognized and generally applied. In order to attain these objectives, theproceduresarebasedonthefollowingconcepts.

a) Currenttechnologyandprojectmanagement

Within the framework of these procedures, the work may be accelerated and the task ofexperts and secretariats facilitated both by current technology (e.g. I.T. tools) and projectmanagementmethods.

b) Consensus

Consensus,whichrequirestheresolutionofsubstantialobjections,isanessentialproceduralprincipleandanecessaryconditionforthepreparationofInternationalStandardsthatwillbeacceptedandwidelyused.Althoughitisnecessaryforthetechnicalworktoprogressspeedily,sufficient time is required before the approval stage for the discussion, negotiation andresolutionofsignificanttechnicaldisagreements.

Forfurtherdetailsontheprincipleof"consensus",see2.5.6.


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c) Discipline

NationalBodiesneedtoensuredisciplinewithrespecttodeadlinesandtimetablesinordertoavoid longanduncertainperiodsof "dead time". Similarly, to avoid re‐discussion,NationalBodieshavetheresponsibilityofensuringthattheirtechnicalstandpointisestablishedtakingaccountofallinterestsconcernedatnationallevel,andthatthisstandpointismadeclearatanearly stage of the work rather than, for example, at the final (approval) stage. Moreover,NationalBodiesneedtorecognizethatsubstantialcommentstabledatmeetingsarecounter‐productive,sincenoopportunityisavailableforotherdelegationstocarryoutthenecessaryconsultationsathome,withoutwhichrapidachievementofconsensuswillbedifficult.

d) Cost‐effectiveness

Theseprocedurestakeaccountofthetotalcostoftheoperation.Theconceptof"totalcost"includesdirectexpenditurebyNationalBodies,expenditurebytheofficesinGeneva(fundedmainlybytheduesofNationalBodies),travelcostsandthevalueofthetimespentbyexpertsinworkinggroupsandcommittees,atbothnationalandinternationallevel.

e) GlobalrelevanceofISOInternationalStandards

InJTC1,theISOproceduresfortwinningaresupported.ItisISO'saimandexpectationthateachofitsInternationalStandardsrepresentsaworldwideconsensusandrespondstoglobalmarketneeds.Inordertoachievethisaim,ithasbeenrecognizedthatspecialmeasuresareneededinparticulartoensurethattheneedsofdevelopingcountriesaretakenintoaccountinISO'stechnicalwork.Onesuchmeasureistheinclusionofspecificprovisionsfor“twinning”,i.e.partnershipsbetweendevelopedanddevelopingcountries,inthisISOSupplementtotheISO/IECDirectives.(See1.7,1.8.1,1.8.3,1.9.2,1.9.3,and1.9.4.)

Whilsttheseprovisionsarenecessarilylimitedtothetechnicalwork,“twinning”mayoccuratmultiple levels, in particular to assist in capacity building in developing countries of theirstandardization,conformityassessmentandITinfrastructures,withtheaimoftheirultimatelybeingself‐sufficientincarryingouttheiractivities.

TerminologyusedinthisdocumentNOTE1 Whereverappropriateinthisdocument,forthesakeofbrevitythefollowingterminologyhasbeenadoptedtorepresentsimilaroridenticalconceptswithinISOandIEC.

Term ISO IEC

NationalBody MemberBody(MB) NationalCommittee(NC)

technicalmanagementboard(TMB)

TechnicalManagementBoard(ISO/TMB)

StandardizationManagementBoard(SMB)

ChiefExecutiveOfficer(CEO)

Secretary‐General GeneralSecretary

officeoftheCEO CentralSecretariat(CS) CentralOffice(CO)

councilboard Council CouncilBoard(CB)

advisorygroup TechnicalAdvisoryGroup(TAG)

AdvisoryCommittee

Forotherconcepts,ISO/IECGuide2applies.


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InJTC1,NationalBodyisrepresentedbyNB.InJTC1,the“officeoftheCEO”istheInformationTechnology Task Force (ITTF). In this Consolidated JTC1 Supplement, singular terms, such as“technicalmanagementboard”refertoboththeISOandIECentities.Forexample,theuseoftheterm “Chief Executive Officer (CEO)” should be understood to include both the ISO Secretary‐GeneralandtheIECGeneralSecretary.

In JTC 1, the acronyms commonly used in the Consolidated JTC 1 Supplement and StandingDocumentsarelistedinJTC1StandingDocument18onAcronyms.

For this2016Consolidated JTC1Supplement,major changeshavebeenmade to the followingclauseswithrespecttothe2015editionoftheConsolidatedJTC1Supplement,seeparagraph6oftheForeword,aswellasthefollowingclauses:JA.1,JA.1.2.

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

ISO/IECDirectives,Part1—ConsolidatedISOSupplement

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1 Organizationalstructureandresponsibilitiesforthetechnicalwork

1.1 Roleofthetechnicalmanagementboard

The technical management board of the respective organization is responsible for the overallmanagementofthetechnicalworkandinparticularfor:

a) establishmentoftechnicalcommittees;

b) appointmentofchairsoftechnicalcommittees;

c) allocation or re‐allocation of secretariats of technical committees and, in some cases,subcommittees; In JTC1, JTC1 shall decide on the allocation of the secretariat of asubcommitteeinallcases;

d) approvaloftitles,scopesandprogrammesofworkoftechnicalcommittees;

e) ratificationoftheestablishmentanddissolutionofsubcommitteesbytechnicalcommittees;InJTC1,noratificationisnecessary;

f) allocationofpriorities,ifnecessary,toparticularitemsoftechnicalwork;

g) coordinationofthetechnicalwork,includingassignmentofresponsibilityforthedevelopmentof standards regarding subjects of interest to several technical committees, or needingcoordinated development; to assist it in this task, the technical management board mayestablish advisory groups of experts in the relevant fields to advise it onmatters of basic,sectoralandcross‐sectoralcoordination,coherentplanningandtheneedfornewwork;

h) monitoringtheprogressofthetechnicalworkwiththeassistanceoftheofficeoftheCEO,andtakingappropriateaction;

i) reviewingtheneedfor,andplanningof,workinnewfieldsoftechnology;

j) maintenanceoftheISO/IECDirectivesandotherrulesforthetechnicalwork;

k) consideration ofmatters of principle raised byNationalBodies, andof appeals concerningdecisionsonnewworkitemproposals,oncommitteedrafts,onenquirydraftsoronfinaldraftInternationalStandards.

NOTE1 Explanationsoftheterms“newworkitemproposal”,“committeedraft”,“enquirydraft”and“finaldraftInternationalStandard”aregiveninClause2.

NOTE2 FordetailedinformationabouttheroleandresponsibilitiesoftheISOtechnicalmanagementboard,seetheTermsofreferenceoftheTMB–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.


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1.2 Advisorygroupstothetechnicalmanagementboard

1.2.1 Agrouphavingadvisoryfunctionsinthesenseof1.1g)maybeestablished

a) byoneofthetechnicalmanagementboards;

b) jointlybythetwotechnicalmanagementboards.

NOTE InIECcertainsuchgroupsaredesignatedasAdvisoryCommittees.

1.2.2 Aproposaltoestablishsuchagroupshallincluderecommendationsregardingitstermsofreference and constitution, bearing in mind the requirement for sufficient representation ofaffectedinterestswhileatthesametimelimitingitssizeasfaraspossibleinordertoensureitsefficient operation. For example, it may be decided that its members be only the chairs andsecretaries of the technical committees concerned. In every case, the TMB(s) shall decide thecriteriatobeappliedandshallappointthemembers.

Anychangesproposedbythegrouptoitstermsofreference,compositionor,whereappropriate,workingmethodsshallbesubmittedtothetechnicalmanagementboardsforapproval.

1.2.3 Thetasksallocatedtosuchagroupmay includethemakingofproposalsrelatingtothedrafting or harmonization of publications (in particular International Standards, TechnicalSpecifications,PubliclyAvailableSpecificationsandTechnicalReports),butshallnotincludethepreparationofsuchdocumentsunlessspecificallyauthorizedbytheTMB(s).

1.2.4 AnydocumentbeingpreparedwithaviewtopublicationshallbedevelopedinaccordancewiththeproceduralprinciplesgiveninAnnexA.

1.2.5 The results of such a group shall be presented in the form of recommendations to theTMB(s).Therecommendationsmayincludeproposalsfortheestablishmentofaworkinggroup(see1.12)orajointworkinggroup(see1.12.6)forthepreparationofpublications.Suchworkinggroupsshalloperatewithintherelevanttechnicalcommittee,ifany.

1.2.6 The internal documents of a grouphaving advisory functions shall be distributed to itsmembersonly,withacopytotheoffice(s)oftheCEO(s).

1.2.7 Suchagroupshallbedisbandedonce itsspecifiedtaskshavebeencompleted,or if it issubsequentlydecidedthatitsworkcanbeaccomplishedbynormalliaisonmechanisms(see1.16).

1.3 Jointtechnicalwork

1.3.1 JointTechnicalAdvisoryBoard(JTAB)

The JTABhasthetaskofavoidingoreliminatingpossibleoractualoverlapping inthetechnicalworkofISOandIECandactswhenoneofthetwoorganizationsfeelsaneedforjointplanning.TheJTABdealsonlywiththosecasesthatithasnotbeenpossibletoresolveatlowerlevelsbyexistingprocedures.(SeeAnnexB.)Suchcasesmaycoverquestionsofplanningandproceduresaswellastechnicalwork.

Decisions of the JTAB are communicated to both organizations for immediate implementation.Theyshallnotbesubjecttoappealforatleast3years.


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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.

Where twoNationalBodies in the same country elect to participate in a JPC thenone shall beidentifiedashavingtheadministrativeresponsibility.TheNationalBodywiththeadministrativeresponsibility has the responsibility of coordinating activities in their country, including thecirculationofdocuments,commentingandvoting.

Otherwisethenormalproceduresforprojectcommitteesarefollowed(see1.10).

1.4 RoleoftheChiefExecutiveOfficer

The Chief Executive Officer of the respective organization is responsible, inter alia, forimplementingtheISO/IECDirectivesandotherrulesforthetechnicalwork.Forthispurpose,theofficeoftheCEOarrangesallcontactsbetweenthetechnicalcommittees,thecouncilboardandthetechnicalmanagementboard.

Deviations fromtheproceduressetout in thepresentdocumentshallnotbemadewithouttheauthorization of the Chief Executive Officers of ISO or IEC, or of the ISO/IECJoint TechnicalAdvisory Board (JTAB), or the technical management boards for deviations in the respectiveorganizations

InJTC1,theCEOsarerepresentedbytheInformationTechnologyTaskForce(ITTF).

1.5 Establishmentoftechnicalcommittees

1.5.1 Technicalcommitteesareestablishedanddissolvedbythetechnicalmanagementboard.

1.5.2 The technical management boardmay transform an existing subcommittee into a newtechnicalcommittee,followingconsultationwiththetechnicalcommitteeconcerned.

1.5.3 A proposal for work in a new field of technical activity which appears to require theestablishmentofanewtechnicalcommitteemaybemadeintherespectiveorganizationby

— aNationalBody;

— atechnicalcommitteeorsubcommittee;

— aprojectcommittee;

— apolicylevelcommittee;

— thetechnicalmanagementboard;

— theChiefExecutiveOfficer;


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— abodyresponsible formanagingacertificationsystemoperatingunder theauspicesof theorganization;

— anotherinternationalorganizationwithNationalBodymembership.

1.5.4 Theproposalshallbemadeusingtheappropriateformandtheseareavailableinelectronicformat,(typicallyMSWord),fordownloadfromwww.iso.org/formsandhttp://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 TheofficeoftheCEOshallensurethattheproposalisproperlydevelopedinaccordancewith ISO and IEC requirements (see Annex C), and provides sufficient information to supportinformed decision making by National Bodies. The office of the CEO shall also assess therelationshipof theproposal to existingwork, andmayconsult interestedparties, including thetechnicalmanagementboardorcommitteesconductingrelatedexistingwork,.Ifnecessary,anadhocgroupmaybeestablishedtoexaminetheproposal.

Followingitsreview,theofficeoftheCEOmaydecidetoreturntheproposaltotheproposerforfurtherdevelopmentbeforecirculationforvoting.Inthiscase,theproposershallmakethechangessuggestedorprovidejustificationfornotmakingthechanges.Iftheproposerdoesnotmakethechangesandrequeststhatitsproposalbecirculatedforvotingasoriginallypresented,thetechnicalmanagementboardwilldecideonappropriateaction.This could includeblocking theproposaluntilthechangesaremadeoracceptingthatitbeballotedasreceived.

Inallcases,theofficeoftheCEOmayalsoincludecommentsandrecommendationstotheproposalform.

Fordetailsrelatingtojustificationoftheproposal,seeAnnexC.

ProposersarestronglyencouragedtoconductinformalconsultationswithotherNationalBodiesinthepreparationofproposals.

1.5.6 The proposal shall be circulated by the office of the CEO to all National Bodies of therespectiveorganization(ISOorIEC),askingwhetherornotthey

a) supporttheestablishmentofanewtechnicalcommitteeprovidingastatementjustifyingtheirdecision(“justificationstatement”),and

b) intendtoparticipateactively(see1.7.1)intheworkofthenewtechnicalcommittee.


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Theproposalshallalsobesubmittedtotheotherorganization(IECorISO)forcommentandforagreement(seeAnnexB).

The replies to the proposal shall be made using the appropriate form within 12 weeks aftercirculation.Regarding1.5.6a)above,ifnosuchstatementisprovided,thepositiveornegativevoteofaNationalBodywillnotberegisteredandconsidered.

Theformforrepliestotheproposalshasbeenreplacedbyanelectronicballotingsystem.Repliesnotusingtheelectronicballotingsystemwillnotbecounted.

1.5.7 Thetechnicalmanagementboardevaluatestherepliesandeither

— decidestheestablishmentofanewtechnicalcommittee,providedthat

i) a2/3majorityoftheNationalBodiesvotingareinfavouroftheproposal,and

ii) at least5NationalBodieswhovoted in favourexpressed their intention toparticipateactively,

andallocatesthesecretariat(see1.9.1),or

— assignstheworktoanexistingtechnicalcommittee,subjecttothesamecriteriaofacceptance.

1.5.8 Technical committees shall be numbered in sequence in the order in which they areestablished. If a technical committee is dissolved, its number shall not be allocated to anothertechnicalcommittee.

1.5.9 Assoonaspossibleafterthedecisiontoestablishanewtechnicalcommittee,thenecessaryliaisonsshallbearranged(see1.15to1.17).

1.5.10 Anewtechnicalcommitteeshallagreeonitstitleandscopeassoonaspossibleafteritsestablishment,preferablybycorrespondence.

Thescopeisastatementpreciselydefiningthelimitsoftheworkofatechnicalcommittee.

Thedefinitionofthescopeofatechnicalcommitteeshallbeginwiththewords"Standardizationof…"or"Standardizationinthefieldof…"andshallbedraftedasconciselyaspossible.

Forrecommendationsonscopes,seeAnnexJ.

The agreed title and scope shall be submitted by the Chief Executive Officer to the technicalmanagementboardforapproval.

1.5.11 Thetechnicalmanagementboardoratechnicalcommitteemayproposeamodificationofthe latter's title and/or scope. The modified wording shall be established by the technicalcommitteeforapprovalbythetechnicalmanagementboard.

1.6 Establishmentofsubcommittees

1.6.1 Subcommitteesareestablishedanddissolvedbya2/3majoritydecisionoftheP‐membersof the parent committee voting, subject to ratification by the technical management board. Asubcommittee may be established only on condition that a National Body has expressed itsreadinesstoundertakethesecretariat.


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InJTC1,subcommitteesareestablishedanddissolvedbya2/3majoritydecisionoftheP‐membersofJTC1votingonthedecision,withouttheneedforratificationbythetechnicalmanagementboard.

1.6.2 Atthetimeofitsestablishment,asubcommitteeshallcompriseatleast5membersoftheparenttechnicalcommitteehavingexpressedtheirintentiontoparticipateactively(see1.7.1)intheworkofthesubcommittee.

1.6.3 Subcommitteesofatechnicalcommitteeshallbedesignated insequence intheorder inwhichtheyareestablished.Ifasubcommitteeisdissolved,itsdesignationshallnotbeallocatedtoanothersubcommittee,unlessthedissolutionispartofacompleterestructuringofthetechnicalcommittee.

1.6.4 Thetitleandscopeofasubcommitteeshallbedefinedbytheparenttechnicalcommitteeandshallbewithinthedefinedscopeoftheparenttechnicalcommittee.

1.6.5 ThesecretariatoftheparenttechnicalcommitteeshallinformtheofficeoftheCEOofthedecisiontoestablishasubcommittee,usingtheappropriateform.TheofficeoftheCEOshallsubmittheformtothetechnicalmanagementboardforratificationofthedecision.

InJTC1,ratificationbythetechnicalmanagementboardisnotrequired.

1.6.6 Assoonaspossibleafterratificationofthedecisiontoestablishanewsubcommittee,anyliaisonsdeemednecessarywithotherbodiesshallbearranged(see1.15to1.17).

1.7 Participationintheworkoftechnicalcommitteesandsubcommittees

InJTC1,theISOproceduresfortwinningaresupported.Itisrecognizedthatmemberbodiesindeveloping countries often lack the resources to participate in all committees which may becarryingoutworkwhich is important for theirnational economy.Developing countrymemberbodiesarethereforeinvitedtoestablishP‐membertwinningarrangementswithP‐membersfromdevelopedcountries.Undersucharrangements,theleadP‐membershallbethedevelopedcountrymemberwhowillundertaketoensurethattheviewsofthetwinnedP‐memberarecommunicatedtoandtakenintoconsiderationbytheresponsibleISOcommittee.ThetwinnedP‐membershallconsequently also have the status of P‐member (see note) and be registered as a twinned P‐memberbytheCentralSecretariat.

NOTE Itislefttothememberbodiesconcernedtodeterminethemosteffectivewayofimplementingtwinning.ThismayincludeforexampletheP‐membersponsoringanexpertfromthetwinnedmemberbodytoparticipate in committeemeetingsor toact as anexpert inaworkinggroup,or itmay involve theP‐member seeking the views of the twinned member body on particular agenda items/documents andconveyingthosecommentstothecommittee,includingcastingavoteonbehalfofthetwinnedmemberbodyduringmeetings.Inordertoensurethegreatestpossibletransparency,thetwinnedmemberbodyshouldprovideitspositionsinwritingnotonlytothetwinningpartner,butalsotothecommitteesecretariat,whoshouldverifythatproxyvotescastonbehalfofthetwinnedmemberareconsistentwithitswrittenpositions.

The details of all twinning arrangements shall be notified to the secretariat and chair of thecommittee concerned, with the committeemembers and the office of the CEO being informedaccordinglytoensurethegreatestpossibletransparency.

AleadP‐membershalltwinwithonlyoneotherP‐memberinanyparticularcommittee.

ThetwinnedP‐membershallcastitsownvoteonallissuesreferredtothecommitteeforvotebycorrespondence.


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Formoreinformationontwinnings,see“TwinningGuidance"a linktowhichisprovidedintheAnnex“ReferenceDocuments”.

ConsistentwiththeISOStatutesandRulesofProcedure,correspondentandsubscribermembersarenoteligibleforP‐memberships.CorrespondentmembersofISOmayregisterasobserversofcommitteesbutdonothavetherighttosubmitcomments.

1.7.1 AllNationalBodieshavetherighttoparticipateintheworkoftechnicalcommitteesandsubcommittees.

In JTC1,nomore thanoneNationalBodyper country (eithermemberbodyof ISOorNationalCommitteeofIEC)ispermittedtobeamemberofJTC1andsimilarlyonlyoneNationalBodypercountryispermittedtobeamemberofaJTC1subcommittee.

Inordertoachievemaximumefficiencyandthenecessarydisciplineinthework,eachNationalBody shall clearly indicate to theofficeof theCEO,with regard toeach technical committeeorsubcommittee,ifitintends

— to participate actively in the work, with an obligation to vote on all questions formallysubmitted for voting within the technical committee or subcommittee, on new work itemproposals,enquirydraftsandfinaldraftInternationalStandards,andtocontributetomeetings(P‐members),or

— tofollowtheworkasanobserver,andthereforetoreceivecommitteedocumentsandtohavetherighttosubmitcommentsandtoattendmeetings(O‐members).

InJTC1,NationalBodiesthatchoosetobeP‐membersofacommitteehavetheadditionalobligationtovoteonallsystematicreviewballotsundertheresponsibilityofthatcommittee.

ANationalBodymaychoosetobeneitherP‐membernorO‐memberofagivencommittee,inwhichcaseitwillhaveneithertherightsnortheobligationsindicatedabovewithregardtotheworkofthat committee.Nevertheless, allNationalBodies irrespectiveof their statuswithin a technicalcommitteeorsubcommitteehavetherighttovoteonenquirydrafts(see2.6)andonfinaldraftInternationalStandards(see2.7).

InJTC1,thereisonlyonevotepercountry.

NationalBodieshavetheresponsibilitytoorganizetheirnationalinputinanefficientandtimelymanner,takingaccountofallrelevantinterestsattheirnationallevel.

1.7.2 Membership of a subcommittee is open to any National Body, regardless of theirmembershipstatusintheparenttechnicalcommittee.

MembersofatechnicalcommitteeshallbegiventheopportunitytonotifytheirintentiontobecomeaP‐orO‐memberofasubcommitteeatthetimeofitsestablishment.

Membershipofatechnicalcommitteedoesnotimplyautomaticmembershipofasubcommittee;NationalBodiesshallnotifytheirintendedstatusineachsubcommittee

1.7.3 ANationalBodymay,atanytime,beginorendmembershiporchangeitsmembershipstatus in any technical committee or subcommittee by informing the office of theCEO and thesecretariatofthecommitteeconcerned.


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1.7.4 AtechnicalcommitteeorsubcommitteesecretariatshallnotifytheChiefExecutiveOfficerifaP‐memberofthattechnicalcommitteeorsubcommittee

— has been persistently inactive and has failed to contribute to 2 successive technicalcommittee/subcommitteemeetings,eitherbydirectparticipationorbycorrespondenceandhasfailedtoappointanyexpertstothetechnicalwork,or

— InIEC:

hasfailedtovoteonquestionsformallysubmittedforvotingwithinthetechnicalcommitteeorsubcommittee(see1.7.1).

— InISO:

hasfailedtovoteonover20%(andatleast2)ofthequestionsformallysubmittedforvotingon the committee internal balloting (CIB)within the technical committee or subcommitteeoveronecalendaryear(see1.7.1).

InJTC1,theISOpolicyisfollowed.

Uponreceiptofsuchanotification,theChiefExecutiveOfficershallremindtheNationalBodyofitsobligationtotakeanactivepartintheworkofthetechnicalcommitteeorsubcommittee.Intheabsenceofasatisfactoryresponsetothisreminder,anduponpersistentcontinuationoftheabovearticulated shortcomings in required P‐member behaviour, the National Body shall withoutexceptionautomaticallyhaveitsstatuschangedtothatofO‐member.ANationalBodyhavingitsstatussochangedmay,afteraperiodof12months,indicatetotheChiefExecutiveOfficerthatitwishestoregainP‐membershipofthecommittee,inwhichcasethisshallbegranted.

NOTEthisclausedoesnotapplytothedevelopmentofGuides.

1.7.5 IfaP‐memberofatechnicalcommitteeorsubcommitteefailstovoteonanenquirydraftor final draft International Standard prepared by the respective committee, or in ISO on asystematic review ballot for a deliverable under the responsibility of the committee, the ChiefExecutive Officer shall remind the National Body of its obligation to vote. In the absence of asatisfactory response to this reminder, the National Body shall automatically have its statuschangedtothatofO‐member.ANationalBodyhavingitsstatussochangedmay,afteraperiodof12months, indicate to theChiefExecutiveOfficer that itwishes toregainP‐membershipof thecommittee,inwhichcasethisshallbegranted.

NOTEthisclausedoesnotapplytothedevelopmentofGuides.

InJTC1,theISOpolicyforsystematicreviewisfollowed.

1.8 Chairsoftechnicalcommitteesandsubcommittees

1.8.1 Appointment

Chairsoftechnicalcommitteesshallbenominatedbythesecretariatofthetechnicalcommitteeandapprovedbythetechnicalmanagementboard,foramaximumperiodof6years,orforsuchshorterperiodasmaybeappropriate.Extensionsareallowed,uptoacumulativemaximumof9years.


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Chairsofsubcommitteesshallbenominatedbythesecretariatofthesubcommitteeandapprovedbythetechnicalcommitteeforamaximumperiodof6years,orforsuchshorterperiodasmaybeappropriate.Extensionsareallowed,uptoacumulativemaximumof9years.Approvalcriterionfor both appointment and extension is a 2/3majority vote of the P‐members of the technicalcommittee.

Secretariatsoftechnicalcommitteesorsubcommitteesmaysubmitnominationsfornewchairsuptooneyearbeforetheendofthetermofexistingchairs.Chairsappointedoneyearbeforeshallbedesignatedasthe“chairelect”ofthecommitteeinquestion.Thisisintendedtoprovidethechairelectanopportunitytolearnbeforetakingoveraschairofacommittee.

In JTC 1, the ISO procedures for twinning are supported. The sharing of secretariats andchairmanships by developing and developed countries is strongly encouraged. Consequently,secretariatsindevelopedcountriesareencouragedtoconsiderthepossibilityofnominatingachairfromadevelopingcountryandsecretariatsindevelopingcountriesareencouragedtoconsiderthepossibilityofnominatingachairfromadevelopedcountry.

1.8.2 Responsibilities

The chair of a technical committee is responsible for the overallmanagement of that technicalcommittee,includinganysubcommitteesandworkinggroups.

Thechairofatechnicalcommitteeorsubcommitteeshall

a) actinapurelyinternationalcapacity,divestinghim‐orherselfofanationalposition;thuss/hecannotserveconcurrentlyasthedelegateofaNationalBodyinhisorherowncommittee;

b) guide the secretaryof that technical committeeorsubcommittee incarryingouthisorherduty;

c) conductmeetingswithaviewtoreachingagreementoncommitteedrafts(see2.5);

d) ensureatmeetingsthatallpointsofviewexpressedareadequatelysummedupsothattheyareunderstoodbyallpresent;

e) ensureatmeetingsthatalldecisionsareclearlyformulatedandmadeavailableinwrittenformbythesecretaryforconfirmationduringthemeeting;

f) takeappropriatedecisionsattheenquirystage(see2.6);

g) advise the technical management board on important matters relating to that technicalcommitteeviathetechnicalcommitteesecretariat.Forthispurpose,s/heshallreceivereportsfrom the chairs of any subcommittees via the subcommittee secretariats; In JTC 1,subcommitteechairmenreporttoJTC1ratherthanthetechnicalmanagementboards;

h) ensure that the policy and strategic decisions of the technical management board areimplementedinthecommittee;

i) ensuretheestablishmentandongoingmaintenanceofastrategicbusinessplancoveringtheactivities of the technical committee and all groups reporting to the technical committee,includingallsubcommittees.InJTC1,thesubcommitteechairensurestheestablishmentandongoingmaintenanceofthebusinessplan,coveringtheactivitiesofthesubcommittees;


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j) ensure the appropriate and consistent implementation and application of the committee'sstrategicbusinessplantotheactivitiesofthetechnicalcommittee’sorsubcommittee’sworkprogramme. In JTC 1, a subcommittee chair ensures the appropriate and consistentimplementationandapplicationofthesubcommittee’sbusinessplantotheactivitiesoftheworkprogramme.

k) assistinthecaseofanappealagainstacommitteedecision.

Incaseofunforeseenunavailabilityofthechairatameeting,asessionchairmaybeelectedbytheparticipants.

InJTC1,SCchairmenshallattendmeetingsofJTC1andmayparticipateinthediscussion,butdonothavetherighttovote.Inexceptionalcircumstances,ifachairmanispreventedfromattending,heorsheshalldelegatethesecretarytorepresentthesubcommittee.

1.8.3 Vice‐chairs(Twinning)

InJTC1,theISOproceduresfortwinningaresupported.Committeesareencouragedtoestablishchair/vice‐chair twinning arrangements between a developed country member body and adevelopingcountrymemberbody(withalimitofonevice‐chairpercommittee).Theleadpartner(chair)andthetwinnedpartner(vice‐chair)willbedecidedbymutualagreement.Vice‐chairsmustbe a P‐member (i.e. any P‐member whether through a twinning arrangement or not) in thecommitteeconcerned.Thesamerulesapplyfortheappointmentandtermofchairsandvice‐chairs.Thedelineationofresponsibilitiesshallbedecidedbymutualagreement(preferablyinatwinningagreement)betweenthechairandvice‐chair,withthecommitteemembersandtheofficeoftheCEObeinginformedaccordingly.


1.9 Secretariatsoftechnicalcommitteesandsubcommittees

1.9.1 Allocation

Thesecretariatof a technical committeeshallbeallocated toaNational Bodyby the technicalmanagementboard.

ThesecretariatofasubcommitteeshallbeallocatedtoaNational Bodybytheparenttechnicalcommittee.However,iftwoormoreNationalBodiesoffertoundertakethesecretariatofthesamesubcommittee,thetechnicalmanagementboardshalldecideontheallocationofthesubcommitteesecretariat.

JTC1shalldecideontheallocationofthesecretariatofasubcommitteeinallcases.

Forbothtechnicalcommitteesandsubcommittees,thesecretariatshallbeallocatedtoaNationalBodyonlyifthatNationalBody

a) hasindicatedits intentiontoparticipateactivelyintheworkofthattechnicalcommitteeorsubcommittee,and

b) hasacceptedthatitwillfulfilitsresponsibilitiesassecretariatandisinapositiontoensurethatadequateresourcesareavailableforsecretariatwork(seeD.2).


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Oncethesecretariatofa technicalcommitteeorsubcommitteehasbeenallocatedtoaNationalBody,thelattershallappointaqualifiedindividualassecretary(seeD.1andD.3).

1.9.2 Responsibilities

The National Body to which the secretariat has been allocated shall ensure the provision oftechnicalandadministrativeservicestoitsrespectivetechnicalcommitteeorsubcommittee.

Thesecretariatisresponsibleformonitoring,reporting,andensuringactiveprogressofthework,andshalluseitsutmostendeavourtobringthisworktoanearlyandsatisfactoryconclusion.Thesetasksshallbecarriedoutasfaraspossiblebycorrespondence.

The secretariat is responsible for ensuring that the ISO/IECDirectives and thedecisionsof thetechnicalmanagementboardarefollowed.

Asecretariatshallactinapurelyinternationalcapacity,divestingitselfofanationalpointofview.

Thesecretariatisresponsibleforthefollowingtobeexecutedinatimelymanner:

a) Workingdocuments:

i) Preparationofcommitteedrafts,arrangingfortheirdistributionandthetreatmentofthecommentsreceived;

ii) PreparationofenquirydraftsandtextforthecirculationofthefinaldraftInternationalStandardsorpublicationofInternationalStandards;

iii) EnsuringtheequivalenceoftheEnglishandFrenchtexts,ifnecessarywiththeassistanceofotherNationalBodiesthatareableandwillingtotakeresponsibilityforthelanguageversions concerned. (See also 1.11 and the respective Supplements to the ISO/IECDirectives).

InJTC1,textsareonlyrequiredtobepreparedinEnglish,exceptinexceptionalinstances.

b) Projectmanagement

i) Assistingintheestablishmentofprioritiesandtargetdatesforeachproject;

ii) Notifying the names, etc. of all working group and maintenance team convenors andprojectleaderstotheofficeoftheCEO;

iii) Proposing proactively the publication of alternative deliverables or cancellation ofprojects thatare runningsignificantlyovertime,and/orwhichappear to lacksufficientsupport;

c) Meetings(seealsoclause4),including:

i) Establishmentoftheagendaandarrangingforitsdistribution;

ii) Arrangingforthedistributionofalldocumentsontheagenda,includingreportsofworkinggroups,andindicatingallotherdocumentswhicharenecessaryfordiscussionduringthemeeting(seeE.5);


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3)Regardingthedecisions(alsoreferredtoasresolutions)takeninameetingensuringthatthedecisionsendorsingworkinggroupsrecommendationscontainthespecificelementsbeingendorsed;

— making thedecisions available inwriting for confirmationduring themeeting (seeE.5);and

— postingthedecisionswithin48hoursafterthemeetinginthecommittee'selectronicfolder.

4. Preparationoftheminutesofmeetingstobecirculatedwithin12weeksafterthemeeting;

5. Preparation of reports to the technicalmanagement board (TC secretariat), in the IECwithin 12 weeks after the meeting, or to the parent committee (SC secretariat);InJTC1,seealsoStandingDocument19on“Meetings”.

d) Advising

Providingadvicetothechair,projectleaders,andconvenorsonproceduresassociatedwiththeprogressionofprojects.

In all circumstances, each secretariat shall work in close liaisonwith the chair of its technicalcommitteeorsubcommittee.

ThesecretariatofatechnicalcommitteeshallmaintainclosecontactwiththeofficeoftheCEOandwith the members of the technical committee regarding its activities, including those of itssubcommitteesandworkinggroups.

ThesecretariatofasubcommitteeshallmaintainclosecontactwiththesecretariatoftheparenttechnicalcommitteeandasnecessarywiththeofficeoftheCEO.Itshallalsomaintaincontactwiththemembersofthesubcommitteeregardingitsactivities,includingthoseofitsworkinggroups.

The secretariat of a technical committeeor subcommittee shall update in conjunctionwith theofficeoftheCEOtherecordofthestatusofthemembershipofthecommitteeandinISOmaintainaregisterofthemembershipofitsworkinggroups.

In JTC 1, the ISO procedures for twinning are supported. Member bodies are encouraged toestablishsecretariat/co‐secretariattwinningarrangementsbetweenadevelopedcountrymemberbodyandadevelopingcountrymemberbody(withalimitofoneco‐secretariatpercommittee).Theleadpartner(secretariat)andthetwinnedpartner(co‐secretariat)willbedecidedbymutualagreement.Co‐secretariatsmustbefrommemberbodiesholdingP‐membershipinthecommitteeconcerned(eitherdirectlyorviaatwinningarrangement).Thesamerulesapplyfortheallocationof secretariats and co‐secretariats, aswell as secretaries and co‐secretaries. The delineation ofresponsibilities shall be decidedbymutual agreement between themember bodies concerned,withthecommitteemembersandtheofficeoftheCEObeinginformedaccordingly.



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1.9.3 Changeofsecretariatofatechnicalcommittee

IfaNationalBodywishestorelinquishthesecretariatofatechnicalcommittee,theNationalBodyconcernedshallimmediatelyinformtheChiefExecutiveOfficer,givingaminimumof12months'notice. The technical management board decides on the transfer of the secretariat to anotherNationalBody.

Ifthesecretariatofatechnicalcommitteepersistentlyfailstofulfilitsresponsibilitiesassetoutintheseprocedures,theChiefExecutiveOfficeroraNationalBodymayhavethematterplacedbeforethetechnicalmanagementboard,whichmayreviewtheallocationofthesecretariatwithaviewtoitspossibletransfertoanotherNationalBody.

In JTC 1, the ISO procedures for twinning are supported. When a member body wishing torelinquish a secretariat has entered into a twinning arrangement with a member body in adeveloping country, the ISO/TMB shall decidewhether to offer the secretariat to the latter orwhethertoapplythenormalprocedureforreallocationofthesecretariatin1.9.1.

1.9.4 Changeofsecretariatofasubcommittee

If a National Bodywishes to relinquish the secretariat of a subcommittee, the National Bodyconcerned shall immediately inform the secretariat of theparent technical committee, giving aminimumof12months'notice.

Ifthesecretariatofasubcommitteepersistentlyfailstofulfilitsresponsibilitiesassetoutintheseprocedures,theChiefExecutiveOfficeroraNationalBodymayhavethematterplacedbeforetheparent technical committee, which may decide, by majority vote of the P‐members, that thesecretariatofthesubcommitteeshouldbere‐allocated.

IneitheroftheabovecasesanenquiryshallbemadebythesecretariatofthetechnicalcommitteetoobtainoffersfromotherP‐membersofthesubcommitteeforundertakingthesecretariat.

IftwoormoreNationalBodiesoffertoundertakethesecretariatofthesamesubcommitteeorif,becauseofthestructureofthetechnicalcommittee,there‐allocationofthesecretariatislinkedwith the re‐allocation of the technical committee secretariat, the technicalmanagement boarddecidesonthere‐allocationofthesubcommitteesecretariat.Ifonlyoneofferisreceived,theparenttechnicalcommitteeitselfproceedswiththeappointment.

In JTC 1, the ISO procedures for twinning are supported. When a member body wishing torelinquish a secretariat has entered into a twinning arrangement with a member body in adevelopingcountry,thenormalprocedureforreallocationofthesecretariatshallbecarriedout(see1.9.1).

JTC1shalldecideonthereallocationofthesecretariatofasubcommitteeinallcases.

1.10 Projectcommittees

Project committees are established by the technical management board to prepare individualstandardsnotfallingwithinthescopeofanexistingtechnicalcommittee.

NOTE Suchstandardscarryonereferencenumberbutmaybesubdividedintoparts.

ProceduresforprojectcommitteesaregiveninAnnexK.


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Projectcommitteeswishingtobetransformedintoatechnicalcommitteeshallfollowtheprocessfortheestablishmentofanewtechnicalcommittee(see1.5).

1.11 Editingcommittees

Itisrecommendedthatcommitteesestablishoneormoreeditingcommitteesforthepurposeofupdatingandeditingcommitteedrafts,enquirydraftsandfinaldraftInternationalStandardsandforensuringtheirconformitytotheISO/IECDirectives,Part2(seealso2.6.6).

Suchcommitteesshouldcompriseatleast

— onetechnicalexpertofEnglishmothertongueandhavinganadequateknowledgeofFrench;

— onetechnicalexpertofFrenchmothertongueandhavinganadequateknowledgeofEnglish;

— theprojectleader(see2.1.8).

Theprojectleaderand/orsecretarymaytakedirectresponsibilityforoneofthelanguageversionsconcerned.

InJTC1,theworkinglanguageisEnglish,thoughaworkingknowledgeofFrenchmayberequiredforcertaindocuments.TechnicalexpertiseinFrenchisnotrequiredunlessatextinFrenchisbeingdeveloped.

InIEC,arepresentativeoftheofficeoftheCEOwillattendeditingcommitteemeetingsifrequired.

Editing committees shall meet when required by the respective technical committee orsubcommitteesecretariatforthepurposeofupdatingandeditingdraftswhichhavebeenacceptedbycorrespondenceforfurtherprocessing.

Editingcommitteesshallbeequippedwithmeansofprocessingandprovidingtextselectronically(seealso2.6.6).

InJTC1,analternativeprocessisused.

Aprojecteditorisassignedresponsibilityfortheeditingandupdatingofcommitteedrafts,enquirydrafts and final draft International Standards and for ensuring their conformity to the ISO/IECDirectives,Part2(seealso2.6.6).

Aprojecteditorshouldbeidentifiedasearlyaspossibleforeachstandardorotherdocumentunderdevelopment.Theprojecteditor isappointedby the subcommitteeand shall follow theeditinginstructionsgivenbytheentityresponsiblefortheproject.

It is the responsibilityof theproject editor tomaintain thedocument throughout the stagesoftechnicalwork,i.e.untilpublication.TheForewordofthefinaltextofthedeliverableshallindicatetheJTC1subcommitteeresponsibleforthedeliverable.

After publication, the project editor should maintain an updated document incorporating allapprovedcorrigendaandamendmentssothatarevisionmaybepublishedwithminimumdelaywhen appropriate. The Foreword of the revision shall list all amendments and corrigendaincorporatedtherein.


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JTC1oritssubgroupsmayestablisheditinggroupstoassisttheprojecteditorinensuringthebestpossible editorial presentation of drafts in conformity with the ISO/IEC Directives, Part 2. Anediting group works under the responsibility of the secretariat of JTC 1 or the subgroup thatestablishedit.

Aprojecteditorshallactinapurelyinternationalcapacity,divestinghim‐orherselfofanationalpointofview.

ResponsibilityforanychangesofprojecteditorsrestswiththecommitteeandnotwiththeNationalBody(orliaisonorganization).

1.12 Workinggroups

1.12.1 Technicalcommitteesorsubcommitteesmayestablishworkinggroupsforspecifictasks(see2.4).Aworkinggroupshallreporttoitsparenttechnicalcommitteeorsubcommitteethroughaconvenorappointedbytheparentcommittee.

Workinggroupconvenorsshallbeappointedbythecommitteeforuptothree‐yeartermsendingatthenextplenarysessionoftheparentcommitteefollowingtheterm.SuchappointmentsshallbeconfirmedbytheNationalBody(orliaisonorganization).Theconvenormaybereappointedforadditionaltermsofuptothree‐years.Thereisnolimittothenumberofterms.

ResponsibilityforanychangesofconvenorsrestswiththecommitteeandnotwiththeNationalBody(orliaisonorganization).

The convenormay be supported by a secretariat, as needed. In JTC 1, the ISO procedures fortwinningaresupported.Committeesareencouragedtoestablishconvenor/co‐convenortwinningarrangementsbetweenadevelopedcountrymemberbodyandadevelopingcountrymemberbody(witha limitofoneco‐convenorperworkinggroup).Theleadpartner(convenor)andtwinnedpartner(co‐convenor)willbedecidedbymutualagreement.Convenorsandco‐convenorsmustbefromtheP‐membersinthecommitteeconcerned(eitherdirectlyorviaatwinningarrangement).The same rules apply for the appointment of co‐convenors and convenors. The delineation ofresponsibilities shall be decided by mutual agreement (preferably in a twinning agreement)betweentheconvenorandco‐convenor,withtheparentcommitteeandtheofficeoftheCEObeinginformedaccordingly.

Note that co‐convenors are only possible through twinning arrangements and Joint WorkingGroups(JWG)–see1.12.6.


A working group comprises a restricted number of experts individually appointed by theP‐members,A‐liaisonsoftheparentcommitteeandD‐liaisonorganizations,broughttogethertodealwiththespecifictaskallocatedtotheworkinggroup.TheexpertsactinapersonalcapacityandnotastheofficialrepresentativeoftheP‐memberorA‐liaisonorganization(see1.17)bywhichtheyhavebeenappointedwiththeexceptionofthoseappointedbyD‐liaisonorganizations(see1.17). However, it is recommended that they keep close contact with that P‐member ororganizationinordertoinformthemabouttheprogressoftheworkandofthevariousopinionsintheworkinggroupattheearliestpossiblestage.

InJTC1,NationalBodiesthatareP‐membersorO‐membersoftheparentbodyandorganizationsinliaisonCategoryAandCategoryC(see1.17)mayappointexpertsasmembersofaworkinggroup.


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Internal organizations (e.g. other subcommitteesor other ISOor IEC technical committees, see1.16)mayalsoparticipateinworkinggroupmeetings.

Itisrecommendedthatworkinggroupsbereasonablylimitedinsize.ThetechnicalcommitteeorsubcommitteemaythereforedecideuponthemaximumnumberofexpertsappointedbyeachP‐memberandliaisonorganization.

Once the decision to set up aworking group has been taken, P‐members andA‐ andD‐liaisonorganizationsshallbeofficiallyinformedinordertoappointexpert(s).Workinggroupsshallbenumberedinsequenceintheorderinwhichtheyareestablished.

Whenacommitteehasdecidedtosetupaworkinggroup,theconvenororactingconvenorshallimmediatelybeappointedandshallarrangeforthefirstmeetingoftheworkinggrouptobeheldwithin 12 weeks.. This information shall be communicated immediately after the committee’sdecisiontotheP‐membersofthecommitteeandA‐andD‐liaisonorganizations,withaninvitationtoappointexpertswithin6weeks.

InJTC1,theparentbodyshallassignresponsibilityfortheadministrationofaworkinggrouptoaconvenor,ifnecessarysupportedbyasecretariat.AnysecretariatshallbeeitheraNationalBodyoranorganizationendorsedbytheNationalBody.TheNationalBodymustconfirminwritingitsconsenttothearrangementbeforeitcanbeeffected.ConvenorshipsofallWG’sshallbehallbeforanominalthree‐yeartermsendingatthenextplenarysessionoftheparentbodyfollowingthethree‐yearterm.TheConvenormaybereappointedforadditionalthree‐yearterms.

1.12.2 ThenamesandcontactinformationoftheworkinggroupexpertsshallbemadeavailabletotheotherworkinggroupexpertsandmaintainedbytheNationalBodies(ortheofficeoftheCEOforliaisonorganization)ofthemembersoftheparentcommittee.

Thecompositionof theworkinggroup isdefinedintheISOGlobalDirectory(GD)or intheIECExpertManagementSystem(IES)asappropriate.ExpertsnotregisteredtoaworkinggroupintheISOGDortheIECEMSrespectively,maynotparticipateinitswork.

1.12.3 Persistently inactive experts, meaning absence of contributions through attendance toworkinggroupmeetingsorbycorrespondenceshallberemoved,bytheofficeoftheCEOattherequest of the technical committee or sub‐committee secretary, from working groups afterconsultationwiththeP‐member.

1.12.4 Oncompletionofitstask(s)—normallyattheendoftheenquirystage(see2.6)ofitslastproject— theworking group shall be disbanded, theproject leader remainingwith consultantstatusuntilcompletionofthepublicationstage(see2.8).

JTC1workinggroupsandJTC1Subcommitteeworkinggroupsareestablishedbyresolutionoftheparentcommitteetoexpeditedevelopmentofoneormoreapprovedworkitems,andaworkinggroupmayexist as longas ithas responsibility for approvedwork items. Workinggroupsareterminatedbyresolutionoftheparentcommitteeaftercompletionorremovalofallworkitemsthat have been assigned to the working group. Additional projects may be assigned, whereappropriate,toexistingworkinggroups.

1.12.5 Distributionoftheinternaldocumentsofaworkinggroupandofitsreportsshallbecarriedout in accordance with procedures described in the respective Supplements of the ISO/IECDirectives.


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1.12.6 Inspecialcasesajointworkinggroup(JWG)maybeestablishedtoundertakeaspecifictaskin which more than one ISO and/or IEC technical committee or subcommittee is interested.CommitteeswhoreceiverequeststoestablishJWGshallreplytosuchrequestsinatimelymanner.

NOTEForspecificrulesconcerningJWGsbetweenISOcommitteesandIECcommittees,seeAnnexBinadditiontothefollowing.

The decision to establish a joint working group shall be accompanied by mutual agreementbetweenthecommitteeson:

— thecommittee/organizationhavingtheadministrativeresponsibilityfortheproject;

— theconvenorofthejointworkinggroup,whoshallbenominatedbyaP‐memberfromoneofthecommittees,withtheoptiontoappointaco‐convenorfromtheothercommittee;

— themembershipofthejointworkinggroup(membershipmaybeopentoallP‐membersandCategoryA,C(JTC1only)andD‐liaisonsthatwishtoparticipatewhichmaybelimitedtoanequalnumberofrepresentativesfromeachcommittee,ifagreed.

Thecommittee/organizationwiththeadministrativeresponsibilityfortheprojectshall:

— recordtheprojectintheirprogrammeofwork;

— beresponsibleforaddressingcomments(usuallyreferredbacktotheJWG)andensurethatthecommentsandvotesatallstagesoftheprojectarecompiledandhandledappropriately(see2.5,2.6and2.7)–allcommentsaremadeavailabletotheleadershipofthecommittees;

— preparedraftsforthecommittee,enquiryandapprovalstagesaccordingtoproceduresgivenin2.5,2.6and2.7;

— beresponsibleformaintenanceofthepublication.

ApprovalcriteriaarebasedontheDirectivesusedbythecommitteewiththeadministrativelead.IftheleadcommitteeisaJTC1committee,theConsolidatedJTC1Supplementalsoapplies.

Forproposalstage(NP):

‐ itispossibletoestablishaJWGatalaterstage,inwhichcaseitsadministrativeleadwillbeconfirmedbytheTCsconcerned.

‐ oncethejointworkisagreed,thecommitteewiththeadministrativeleadinformsISO/CSorIEC/COrespectively,ofitsleadandofthecommitteesparticipatinginthework.

‐ theotherTCslaunchacallforexpertsforparticipationintheJWG.

Forpreparatorystage(WD)

‐ TheJWGfunctionslikeanyotherWG:consensusisrequiredtoadvancetoCD.

Forcommitteestage(CD)

‐ TheCDiscirculatedforreviewandcommentbyeachcommittee.

‐ ThefinalCDrequiresconsensusbyallcommittees,asdefinedintheISO/IECDirectives,Part1

ForDISandFDISballots


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‐ NationalBodiesarerequestedtoconsultallnationalmirrorcommitteesinvolvedtodefineoneposition.AstatementisincludedonthecoverpagetodrawattentionofNSBs.

‐ForanISO/IECJWG,twoDIS/FDISvotesarelaunched,i.e.oneineachorganization.ForanISOandISO/IECJTC1JWG,oneDIS/DISvoteislaunched(anISOandIECmember’sballot)

TheForewordidentifiesallcommitteesinvolvedinthedevelopmentofthedeliverable.

1.13 Groupshavingadvisoryfunctionswithinacommittee

In JTC1,StandingDocument10“AdvisoryandAdhocGroups”providesadditional informationregardingtheestablishmentofadvisorygroups.

1.13.1 A group having advisory functions may be established by a technical committee orsubcommitteetoassistthechairandsecretariat intasksconcerningcoordination,planningandsteeringofthecommittee’sworkorotherspecifictasksofanadvisorynature.

1.13.2 A proposal to establish such a group shall include recommendations regarding itsconstitution,bearing inmind the requirement for sufficient representationof affected interestswhileatthesametimelimitingitssizeasfaraspossibleinordertoensureitsefficientoperation.MembersofadvisorygroupsshallbenominatedbyNationalBodies.Theparentcommitteeshallapprovethefinalconstitution.

InJTC1,theISOproceduresfortwinningaresupported.InordertoachievegreaterinvolvementbyNational Bodies in developing countries in the governance of ISO committees, it is stronglyrecommendedthatspecialprovisionsbemadetoallocateplacesforrepresentativesofdevelopingcountries in any advisory groups established by a committee. Those representatives shall benominatedbymemberbodiesholdingP‐membershipinthecommitteeconcerned(eitherdirectlyorviaatwinningarrangement).

In JTC1, advisory groups may decide to invite liaison organizations and external experts toparticipate.

1.13.3 Thetasksallocatedtosuchagroupmay includethemakingofproposalsrelatingtothedrafting or harmonization of publications (in particular International Standards, TechnicalSpecifications,PubliclyAvailableSpecificationsandTechnicalReports),butshallnotincludethepreparationofsuchdocuments.

1.13.4 Theresultsofsuchagroupshallbepresentedintheformofrecommendationstothebodythatestablishedthegroup.Therecommendationsmayincludeproposalsfortheestablishmentofaworkinggroup(see1.12)orajointworkinggroup(see1.12.6)forthepreparationofpublications.

1.13.5 The internal documents of a grouphaving advisory functions shall be distributed to itsmembersonly,withacopytothesecretariatofthecommitteeconcernedandtotheofficeoftheCEO.

1.13.6 Suchagroupshallbedisbandedonceitsspecifiedtaskshavebeencompleted.

1.14 Adhocgroups

InJTC1,StandingDocument10on“AdvisoryandAdhocGroups”providesadditionalinformationregardingtheestablishmentofadhocgroups.


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Technicalcommitteesorsubcommitteesmayestablishadhocgroups,thepurposeofwhichistostudyapreciselydefinedproblemonwhichthegroupreportstoitsparentcommitteeatthesamemeeting,oratthelatestatthenextmeeting.

InJTC1,workinggroupsmayalsocreateadhocgroups.

Themembershipofanadhocgroupshallbechosenfromthedelegatespresentatthemeetingoftheparentcommittee, supplemented, ifnecessary,byexpertsappointedby thecommittee.Theparentcommitteeshallalsoappointarapporteur.

InJTC1,themembershipofadhocgroupsmaybeextendedtoexpertsnotpresentatthemeetingwheretheadhocgroupwasformed(e.g.additionalNationalBodyorliaisonorganizationexperts).

InJTC1,thetermconvenorisusedinsteadofrapporteur.

An adhoc group shallbeautomaticallydisbandedat themeeting towhich ithaspresented itsreport.

1.15 Liaisonbetweentechnicalcommittees

InJTC1,seeStandingDocument15on“Liaisons”foradditionalrequirements.

1.15.1 Withineachorganization,technicalcommitteesand/orsubcommitteesworkinginrelatedfieldsshallestablishandmaintain liaison.Liaisonsshallalsobeestablished,whereappropriate,with technical committees responsible for basic aspects of standardization (e.g. terminology,graphical symbols).Liaisonshall include theexchangeofbasicdocuments, includingnewworkitemproposalsandworkingdrafts.

InJTC1,committeesmaypassaresolutiontodecideontheestablishmentofaninternalliaison.Committeesreceivingrequests for internal liaisonscannotrefusesuchrequestsandthere isnoneedforthecommitteereceivingtherequesttopassaresolutionconfirmingitsacceptance.

1.15.2 Themaintenanceofsuchliaisonistheresponsibilityoftherespectivetechnicalcommitteesecretariats,whichmaydelegatethetasktothesecretariatsofthesubcommittees.

1.15.3 Atechnicalcommitteeorsubcommitteemaydesignateanobserver,orobservers,tofollowthework of another technical committeewithwhich a liaison has been established, or one orseveralofitssubcommittees.Thedesignationofsuchobserversshallbenotifiedtothesecretariatofthecommitteeconcerned,whichshallcommunicateallrelevantdocumentstotheobserverorobservers and to the secretariat of that technical committee or subcommittee. The appointedobservershallmakeprogressreportstothesecretariatbywhichs/hehasbeenappointed.

1.15.4 Suchobserversshallhavetherighttoparticipateinthemeetingsofthetechnicalcommitteeorsubcommitteewhoseworktheyhavebeendesignatedtofollowbutshallnothavetherighttovote. They may contribute to the discussion in meetings, including the submission of writtencomments, onmatters within the competence of their own technical committee and based onfeedbackthat theyhavecollected fromtheirowncommittee.Theymayalsoattendmeetingsofworkinggroupsofthetechnicalcommitteeorsubcommittee,butonlytocontributetheviewpointof their own technical committee on matters within its competence, and not to otherwiseparticipateinworkinggroupactivities.


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1.16 LiaisonbetweenISOandIEC

1.16.1 Arrangements for adequate liaison between ISO and IEC technical committees andsubcommittees are essential. The channel of correspondence for the establishment of liaisonbetweenISOandIECtechnicalcommitteesandsubcommitteesisthroughtheofficesoftheCEOs.Asfarasthestudyofnewsubjectsbyeitherorganizationisconcerned,theCEOsseekagreementbetweenthetwoorganizationswheneveraneworrevisedprogrammeofworkiscontemplatedintheoneorganizationwhichmaybeofinteresttotheother,sothattheworkwillgoforwardwithoutoverlaporduplicationofeffort.(SeealsoAnnexB.)

1.16.2 ObserversdesignatedbyISOorIECshallhavetherighttoparticipateinthediscussionsofthe other organization's technical committee or subcommittee whose work they have beendesignatedtofollow,andmaysubmitwrittencomments;theyshallnothavetherighttovote.

1.17 Liaisonwithotherorganizations

1.17.1Generalrequirementsapplicabletoallcategoriesofliaisons

In order to be effective, liaison shall operate in both directions, with suitable reciprocalarrangements.

Thedesirabilityofliaisonshallbetakenintoaccountatanearlystageofthework.

The liaison organization shall accept the policy based on the ISO/IEC Directives concerningcopyright(see2.13),whetherownedbytheliaisonorganizationorbyotherparties.Thestatementon copyright policywill be provided to the liaison organizationwith an invitation tomake anexplicitstatementastoitsacceptability.Theliaisonorganizationisnotentitledtochargeafeefordocumentssubmitted.

AliaisonorganizationshallbewillingtomakeacontributiontothetechnicalworkofISOorIECasappropriate. A liaison organization shall have a sufficient degree of representativity within itsdefinedareaofcompetencewithinasectororsubsectoroftherelevanttechnicalorindustrialfield.

AliaisonorganizationshallagreetoISO/IECprocedures,includingIPR(see2.13).

Liaisonorganizationsshallaccepttherequirementsof2.14onpatentrights.

Technicalcommitteesandsubcommitteesshallreviewalltheirliaisonarrangementsonaregularbasis,atleastevery2years,orateverycommitteemeeting.

InJTC1,anditssubgroups,liaisonrelationshipsshallbereviewedannually.

1.17.2Differentcategoriesofliaisons

InJTC1,seealsoStandingDocument15on“Liaisons”.

1.17.2.1Atthetechnicalcommittee/subcommitteelevel(CategoryAandBliaisons)

Thecategoriesofliaisonsatthetechnicalcommittee/subcommitteelevelsare:

CategoryA:Organizationsthatmakeaneffectivecontributiontotheworkofthetechnicalcommittee or subcommittee for questions dealt with by this technical committee or


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subcommittee.Suchorganizationsaregivenaccesstoallrelevantdocumentationandareinvitedtomeetings.TheymaynominateexpertstoparticipateinaWG(see1.12.1).

CategoryB:Organizationsthathaveindicatedawishtobekeptinformedoftheworkofthetechnicalcommitteeorsubcommittee.Suchorganizationsaregivenaccesstoreportsontheworkofatechnicalcommitteeorsubcommittee.

NOTE CategoryBisreservedforinter‐governmentalorganizations.

1.17.2.2Attheworkinggrouplevel(CategoryDliaisons)

Thecategoryofliaisonsattheworkinggrouplevelis:

CategoryD1:Organizationsthatmakeatechnicalcontributiontoandparticipateactivelyintheworkofaworkinggroup.Thiscanincludemanufacturerassociations,commercialassociations, industrial consortia, user groups and professional and scientific societies.Liaison organizations shall be multinational (in their objectives and standardsdevelopment activities)with individual, company or countrymembership andmay bepermanentortransientinnature.

InJTC1,CategoryDliaisonisnotused.

1.17.3Eligibility


WhenanorganizationappliesforaliaisonwithanISOtechnicalcommittee/subcommittee,theofficeof theCEOwill checkwith thememberbody in the country inwhich theorganization islocated.Ifthememberbodydoesnotagreethattheeligibilitycriteriahavebeenmet,thematterwillbereferredtotheTMBtodefinetheeligibility.

TheofficeoftheCEOwillalsoensurethattheorganizationmeetsthefollowingeligibilitycriteria:

‐ itisnot‐for‐profit;

‐ isalegalentity–theofficeoftheCEOwillrequestacopyofitsstatutes;

‐ itismembership‐basedandopentomembersworldwideoroverabroadregion;

‐ through its activities and membership demonstrates that it has the competence andexpertisetocontributetothedevelopmentofInternationalStandardsortheauthoritytopromotetheirimplementation;and

‐ hasaprocessforstakeholderengagementandconsensusdecision‐makingtodeveloptheinputitprovides(inISO,seeGuidanceforISOliaisonorganizations‐Engagingstakeholdersandbuildingconsensushttp://www.iso.org/iso/guidance_liaison‐organizations.pdf).


Whenanorganizationappliesforaliaisonwithaworkinggroup,theofficeoftheCEOwillcheckwiththememberbodyinthecountryinwhichtheorganizationislocatedandwillensurethatthe

1CategoryCliaisonisreservedforISO/IECJTC1.


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organizationmeetsthefollowingeligibilitycriteria:



‐ hasaprocessforstakeholderengagementandconsensusdecision‐makingtodeveloptheinputitprovides(inISO,seeGuidanceforISOliaisonorganizations‐Engagingstakeholdersandbuildingconsensushttp://www.iso.org/iso/guidance_liaison‐organizations.pdf).

InJTC1,CategoryDliaisonisnotused.

1.17.4Acceptance(CategoryA,BandD liaisons)Agreement toestablishCategoryA,BandDliaisonsrequiresapprovaloftheapplicationbytwo‐thirdsoftheP‐membersvoting.Committeesareurgedtoseekouttheparticipationofallpartiesatthebeginningofthedevelopmentofaworkitem. Where a request for categoryD liaison is submitted late in the development stage of aparticularworkitem,theP‐memberswillconsiderthevaluethatcanbeaddedbytheorganizationinquestiondespiteitslateinvolvementintheworkinggroup.

1.17.5Rightsandobligations


Technicalcommitteesandsubcommitteesshallseekthefulland,ifpossible,formalbackingoftheorganizations having liaison status for each document in which the latter is interested. Anycomments from liaison organizations should be given the same treatment as comments frommemberbodies.Itshouldnotbeassumedthatrefusalbyaliaisonorganizationtoprovideitsfullbacking isa sustainedopposition.Wheresuchobjectionsareconsideredsustainedoppositions,committeesareinvitedtorefertoclause2.5.6forfurtherguidance.


CategoryDliaisonorganizationshavetherighttoparticipateasfullmembersinaworkinggroup,maintenanceteamorprojectteam(see1.12.1)butnotasprojectleadersorconvenors.CategoryDliaisonexpertsactastheofficialrepresentativeoftheorganizationbywhichtheyareappointed.Theymayonlyattendcommitteeplenarymeetingsifexpresslyinvitedbythecommitteetoattend.Iftheyareinvitedbythecommitteetoattend,theymayonlyattendasobservers.InJTC1,CategoryDliaisonisnotused.

1.17.6Carrying over liaisons when a project committee is converted into a technicalcommitteeorasubcommittee

When a project committee is converted to a technical committee or a subcommittee, the newtechnicalcommitteeorsubcommitteeshallpassaresolutionconfirmingwhichcategoryAandBliaisonsarecarriedover.Approvaloftheresolutionrequiresa2/3majorityofP‐membersvoting.

1.17.7CategoryCLiaison

InJTC1,CategoryCisusedtodesignateliaisonsattheprojectorworkinggrouplevel.

Thecategoryofliaisonisasfollows:


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CategoryC:OrganisationswhichmakeaneffectivetechnicalcontributionandparticipateactivelyattheworkinggrouporprojectlevelofJTC1oritssubcommittees.

1.17.7.1AcceptanceCriteria

CategoryCliaisonsareproposedbyJTC1totheITTFafterreceivingarecommendationfromtheappropriateJTC1subsidiarybody,i.e.anSC(orWGreportingdirectlytoJTC1).Eachrequestforliaison status forwarded to JTC 1 from an appropriate JTC 1 subsidiary body must contain astatementofexpectedbenefitsandresponsibilitiesacceptedbyboththeJTC1organisationandtheorganisationrequestingliaisonstatus.

1.17.7.2 ManagementofLiaisons

TheITTFmustreaffirmtheliaisonstatusoftheorganisationifthereiscontinuedevidenceofactiveparticipationintheworkoftheWGorprojectandappropriateNBparticipationexists.Ifarequestfor liaison is considered by JTC 1 in the first instance, and Category C liaison is thought to beapplicable, JTC1may request the appropriate JTC1 subsidiary body or bodies to consider therequestandapplytheaboveprocedure.

1.17.7.3 ReviewofLiaisons

In JTC1 and its subgroups, liaison relationships shall be reviewed annually. The result of thisreviewshallbeforwardedtoITTFforfurtheraction.

1.17.7.4 RightsandObligations

Representativesshallhavetherighttoparticipateinthemeetingsofthesubcommitteeorworkinggroupwhoseworktheyhavebeendesignatedtofollowbutshallnothavetherighttovote.Theymaycontributetothediscussioninmeetings,includingthesubmissionofwrittencontributions,onmatterswithinthecompetenceoftheirorganisation.

InJTC1,JTC1willworktowardseliminatingbarrierstoaccessingorparticipatinginJTC1activitiesanditsbodyofwork,especiallyforpeoplewithdisabilitiesandolderusers.

1.17.7.5 EligibilityCriteria

Whenanorganizationappliesforaliaisonwithaworkinggroup,theCentralSecretariatwillcheckwiththememberbodyinthecountryinwhichtheorganizationislocatedandwillensurethattheorganizationmeetsthefollowingeligibilitycriteria:



‐ hasaprocessforstakeholderengagementandconsensusdecision‐makingtodeveloptheinputitprovidestoISO(seeGuidanceforISOliaisonorganizations‐Engagingstakeholdersandbuildingconsensushttp://www.iso.org/iso/guidance_liaison‐organizations.pdf).


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1.17.8 CategoryALiaisonwithITU‐T

In JTC1, auniqueCategoryA liaisonwith the ITU‐T ismaintained.SeeAnnex JBand the JTC1StandingDocument3on“GuideforITU‐TandISO/IECJTC1Cooperation”.

1.17.8.1 LiaisonwithITU‐T

AllcontributionstoITU‐TshouldbesubjecttoITU‐TRecommendationsA.1andA.2,andotherITU‐Trequirementsasmaybeimposed.Specifically,

eachcontributionshouldidentifywhich,ifany,priorcontributionsitsupersedes;

each contribution should be addressed to only one study group. However, other studygroupswhichmaybeinterestedinthecontributionmayalsobeidentified.

1.17.8.2 CollaborativeRelationshipwithITU‐T

TwomodesofcollaborationwithITU‐TaredefinedinStandingDocument3“GuideforITU‐TandISO/IEC JTC1 Cooperation” collaborative interchange and collaborative team. A JTC1 SC, inagreementwiththecorrespondingITU‐Tstudygroup,mayestablisheitherofthesetwomodesofcollaborationasappropriate.JTC1shallmakeconsidereddecisionswhenitcomestocollaborationwithITU‐T,evaluatingeachproposedprojectonacase‐by‐casebasis.

JTC1shallconsideratleastthefollowingcriteriaforeachproposal:

1. Takingaccountofscarcetechnicalresources;

2. TakingaccountoftheJTC1scope;

3. Maximizingtheefficiencyofthestandardsdevelopmentprocess;

4. Enhancingtimetomarketofstandardsimplementations;

5. Consideringtheimpactofpossibleduplicativestandards,and

6. RecognizingcollaborativeworkwithITU‐Tinthespecificareaoftechnologyrelatedtotheproposal.

When collaboration is planned from the onset of a new work item, the rationale (such asrecognitionthatexpertisemissingintheJTC1SCispresentinanITU‐Tstudygroupwithapplicablescopeofwork)and termsof reference for thecollaborativeproject shallbe included in theNPdocumentation,ensuringwidevisibilityofthisproposedcollaborationwithinJTC1.

WhencollaborationisconsideredafterthestartofaJTC1project,anyadditionofacollaborativeprojectcanbeconsideredamodificationoftheSC’sProgramofWorkandtreatedasprescribedbytheJTC1ConsolidatedSupplementbyadefaultballot(see2.1.5.7andJA1.4).Therationalandproposedtermsofreferenceforthecollaborativeprojectshallaccompanythedefaultballot.

ProceduresfortheoperationofthetwomodesofcollaborationaredefinedinStandingDocument3 “Guide for ITU‐T and ISO/IEC JTC1 Cooperation”. These procedures deal primarilywith thesynchronisationofapprovalactionsbyJTC1andITU‐Tandareintendedtosupplement,notmodifyJTC1approvalrequirements.


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2 DevelopmentofInternationalStandards

2.1 Theprojectapproach

2.1.1 General

Theprimarydutyofatechnicalcommitteeorsubcommitteeisthedevelopmentandmaintenanceof International Standards. However, committees are also strongly encouraged to considerpublicationofintermediatedeliverablesasdescribedinClause3.

InternationalStandardsshallbedevelopedonthebasisofaprojectapproachasdescribedbelow.

2.1.2 Strategicbusinessplan

Eachtechnicalcommitteeshallprepareastrategicbusinessplanforitsownspecificfieldofactivity,

a) takingintoaccountthebusinessenvironmentinwhichitisdevelopingitsworkprogramme;

b) indicatingthoseareasoftheworkprogrammewhichareexpanding,thosewhichhavebeencompleted, and thosenearing completion or in steadyprogress, and thosewhichhave notprogressedandshouldbedeleted(seealso2.1.9);

c) evaluating revision work needed (see also the respective Supplements to the ISO/IECDirectives);

d) givingaprospectiveviewonemergingneeds.

The strategic business plan shall be formally agreed upon by the technical committee and beincluded in itsreport forreviewandapprovalbythetechnicalmanagementboardonaregularbasis.

2.1.3 Projectstages

2.1.3.1 Table 1 shows the sequence of project stages through which the technical work isdeveloped, and gives the name of the document associated with each project stage. ThedevelopmentofTechnicalSpecifications,TechnicalReportsandPubliclyAvailableSpecificationsisdescribed in Clause3. In JTC1, the JTC1 PAS (Publicly Available Specification) Transpositionprocess isadifferentprocess fromtheone that results inPASdeliverables in ISOand IEC (seeAnnexF).

Table1—Projectstagesandassociateddocuments

ProjectstageAssociateddocument

Name Abbreviation

Preliminarystage Preliminaryworkitem PWI

Proposalstage Newworkitemproposala NP

Preparatorystage Workingdraft(s)a WD

Committeestage Committeedraft(s)a CD


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Enquirystage Enquirydraftb ISO/DISIEC/CDV

Approvalstage finaldraftInternationalStandardc FDIS

Publicationstage InternationalStandard ISO,IECorISO/IEC

a Thesestagesmaybeomitted,asdescribedin2.2,2.3,2.4,2.5,2.6,2.7,and2.8

bDraftInternationalStandardinISO,committeedraftforvoteinIEC.InJTC1,theenquirydraftistheDIS.

cMaybeomitted(see2.6.4).

2.1.3.2 F.1illustratesthestepsleadingtopublicationofanInternationalStandard.

2.1.3.3 TheISOandIECSupplementstotheISO/IECDirectivesgiveamatrixpresentationoftheprojectstages,withanumericaldesignationofassociatedsub‐stages.InJTC1,AnnexJDisused.InJTC 1, Standing Document 11 on “Progression of JTC 1 Projects” clause 1.1, Table 1 “DefaultTimeframe”,Table2“AcceleratedTimeframe”,andTable3“EnlargedTimeframe”provideJTC1specificrequirementsfortimeframes.

2.1.4 Projectdescriptionandacceptance

Aproject isanywork intended to lead to the issueofanew,amendedorrevised InternationalStandard.Aprojectmaysubsequentlybesubdivided(seealso2.1.5.4).

Aprojectshallbeundertakenonlyifaproposalhasbeenacceptedinaccordancewiththerelevantprocedures (see 2.3 for proposals for newwork items, and the respective Supplements to theISO/IECDirectivesforreviewandmaintenanceofexistingInternationalStandards).

2.1.5 Programmeofwork

2.1.5.1 The programme of work of a technical committee or subcommittee comprises allprojects allocated to that technical committee or subcommittee, including maintenance ofpublishedstandards.

2.1.5.2 Inestablishingitsprogrammeofwork,eachtechnicalcommitteeorsubcommitteeshallconsidersectoralplanningrequirementsaswellasrequestsforInternationalStandardsinitiatedbysourcesoutsidethetechnicalcommittee,i.e.othertechnicalcommittees,advisorygroupsofthetechnicalmanagementboard,policylevelcommitteesandorganizationsoutsideISOandIEC.(Seealso2.1.2.)

2.1.5.3 Projectsshallbewithintheagreedscopeofthetechnicalcommittee.TheirselectionshallbesubjecttoclosescrutinyinaccordancewiththepolicyobjectivesandresourcesofISOandIEC.(SeealsoAnnexC.)

2.1.5.4 Eachprojectintheprogrammeofworkshallbegivenanumber(seeIECSupplementsto the ISO/IEC Directives for document numbering at the IEC) and shall be retained in theprogrammeofworkunderthatnumberuntiltheworkonthatprojectiscompletedoritsdeletionhasbeenagreedupon.Thetechnicalcommitteeorsubcommitteemaysubdivideanumberifitissubsequentlyfoundnecessarytosubdividetheprojectitself.Thesubdivisionsoftheworkshallliefullywithinthescopeoftheoriginalproject;otherwise,anewworkitemproposalshallbemade.


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InJTC1,toavoidunduedelaysinauthorizingsubdivisionsofprojectsorminorenhancementsofexistingwork,wherethechangesarenotoutsidethescopeoftheoriginalitem,thesubcommitteemayproceedwithsuchworkifapprovedbyavoteofitsP‐members.Thechange(s),however,mustbesubmittedtoJTC1forendorsementand,ifJTC1doesnotapprove,theworkmustcease.

2.1.5.5 The programme of work shall indicate, if appropriate, the subcommittee and/orworkinggrouptowhicheachprojectisallocated.

2.1.5.6 Theagreedprogrammeofworkofanewtechnicalcommitteeshallbesubmittedtothetechnicalmanagementboardforapproval.

2.1.5.7 In JTC 1, following its plenary meeting, a subcommittee shall submit to the JTC1secretariatasasingledocumentthesubcommittee’smodifiedprogrammeofwork,includingallproposedsubdivisionsofprojectsandminorenhancementsofexistingwork,exclusiveofproposalsfornewwork.ThisdocumentshallbeconsideredusingtheDefaultBallotprocess(see1.4ofAnnexJAonVoting).

2.1.6 Targetdates

The technical committeeorsubcommittee shallestablish, for eachprojecton itsprogrammeofwork,targetdatesforthecompletionofeachofthefollowingsteps:

— completionofthefirstworkingdraft(intheeventthatonlyanoutlineofaworkingdocumenthasbeenprovidedbytheproposerofthenewworkitemproposal–see2.3);

— circulationofthefirstcommitteedraft;

— circulationoftheenquirydraft;

— circulationofthefinaldraftInternationalStandard(inagreementwiththeofficeoftheCEO);publicationoftheInternationalStandard(inagreementwiththeofficeoftheCEO).

These target dates shall correspond to the shortest possible development times, to produceInternationalStandardsrapidlyandshallbereportedtotheofficeoftheCEO,whichdistributestheinformation to all National Bodies. For establishment of target dates, see the respectiveSupplementstotheISO/IECDirectives.

Inestablishingtargetdates,therelationshipsbetweenprojectsshallbetakenintoaccount.Priorityshall be given to those projects intended to lead to International Standards uponwhich otherInternationalStandardswilldependfortheirimplementation.Thehighestpriorityshallbegiventothoseprojectshavingasignificanteffectoninternationaltradeandrecognizedassuchbythetechnicalmanagementboard.

ThetechnicalmanagementboardmayalsoinstructthesecretariatofthetechnicalcommitteeorsubcommitteeconcernedtosubmitthelatestavailabledrafttotheofficeoftheCEOforpublicationasaTechnicalSpecification(see3.1).

All targetdatesshallbekeptundercontinuousreviewandamendedasnecessary,andshallbeclearlyindicatedintheprogrammeofwork.Revisedtargetdatesshallbenotifiedtothetechnicalmanagementboard.Thetechnicalmanagementboardwillcancelallworkitemswhichhavebeenontheworkprogrammeformorethan5yearsandhavenotreachedtheapprovalstage(see2.7).


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In JTC1, StandingDocument11on “Progressionof JTC1Projects” clause1.1,Table1 “DefaultTimeframe”,Table2“AcceleratedTimeframe”,andTable3“EnlargedTimeframe”provideJTC1specificrequirementsfortimeframes.

2.1.6.1 General

In JTC 1,when a proposed newproject is approved (whether for a newdeliverable or for therevisionofanexistingdeliverable),whensubmittingtheresultstoITTFthecommitteesecretariatshall also indicate the selected standards development track, as follows (all target dates arecalculated from the date of adoption as an approved project, AWI (approved work item),stage10.99):

NOTEThedeadlinesforthevariousstageswithinthedevelopmenttracksshallbeestablishedonacase‐by‐casebasis.

Acceleratedstandardsdevelopmenttrack–24monthstopublication;

Defaultstandardsdevelopmenttrack–36monthstopublication;

Enlargedstandardsdevelopmenttrack–48monthstopublication;

The target dates shall be kept under continuous review by committee secretariatswhich shallensurethattheyarereviewedandeitherconfirmedorrevisedateachcommitteemeeting.Suchreviewsshallalsoseektoconfirmthatprojectsarestillmarketrelevantandincasesinwhichtheyare found tobeno longerrequired,or if the likelycompletiondate isgoing tobe too late, thuscausingmarketplayerstoadoptanalternativesolution,theprojectsshallbecancelled.

2.1.6.2 Automaticcancellationofprojects(andtheirreinstatement)

In JTC 1, if the target date for DIS (stage40.00) or publication (stage60.60) is exceeded, thecommitteeshalldecidewithin6monthsononeofthefollowingactions:

a) projects at the preparatory or committee stages: submission of a DIS ‐ if the technicalcontentisacceptableandmature;

b) projectsattheenquirystage:submissionofasecondDISorFDIS‐ifthetechnicalcontentisacceptableandmature;

c) publicationofaTS‐ifthetechnicalcontentisacceptablebutunlikelysufficientlymatureforafutureInternationalStandard;

d) publication of a TR ‐ if the technical content is not considered to be acceptable forpublicationasaTSorforafutureInternationalStandardbutisneverthelessconsideredtobeofinteresttothepublic;

e) submissionofarequestforextensiontoJTC1‐ifnoconsensuscanbereachedbutthereisstronginterestfromstakeholderstocontinue.InJTC1,acommitteemaybegrantedoneextension of up to 9 months for the total project duration but the publication ofintermediarydeliverables(suchasTS)isrecommended;

f) deletionoftheworkitem‐ifthecommitteeisunabletofindasolution.


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If,attheendofthesixmonthperiod,noneoftheaboveactionshasbeentaken,theprojectshallbeautomaticallycancelledbytheITTF.ProjectssodeletedmayonlybereinstatedwiththeapprovaloftheITTF.

2.1.7 Projectmanagement

Thesecretariatofthetechnicalcommitteeorsubcommitteeisresponsibleforthemanagementofall projects in the programmeofwork of that technical committee or subcommittee, includingmonitoringoftheirprogressagainsttheagreedtargetdates.

Iftargetdates(see2.1.6)arenotmetandthereis insufficientsupportforthework(thatis,theacceptance requirements for new work given in 2.3.5 are no longer met), the committeeresponsibleshallcanceltheworkitem.

2.1.8 Projectleader

Forthedevelopmentofeachproject,aprojectleader(theWGconvenor,adesignatedexpertor,ifappropriate,thesecretary)shallbeappointedbythetechnicalcommitteeorsubcommittee,takingintoaccounttheprojectleadernominationmadebytheproposerofthenewworkitemproposal(see2.3.4).Itshallbeascertainedthattheprojectleaderwillhaveaccesstoappropriateresourcesfor carrying out the development work. The project leader shall act in a purely internationalcapacity,divestinghim‐orherselfofanationalpointofview.Theprojectleadershouldbepreparedto act as consultant, when required, regarding technical matters arising at the proposal stagethroughtothepublicationstage(see2.5to2.8).

Thesecretariatshallcommunicatethenameandaddressoftheprojectleader,withidentificationoftheprojectconcerned,totheofficeoftheCEO.

InJTC1,therearenoprojectleaders.Workinggroupsareledbyaconvenor,andprojectsmaybeassignedprojecteditors.

2.1.9 Progresscontrol

InJTC1,StandingDocument11on“ProgressionofJTC1Projects”clause2.3providesJTC1specificreportingrequirements.

Periodicalprogressreports to thetechnicalcommitteeshallbemadeby itssubcommitteesandworkinggroups(seealsoISOandIECSupplementstotheISO/IECDirectives).Meetingsbetweentheirsecretariatswillassistincontrollingtheprogress.

TheofficeoftheCEOshallmonitortheprogressofallworkandshallreportperiodicallytothetechnical management board. For this purpose, the office of the CEO shall receive copies ofdocumentsasindicatedintheISOandIECSupplementstotheISO/IECDirectives.

2.2 Preliminarystage

2.2.1 Technicalcommitteesorsubcommitteesmayintroduceintotheirworkprogrammes,byasimplemajorityvoteoftheirP‐members,preliminaryworkitems(forexample,correspondingtosubjectsdealingwithemergingtechnologies),whicharenotyetsufficientlymatureforprocessingtofurtherstagesandforwhichnotargetdatescanbeestablished.

Such itemsmay include, for example, those listed in the strategicbusinessplan,particularlyasgivenunder2.1.2d)givingaprospectiveviewonemergingneeds.


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2.2.2 Allpreliminaryworkitemsshallberegisteredintotheprogrammeofwork.

2.2.3 All preliminary work items shall be subject to regular review by the committee. Thecommitteeshallevaluatethemarketrelevanceandresourcesrequiredforallsuchitems.

All preliminary work items that have not progressed to the proposal stage in the IEC by theexpirationdategivenbytheTC/SC,andinISOwithin3yearswillbeautomaticallydeletedfromtheprogrammeofwork.

2.2.4 Thisstagecanbeusedfortheelaborationofanewworkitemproposal(see2.3)andthedevelopmentofaninitialdraft.

2.2.5 Beforeprogressingtothepreparatorystage,allsuchitemsshallbesubjecttoapprovalinaccordancewiththeproceduresdescribedin2.3.

2.3 Proposalstage

Inthecaseofproposalstopreparemanagementsystemdeliverables,seeAnnexJC.

2.3.1 InJTC1,anewworkitemproposal(NP)isaproposalfor:

— anewstandard;

— anewpartofanexistingstandard,orTechnicalSpecification(seealso2.1.5.4forsubdivision)

— anewTechnicalSpecification(see3.1);

In JTC 1, NP ballot is not required for the revision or amendment of an existing standard orTechnicalSpecification,providedthatthecommitteepassesaresolutioncontainingthefollowingelements:

1) targetdates;2) confirmationofscope(includingwhetheritwillbeexpanded,inwhichcasetheprocess

fornewproposalsshallapply);and3) projecteditor(s)ifalreadyassigned.

Thecommitteemusthoweverlaunchacallforexperts(Form4isnotrequired).

Iftherevisionoramendmentresultsinanexpandedscope,anNPballotshallbeinitiatedandForm4isrequired.

2.3.2 A new work item proposal within the scope of an existing technical committee orsubcommitteemaybemadeintherespectiveorganizationby

— aNationalBody;

— thesecretariatofthattechnicalcommitteeorsubcommittee;

— anothertechnicalcommitteeorsubcommittee;

— anorganizationincategoryAliaison;

— inJTC1,onlyJTC1CategoryALiaisons;


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— thetechnicalmanagementboardoroneofitsadvisorygroups;

— theChiefExecutiveOfficer.

2.3.3 Where both an ISO and an IEC technical committee are concerned, the Chief ExecutiveOfficersshallarrangeforthenecessarycoordination.(SeealsoAnnexB.)

2.3.4 Eachnewworkitemproposalshallbepresentedusingtheappropriateform,andshallbefullyjustifiedandproperlydocumented(seeAnnexC).

Theproposersofthenewworkitemproposalshall

— makeeveryefforttoprovideafirstworkingdraftfordiscussion,orshallatleastprovideanoutlineofsuchaworkingdraft;

— nominateaprojectleader.InJTC1,therearenoprojectleaders.InJTC1theproposershouldnominatea"projecteditor"iftheNWIPistobeallocatedtoanexistingWG.

TheformshallbesubmittedtotheofficeoftheCEOortothesecretariatoftherelevantcommitteeforproposalswithinthescopeofanexistingcommittee.

TheofficeoftheCEOortherelevantcommitteechairandsecretariatshallensurethattheproposalisproperlydevelopedinaccordancewithISOandIECrequirements(seeAnnexC)andprovidessufficientinformationtosupportinformeddecisionmakingbyNationalBodies.

The office of the CEO or the relevant committee chair and secretariat shall also assess therelationshipof theproposal to existingwork, andmayconsult interestedparties, including thetechnicalmanagementboardorcommitteesconductingrelatedexistingwork.Ifnecessary,anadhocgroupmaybeestablishedtoexaminetheproposal.Anyreviewofproposalsshouldnotexceed2weeks.

Inall cases, theofficeof theCEOor the relevant committeechairandsecretariatmayalsoaddcommentsandrecommendationstotheproposalform.SeeAnnexKfornewworkitemproposalsforprojectcommittees.

Copiesof thecompleted formshallbecirculated to themembersof the technical committeeorsubcommitteeforP‐memberballotandtotheO‐membersandliaisonmembersforinformation.

Theproposeddateofavailabilityofthepublicationshallbeindicatedontheform.

Adecisionuponanewworkitemproposalshallbetakenbycorrespondence.

Votesshallbereturnedwithin12weeks.Thecommitteemaydecideonacase‐by‐casebasisbywayofaresolutiontoshortenthevotingperiodfornewworkitemproposalsto8weeks.

When completing the ballot form, National Bodies shall provide a statement justifying theirdecision for negative votes (“justification statement”). If no such statement is provided, thenegativevoteofaNationalBodywillnotberegisteredandconsidered.

2.3.5 Acceptancerequires

a) approvaloftheworkitembyasimplemajorityoftheP‐membersofthetechnicalcommitteesorsubcommitteesvoting–abstentionsareexcludedwhenthevotesarecounted;


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b) acommitmenttoparticipateactivelyinthedevelopmentoftheproject,i.e.tomakeaneffectivecontributionatthepreparatorystage,bynominatingtechnicalexpertsandbycommentingonworkingdrafts,byatleast4P‐membersincommitteeswith16orlessP‐members,andatleast5P‐membersincommitteeswith17ormoreP‐members;

OnlyP‐membershavingalsoapprovedthe inclusionof thework item intheprogrammeofwork[seea)]willbetakenintoaccountwhenmakingthistally.Ifexpertsarenotnominatedontheformaccompanyinganapprovalvote,thentheNationalBody'scommitmenttoactiveparticipationwillnotberegisteredandconsideredwhendeterminingiftheapprovalcriteriahavebeenmetonthisballot;

InJTC1,ifinthecontextofanNP,,aNationalBodydoesnotprovideaclearjustificationstatementforwhyitvoted"no",thecommitteesecretariatshouldgobacktotheNationalBodyandgiveittwo(2)weekstoprovideanexplanation.

IftheNationalBodydoesnotprovidearesponsewithinthat2‐weekperiod,thevotewillnotbecountedintheresult.

SecretariatsmustnotmakevaluejudgmentsaboutthejustificationandmustasktheNationalBodyincaseofdoubt.

IfNationalBodiesdonotnameanexpertintheForm,theyhavetwo(2)weeksfollowingtheresultofthevotetonametheirexpert.Ifthisdelayisnotrespected,theNationalBody'sparticipationwillnotbecounted,therebyaffectingtheapprovalrequirementfor(b)above.

Individualcommitteesmayincreasethisminimumrequirementofnominatedexperts.

Incases,whereitcanbedocumentedthattheindustryand/ortechnicalknowledgeexistsonlywithaverysmallnumberofP‐members,thenthecommitteemayrequestpermissionfromthetechnicalmanagementboardtoproceedwithfewerthan4or5nominatedtechnicalexperts.

InJTC1,additionalvotingrulesapply;seeAnnexJA.1andJA.2.

2.3.6 Onceanewworkitemproposalisaccepted,itshallberegisteredintheprogrammeofworkoftherelevanttechnicalcommitteeorsubcommitteeasanewprojectwiththeappropriatepriority.Theagreedtargetdates(see2.1.6)shallbeindicatedontheappropriateform.

ThevotingresultswillbereportedtotheISOCentralSecretariat(usingForm6)ortheIECCentralOffice(usingFormRVN)within6weeksafterthecloseoftheballot.

2.3.7 Theinclusionoftheprojectintheprogrammeofworkconcludestheproposalstage.

2.3.8 InJTC1,inordertoacceleratetheapprovalprocessincaseswherethesubmitterofanNPhasadraft that itconsiders tobeof suitablematurity, simultaneousNPandCDballotsmaybeinitiated. In thecaseofanSC, theSCmaychoose,by letterballotor resolutionatameeting, toaccompanyanNPwith a complete technical specificationand initiate simultaneousNP andCDballots.IfthesubmitteroftheNPisnotanSC,thesubmittermaychoosetoaccompanyanNPwithacompletetechnicalspecificationandrequesttheinitiationofsimultaneousNPandCDballots.Ineitherevent,theSCSecretariatshallsoinformtheJTC1SecretariatandforwardtheNPanditsrelatedtechnicalspecificationtotheJTC1SecretariatforconcurrentreviewinaccordancewithJA.2.1.InthecaseofanNPballotattheSClevel,theprocedureforNPvotinginJA.2.1applies.InthecaseofanNPballotattheJTC1level,theprocedureforNPvotinginJA.2.2applies.


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TheJTC1orSCSecretariatshallsimultaneouslycirculateaCDballotonthetechnicalspecificationinaccordancewith2.5.2bearingtheNnumberonly.

Inthiscase,theCDballotisdistributedpriortoregistrationwithITTFandassignmentofaprojectnumber.Forclarity,theNPandtheCDshouldcrossreferenceeachother’sdocumentnumbers.

IftheresultoftheNPballotisnegative,theresultsoftheCDballotaredisregardedandtheworkitemisnotaddedtotheprogrammeofwork.

IftheresultoftheNPballotispositive,theitemisaddedtotheprogrammeofworkandtheresultsoftheCDballotareprocessedaccordingto2.5.

2.4 Preparatorystage

InJTC1,specificJTC1requirementsforpreparatorystagearecontainedinStandingDocument11on“ProgressionofJTC1Projects”clause3“PreparatoryStageConsiderations”.

2.4.1 Thepreparatorystagecoversthepreparationofaworkingdraft(WD)conformingtotheISO/IECDirectives,Part2.InJTC1,asubcommitteemayassigntheprojecttoaworkinggroupordevelopthedocumentwithinthesubcommitteeitself.Forsimplicity,thefollowingsectionsassumeassignment to a working group, but in cases where the subcommittee does the development,referencestotheworkinggroupshouldbeunderstoodasreferencestothesubcommittee.Similarly,inrareinstancesaworkinggroupmayreportdirectlytoJTC1ratherthantoasubcommittee;insuchcases,referencestothesubcommitteeshouldbeunderstoodasreferencestoJTC1.

2.4.2 WhenanewprojectisacceptedtheprojectleadershallworkwiththeexpertsnominatedbytheP‐membersduringtheapproval(see2.3.5a).InJTC1,therearenoprojectleaders.

2.4.3 The secretariat may propose to the technical committee or subcommittee, either at ameetingorbycorrespondence,tocreateaworkinggrouptheconvenorofwhichwillnormallybetheprojectleader.

Suchaworkinggroupshallbesetupby the technical committeeorsubcommittee,whichshalldefinethetask(s)andsetthetargetdate(s)forsubmissionofdraft(s)tothetechnicalcommitteeor subcommittee (see also 1.12). The working group convenor shall ensure that the workundertakenremainswithinthescopeoftheballotedworkitem.

2.4.4 InrespondingtotheproposaltosetupaworkinggroupthoseP‐membershavingagreedtoparticipateactively(see2.3.5a))shalleachconfirmtheirtechnicalexpert(s).OtherP‐membersorA‐orD‐liaisonorganizationsmayalsonominateexpert(s).InJTC1,CategoryCisusedtodesignateliaisonsattheprojectorworkinggrouplevel,andCategoryDisnotused.

2.4.5 The project leader is responsible for the development of the project andwill normallyconveneandchairanymeetingsoftheworkinggroup.S/hemayinviteamemberoftheworkinggrouptoactasitssecretary.

In JTC1, a project editor should be identified as there are no project leaders (see 2.1.8). Theworking group develops one ormoreworking drafts of the standard. Usually, aworking draftundergoesseveralrevisionsbeforetheworkinggrouprecommendsthatitwillbeprogressedtothe Committee Stage. As decisions are made regarding the content of the working draft, theconvenorshouldtakecaretoassureconsensus.


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2.4.6 EverypossibleeffortshallbemadetopreparebothaFrenchandanEnglishversionofthetextinordertoavoiddelaysinthelaterstagesofthedevelopmentoftheproject.

If a trilingual (English—French—Russian) standard is to beprepared, this provision shouldincludetheRussianversion.

InJTC1,textsareonlyrequiredtobepreparedinEnglish,exceptinexceptionalinstances.

2.4.7 Fortimelimitsrelatingtothisstage,see2.1.6.

2.4.8 The preparatory stage ends when a working draft is available for circulation to themembers of the technical committee or subcommittee as a first committee draft (CD) and isregisteredbytheofficeoftheCEO.ThecommitteemayalsodecidetopublishthefinalworkingdraftasaPAS(see3.2)torespondparticularmarketneeds.

2.5 Committeestage

InJTC1,specificJTC1requirementsforcommitteestagearecontainedinStandingDocument11ProgressionofJTC1Projects”clause4“CommitteeStageConsiderations”.

2.5.1 ThecommitteestageistheprincipalstageatwhichcommentsfromNationalBodiesaretaken into consideration,with a view to reaching consensus on the technical content.Nationalbodies shall therefore carefully study the texts of committee drafts and submit all pertinentcommentsatthisstage.

In JTC 1, any graphical symbol shall be submitted to the relevant ISO committee and/or IECcommittee(asapplicable)responsiblefortheregistrationofgraphicalsymbols(seeAnnexJE).

2.5.2 As soon as it is available, a committee draft shall be circulated to all P‐members andO‐membersofthetechnicalcommitteeorsubcommitteeforconsideration,withaclearindicationofthelatestdateforsubmissionofreplies.InJTC1,organizationsinliaisonareaskedtosubmittheircomments.

A period of 8, 12 or 16weeks as agreed by the technical committee or subcommittee shall beavailableforNationalBodiestocomment.

InJTC1,thedefaultforCD/PDAM/PDTS/PDTRcirculationis8weeks.

Commentsshallbesentforpreparationofthecompilationofcomments,inaccordancewiththeinstructionsgiven.

Nationalbodiesshallfullybrieftheirdelegatesonthenationalpositionbeforemeetings.

2.5.3 Nomorethan4weeksaftertheclosingdateforsubmissionofreplies,thesecretariatshallprepare the compilation of comments and arrange for its circulation to all P‐members and O‐members of the technical committee or subcommittee. When preparing this compilation, thesecretariat shall indicate its proposal, made in consultation with the chair of the technicalcommitteeorsubcommitteeand,ifnecessary,theprojectleader,forproceedingwiththeproject,either

a) todiscussthecommitteedraftandcommentsatthenextmeeting,or

b) tocirculatearevisedcommitteedraftforconsideration,or


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c) toregisterthecommitteedraftfortheenquirystage(see2.6).

Inthecaseofb)andc),thesecretariatshall indicateinthecompilationofcommentstheactiontakenoneachofthecommentsreceived.ThisshallbemadeavailabletoallP‐members,ifnecessaryby the circulation of a revised compilation of comments, no later than in parallel with thesubmissionofarevisedCDforconsiderationbythecommittee(caseb)orsimultaneouslywiththesubmission of the finalizedversionof thedraft to the office of theCEO for registration for theenquirystage(casec).

If,within8weeksfromthedateofdispatch,2ormoreP‐membersdisagreewithproposalb)orc)ofthesecretariat,thecommitteedraftshallbediscussedatameeting(see4.2.1.3).

2.5.4 Ifacommitteedraftisconsideredatameetingbutagreementonitisnotreachedonthatoccasion, a further committee draft incorporating decisions taken at the meeting shall bedistributedwithin12weeks for consideration.Aperiodof8,12or16weeks as agreedby thetechnicalcommitteeorsubcommitteeshallbeavailabletoNationalBodiestocommentonthedraftandonanysubsequentversions.


2.5.5 ConsiderationofsuccessivedraftsshallcontinueuntilconsensusoftheP‐membersofthetechnical committeeor subcommitteehasbeenobtainedor adecision toabandonordefer theprojecthasbeenmade.

2.5.6 The decision to circulate an enquiry draft (see 2.6.1) shall be takenon the basis of theconsensusprinciple.

Itistheresponsibilityofthechairofthetechnicalcommitteeorsubcommittee,inconsultationwiththe secretary of his committee and, if necessary, the project leader, to judgewhether there issufficientsupportbearinginmindthedefinitionofconsensusgiveninISO/IECGuide2:2004.

"consensus: General agreement, characterized by the absence of sustained opposition tosubstantial issues by any important part of the concerned interests and by a process thatinvolvesseekingtotakeintoaccounttheviewsofallpartiesconcernedandtoreconcileanyconflictingarguments.

NOTEConsensusneednotimplyunanimity."

WithinISOandJTC1,incaseofdoubtconcerningconsensus,approvalbyatwo‐thirdsmajorityoftheP‐membersofthetechnicalcommitteeorsubcommitteevotingmaybedeemedtobesufficientforthecommitteedrafttobeacceptedforregistrationasanenquirydraft;howevereveryattemptshallbemadetoresolvenegativevotes.

Abstentionsareexcludedwhenthevotesarecounted,aswellasnegativevotesnotaccompaniedtotechnicalreasons.

Thesecretariatofthetechnicalcommitteeorsubcommitteeresponsibleforthecommitteedraftshall ensure that the enquiry draft fully embodies decisions taken either at meetings or bycorrespondence.

2.5.7 When consensus has been reached in a technical committee or subcommittee, itssecretariatshallsubmitthefinalizedversionofthedraftinelectronicformsuitablefordistribution


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tothenationalmembersforenquiry(2.6.1),totheofficeoftheCEO(withacopytothetechnicalcommitteesecretariatinthecaseofasubcommittee)withinamaximumof16weeks.


2.5.9 ThecommitteestageendswhenalltechnicalissueshavebeenresolvedandacommitteedraftisacceptedforcirculationasanenquirydraftandisregisteredbytheofficeoftheCEO.TextsthatdonotconformtotheISO/IECDirectives,Part2shallbereturnedtothesecretariatwitharequestforcorrectionbeforetheyareregistered.

2.5.10 Ifthetechnicalissuescannotallberesolvedwithintheappropriatetimelimits,technicalcommitteesandsubcommitteesmaywishtoconsiderpublishinganintermediatedeliverableintheformofaTechnicalSpecification(see3.1)pendingagreementonanInternationalStandard.

2.6 Enquirystage

2.6.1 Attheenquirystage,theenquirydraft(DISinISO,CDVinIEC)shallbecirculatedbytheofficeoftheCEOtoallNationalBodiesfora12‐weekvvote.InJTC1,theenquirydraftisaDIS.InJTC1,theenquirydraft(DIS)shallbecirculatedfora12weeksvote,followingatranslationperiodof8weeks.

Forpolicyontheuseoflanguages,seeAnnexE.InJTC1,textsareonlyrequiredtobepreparedinEnglish,exceptinexceptionalinstances.

NationalbodiesshallbeadvisedofthedatebywhichcompletedballotsaretobereceivedbytheofficeoftheCEO.

Attheendofthevotingperiod,theChiefExecutiveOfficershallsendwithin4weekstothechairandsecretariatofthetechnicalcommitteeorsubcommitteetheresultsofthevotingtogetherwithanycommentsreceived,forfurtherspeedyaction.

EnquirystagedraftsinJTC1areissuedforsimultaneousvoting(onevotepercountry)bytheP‐membersofJTC1andbyallISOmemberbodiesandIECnationalcommittees.Thisiscalledthecombinedvotingprocedure.SeeAnnexJAforfurtherdetails.

NOTE In JTC1, fast‐track submissions for technical reports and technical specifications areexcludedfromthecombinedvotingprocedure,seeJA.5.2.

2.6.2 VotessubmittedbyNationalBodiesshallbeexplicit:positive,negative,orabstention.

Apositivevotemaybeaccompaniedbyeditorialortechnicalcomments,ontheunderstandingthatthe secretary, in consultation with the chair of the technical committee or subcommittee andprojectleader,willdecidehowtodealwiththem.

If a National Body finds an enquiry draft unacceptable, it shall vote negatively and state thetechnical reasons. It may indicate that the acceptance of specified technical modifications willchange its negative vote to one of approval, but it shall not cast an affirmative vote which isconditionalontheacceptanceofmodifications.

In JTC 1, in the case where a Nationalember Body has voted negatively without submitting ajustification,thevotewillnotbecounted.


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InJTC1,inthecasewhereaNationalBodyhasvotednegativelyandhassubmittedcommentsthatarenotclearlyofatechnicalnature,thecommitteesecretaryshallcontacttheISO/CSTechnicalProgrammeManagerwithin2weeksoftheballotclosure.

In JTC1, there are no constraints on the types of comments (technical, editorial, or general)NationalBodiescansubmitwiththeirvotes;howeverinthecaseofnegativevotesonenquirydrafts,NationalBodiesareencouragedtodescribetheirtechnicalreasons.

2.6.3 Anenquirydraftisapprovedif

a) a two‐thirds majority of the votes cast by the P‐members of the technical committee orsubcommitteeareinfavour,and

b) notmorethanone‐quarterofthetotalnumberofvotescastarenegative.

Abstentionsareexcludedwhenthevotesarecounted,aswellasnegativevotesnotaccompaniedbytechnicalreasons.

Commentsreceivedafter thenormalvotingperiodaresubmittedtothetechnicalcommitteeorsubcommittee secretariat for consideration at the time of the next review of the InternationalStandard.

InJTC1,additionalvotingrulesapply;seeAnnexJA.1andJA.5.1.

2.6.4 On receipt of the results of the voting and any comments, the chair of the technicalcommittee or subcommittee, in cooperationwith its secretariat and the project leader, and inconsultationwiththeofficeoftheCEO,shalltakeoneofthefollowingcoursesofaction:

a) whentheapprovalcriteriaof2.6.3aremet,inIECtoregistertheenquirydraft,asmodified,asafinaldraftInternationalStandard,orinISOtoproceedtopublication(see2.8).

InJTC1,whentheapprovalcriteriaof2.6.3aremet,toregistertheenquirydraft,asmodified,asafinaldraftInternationalStandard;or,inthecaseofanenquirydraftwherenonegativevoteshavebeenreceivedandonlyeditorialcorrectionshavebeenmade,toproceeddirectlytopublication."

b) whentheapprovalcriteriaof2.6.3arenotmet;

i) tocirculatearevisedenquirydraftforvoting(see2.6.1),or

NOTE2 A revised enquiry draftwill be circulated for a voting period of 8weeks,whichmay beextendedupto12weeksattherequestofoneormoreP‐membersofthecommitteeconcerned.InJTC1,arevisedenquirydraftcirculationperiodmaybeextendedupto12weeks.

ii) tocirculatearevisedcommitteedraftforcomments,or

iii) to discuss the enquiry draft and comments at the next meeting. In JTC 1, a commentresolutionmeetingmaybeheldbyteleconferenceorusingelectronicmeans.

2.6.5 Notlaterthan12weeksaftertheendofthevotingperiod,afullreportshallbepreparedbythesecretariatofthetechnicalcommitteeorsubcommitteeandcirculatedbytheofficeoftheCEOtotheNationalBodies.Thereportshall

a) showtheresultofthevoting;


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b) statethedecisionofthechairofthetechnicalcommitteeorsubcommittee;

c) reproducethetextofthecommentsreceived;and

d) includetheobservationsofthesecretariatofthetechnicalcommitteeorsubcommitteeoneachofthecommentssubmitted.

Everyattemptshallbemadetoresolvenegativevotes.

If, within 8 weeks from the date of dispatch, two or more P‐members disagree with decision2.6.4b)ior2.6.4b)ii)ofthechair,thedraftshallbediscussedatameeting(see4.2.1.3).

2.6.6 When the chair has taken the decision to proceed to the approval stage (see 2.7) orpublication stage (see 2.8), the secretariat of the technical committee or subcommittee shallprepare,withinamaximumof16weeksaftertheendofthevotingperiodandwiththeassistanceof its editing committee, a final text and send it to the office of the CEO for preparation andcirculationofthefinaldraftInternationalStandard.

ThesecretariatshallprovidetheofficeoftheCEOwiththetextinarevisableelectronictextandalsoinaformatwhichpermitsvalidationoftherevisableform.

TextsthatdonotconformtotheISO/IECDirectives,Part2shallbereturnedtothesecretariatwitharequestforcorrectionbeforetheyareregistered.


2.6.8 The enquiry stage ends with the registration, by the office of the CEO, of the text forcirculationasafinaldraftInternationalStandardorpublicationasanInternationalStandard,inthecaseof2.6.4(a)and(b)).

2.7 Approvalstage

2.7.1 Attheapprovalstage,thefinaldraftInternationalStandard(FDIS)shallbedistributedbytheofficeoftheCEOwithin12weekstoallNationalBodiesfora8‐weekvote.

NationalbodiesshallbeadvisedofthedatebywhichballotsaretobereceivedbytheofficeoftheCEO.

2.7.2 VotessubmittedbyNationalBodiesshallbeexplicit:positive,negative,orabstention.

IfaNationalBodyvotesaffirmatively,itshallnotsubmitanycomments.

IfaNationalBodyfindsafinaldraftInternationalStandardunacceptable,itshallvotenegativelyand state the technical reasons. It shall not cast an affirmative vote that is conditional on theacceptanceofmodifications.

InJTC1,thecombinedvotingprocedureisusedfortheapprovalstage(see2.6.1).

2.7.3 AfinaldraftInternationalStandardhavingbeencirculatedforvotingisapprovedif

a) a two‐thirds majority of the votes cast by the P‐members of the technical committee orsubcommitteeareinfavour,and

b) notmorethanone‐quarterofthetotalnumberofvotescastarenegative.


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Abstentionsareexcludedwhenthevotesarecounted,aswellasnegativevotesnotaccompaniedbytechnicalreasons.

TechnicalreasonsfornegativevotesaresubmittedtothetechnicalcommitteeorsubcommitteesecretariatforconsiderationatthetimeofthenextreviewoftheInternationalStandard.

InJTC1,additionalvotingrulesapply;seeAnnexJA.1andJA.6.

2.7.4 The secretariat of the technical committee or subcommittee has the responsibility ofbringinganyerrorsthatmayhavebeenintroducedinthepreparationofthedrafttotheattentionoftheofficeoftheCEObytheendofthevotingperiod;furthereditorialortechnicalamendmentsarenotacceptableatthisstage.

2.7.5 Within2weeksaftertheendofthevotingperiod,theofficeoftheCEOshallcirculatetoallNationalBodiesareportshowingtheresultofvotingandindicatingeithertheformalapprovalbyNational Bodies to issue the International Standard or formal rejection of the final draftInternationalStandard.

Technicalreasonsfornegativevotesshallbeappendedforinformationonly.

2.7.6 If the final draft International Standard has been approved in accordance with theconditionsof2.7.3,itshallproceedtothepublicationstage(see2.8).

2.7.7 IfthefinaldraftInternationalStandardisnotapprovedinaccordancewiththeconditionsin 2.7.3, the document shall be referred back to the technical committee or subcommitteeconcerned for reconsideration in the light of the technical reasons submitted in support of thenegativevotes.

Thecommitteemaydecideto:

— resubmitamodifieddraftasacommitteedraft,enquirydraftor,inISOandJTC1,finaldraftInternationalStandard;

— publishaTechnicalSpecification(see3.1);

— canceltheproject.

2.7.8 Theapprovalstageendswiththecirculationofthevotingreport(see2.7.5)statingthattheFDIShasbeenapproved forpublicationas an International Standard,with thepublicationof aTechnicalSpecification(see3.1.1.2),orwiththedocumentbeingreferredbacktothecommittee.

2.8 Publicationstage

2.8.1 Within4weeksinISOand6weeksinIEC,theofficeoftheCEOshallcorrectanyerrorsindicatedbythesecretariatofthetechnicalcommitteeorsubcommittee,andprintanddistributetheInternationalStandard.

InJTC1,theITTFshallcorrectanyerrorsindicatedbythesecretariatofthetechnicalcommitteeorsubcommitteeandprintanddistributetheInternationalStandardwithin8weeks.

2.8.2 ThepublicationstageendswiththepublicationoftheInternationalStandard.


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2.9 Maintenance

2.9.1 Overview

TheproceduresforthemaintenanceofdeliverablesaregivenintherespectiveSupplementstotheISO/IECDirectives.

InJTC1,thefollowingproceduresapply.

AdditionalproceduresfordefectcorrectionofInternationalStandardsarefoundintheJTC1StandingDocument21on“DefectCorrectionofInternationalStandards”.

SeeStandingDocument9on“PASTranspositionProcess”foradditionalrequirementsonthemaintenanceofdocumentsapprovedthroughthePAStranspositionprocess,maintainedbythePASsubmitterandadministeredbyJTC1.

SeeStandingDocument6on“TechnicalSpecificationsandTechnicalReports”foradditionalrequirementsonthemaintenanceoftechnicalspecificationsandtechnicalreports.In JTC 1, see Standing Document 5 on “Normative References” for requirements on thereconfirmationofAROsandRERs.

2.9.2 SystematicandCommitteeReviews

2.9.2.1 GeneralPrinciple

EveryInternationalStandardandInternationalTechnicalSpecificationpublishedjointlybyISOandIECforJTC1shallbesubjecttosystematicreviewinordertodeterminewhetheritshouldbeconfirmed,revised/amended,stabilized,orwithdrawn,accordingtoTableS1.


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TableS1—Timingofsystematicreviews

DeliverableMax.elapsedtimebeforesystematic

review

Max.numberoftimesdeliverablemaybeconfirmed

Max.life

InternationalStandard 5years Notlimited Notlimited

TechnicalSpecification(see3.1.3)

3years Oncerecommended

6yearsrecommended

TechnicalReport(see3.3.3)

Notspecified Notspecified Notlimited

While Technical Reports are not subject to systematic review (see Table S1), the responsiblecommitteeisstillrequiredtoperformareviewatintervalsthatshouldnotexceed5years.

Asystematicreviewwilltypicallybeinitiatedinthefollowingcircumstances:

—on the initiative and as a responsibility of the secretariat of the responsible committee,typicallyas theresultof theelapseof thespecifiedperiodsincepublicationor the lastconfirmationofthedocument,or

—adefaultactionbytheITTF,or

—attherequestofoneormoreNationalBodiesor

—uponrequestofthecommitteesecretarytoITTF.

Thetimingofasystematicreviewisnormallybasedeitherontheyearofpublicationor,whereadocumenthasalreadybeenconfirmed,ontheyearinwhichitwaslastconfirmed.However,itisnotnecessarytowaitforthemaximumperiodtoelapsebeforeadocumentisreviewed.

WheretherelevantSCnolongerexists,responsibilityforthemaintenanceofsuchastandardmaybegiventoaNationalBodyoraJTC1CategoryALiaison.

Seeclause2.10.3and2.3.1 fortheprocessfor initiatingarevisionoramendmentofanexistingstandard.

2.9.2.2 SystematicReviewRequirements

InJTC1,thesystematicballotperiodis20weeks.

BeforethesystematicreviewballotofNationalBodiesisinitiated,thecommittee,byvoteofitsP‐memberseitheratplenaryorbyletterballot,developsarecommendationforthedispositionofstandardsandtechnicalspecificationstobeincludedalongwiththesystematicreviewballot.ITTFsubmitstheballotforNationalBodyapprovalusingthesystematicreviewballotprocess.

After theclosingof thesystematicreviewballot, thesecretariat'sproposalreflectingthevotingresultsshallbecirculatedtothemembersofthetechnicalcommitteeorsubcommittee.Nomorethan6monthsafter theclosingof the systematic reviewballot thecommitteeshall takea final


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decisionastowhethertorevise,confirm,stabilizeorwithdrawthestandard,followingwhichthesecretariatshallsubmitthecommittee'sdecisiontoITTF.

NOTESystematicreviewballotsareadministeredelectronicallybytheITTF.P‐membersofagivencommitteehaveanobligation tovoteonall systematic renewballots fordeliverablesunder the responsibilities of that committee. All P‐members of ISO and IEC are invited torespondtosuchreviews.Thepurposeofthereviewshasbeenextendedtoincludeobtaininginformationwhenmemberbodieshaveneededtomakemodifications inordertomakethedeliverable suitable for national adoption. Such modifications need to be considered bycommitteesinordertodeterminewhethertheyneedtobetakenintoaccounttoimprovetheglobalrelevanceofastandard.

2.9.2.3 Interpretationofsystematicreviewballotresults

InJTC1,typically,adecisionastotheappropriateactiontotakefollowingasystematicreviewshallbebasedonasimplemajorityofISOandIECP‐membersvotingforaspecificaction.However,insomecasesamoredetailedanalysisoftheresultsmayindicatethatanotherinterpretationmaybemoreappropriate.ThecommitteedecidesuponacourseofactionandinformsITTFofthecourseofaction.

NOTE Itisnotfeasibletoprovideconcreterulesforallcaseswheninterpretingtheballotresultsduetothevarietyofpossibleresponses,degreesofimplementation,andtherelativeimportanceofcomments

In proposing future action, due account shall be taken of the maximum possible number ofconfirmationsandspecifiedmaximumlifeofthedeliverableconcerned(seeTableS1).

Where it has been verified that a standard or a technical specification is used, that it shouldcontinuetobemadeavailable,andthatnotechnicalchangesareneeded,thedeliverablemaybeconfirmed.Thecriteriaareasfollows:

—thestandardortechnicalspecificationhasbeenadoptedwithorwithoutchangeorisusedinatleastfivecountries(whenthiscriteriaisnotmet,thedeliverableshouldbewithdrawn);and

‐asimplemajorityoftheP‐membersrespondingvoteforconfirmation.

Ifvotingresultsonsystematicreviewarenotdefinitiveforconformation,revisionorwithdrawal,and/oradecisionisbasedonadeterminationofresponses,theSecretariatshallinviteapprovalofaproposedcourseofactionwithinaspecifiedtimedelayforexamplewithineightweeks.

2.9.3 RevisionorMaintenance

Acommitteemayatanytimepassaresolutioninitiatingarevisionoramendmentofadeliverable.

Whereithasbeenverifiedthatadocumentisused,thatitshouldcontinuetobemadeavailable,butthattechnicalchangesareneeded,adeliverablemaybeproposedforamendmentorrevision.Thecriteriaareasfollows:

—thestandardortechnicalspecificationhasbeenadoptedwithorwithoutchangeorisusedinatleastfivecountries(whenthiscriteriaisnotmet,thestandardshouldbewithdrawn);and

‐asimplemajorityoftheP‐membersofISOandIECvotingconsidersthereisaneedforamendmentorrevision.


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Inthatcase,anitemmayberegisteredasanapprovedworkitem(stage10.99).

Acallforexpertsmustbelaunched.However,thereisnominimumnumberofactiveP‐membersofthecommitteerequired.

Whereanamendmentorrevisionisnotimmediatelystartedfollowingapprovalbythecommittee,it is recommended that the project is first registered as a preliminarywork item and that thestandardisregisteredasconfirmed.Whenitiseventuallyproposedforregistrationatstage10.99,referenceshallbemadetotheresultsoftheprecedingsystematicreviewandthecommitteemustpassa resolution (seeclause2.3.1 for theprocess for initiatinga revisionor amendmentof anexistingstandard).

WhereitisdecidedthattheInternationalStandardorTechnicalSpecificationneedstoberevisedor amended, it becomes a new project and shall be added to the programme of work of thecommittee.Thestepsforrevisionoramendmentarethesameasthoseforpreparationofanewdeliverable (see the Consolidated JTC 1 Supplement, clauses 2.3 to 2.8), and include theestablishmentoftargetdatesforthecompletionoftherelevantstages.

Forminorchanges,e.g.updatingandeditorialchanges,whichdonotimpactthetechnicalcontent,a shortened procedure called “minor revision” may be applied. This is comprised only of theproposalforaminorrevisionbythecommittee(througharesolution),approvalandpublicationstages(see2.7and2.8).SubsequenttotheresolutionofthecommitteeandconsultationwiththeITTF,afinaldraftofthereviseddeliverableshallbecirculatedfora8‐weekcommitteevote.Theforewordofthenexteditionofthedeliverableshallindicatethatitisaminorrevisionandlisttheupdatesandeditorialchangesmade.

2.9.4 Withdrawal

InthecaseoftheproposedwithdrawalofanInternationalStandardoraTechnicalSpecification,theNationalBodiesshallbeinformedbytheITTFoftherecommendationofthecommittee.ITTFshallholdasystematicreviewballotsothatJTC1NationalBodiescanvoteontherecommendation.

2.9.5 Stabilization

A standard may be a stabilized standard. A stabilized standard has on‐going validity andeffectiveness;ismature;andinsofarascanbedeterminedwillnotrequirefurthermaintenanceofanysort.Astandardisinstabilizedstatusthatwillnolongerbesubjecttosystematicreviewbutisretainedtoprovideforthecontinuedviabilityofexistingproductsorservicingofequipmentthatisexpectedtohavealongworkinglife.

Tobedesignatedastabilizedstandard,atleastonefive‐yearreviewcyclemustpassafterthelastmodification to thestandardbefore itcanberecommended forstabilizationby theresponsiblecommittee.

A committeemayrecommend thata standard itownsbeput instabilizedstatusat the timeofsystematicreviewofthatstandard.Ineachcase,therecommendationshallbeaccompaniedbyastatementofrationaleandwillresultinnormalsystematicreviewballot,asisdoneinthecaseofareaffirmationrecommendation.

Onceastandardisstabilized,itwillberecordedbyITTFonamasterlistofstabilizedstandards.Thisrecordwillincludethedateoffirstadditiontothelistandtherationaleprovidedasabove.AstabilizedstandardisindicatedasstabilizedintheCataloguelistingforthatstandard.


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WhereacommitteeoraNationalBodywithinJTC1becomesawarethatastandardinthestabilizedstateis

nolongerinuse;or

itsusehasbeensuperseded;or

itisnowunsafetocontinuetousethestandard;

Adefaultballotconcerningrevisionorwithdrawalofthestandardistobeinitiated(seeJA.1.4).

NotethatTechnicalSpecificationsandTechnicalReportscannotbestabilized.

2.9.6 ReinstatementofWithdrawnStandards

InJTC1,if,followingwithdrawalofanInternationalStandard,acommitteedeterminesthatitisstill needed, itmay propose that the standard be reinstated. A ballot for reinstatement of thewithdrawnstandardshallbeissuedeitherasadraftInternationalStandard,oranFDISasinitiatedbythecommitteeforvotingbytheISOandIECP‐memberbodies.Theballotingproceduresof2.6and2.7shallapply.Ifapproved,thestandardshallbepublishedasaneweditionwithanewdateofpublication.Theforewordshallexplainthatthestandardresultsfromthereinstatementofthepreviousedition.

2.10 Technicalcorrigendaandamendments

2.10.1 General

ApublishedInternationalStandardmaysubsequentlybemodifiedbythepublicationof

— atechnicalcorrigendum;

— anamendment;or

— arevision(aspartofthemaintenanceprocedurein2.9).

Technicalcorrigendaandamendmentsarenormallypublishedasseparatedocuments,theeditionoftheInternationalStandardaffectedremaininginprint.

InJTC1,atthepublicationstage,theITTFshalldecide,inconsultationwiththeSecretariatofJTC1orSC,andbearinginmindboththefinancialconsequencestotheorganisationandtheinterestsofusersof the IS,whether topublishanamendmentoraneweditionof the IS, incorporating theamendment.

[NOTEWhere it is foreseen that therewillbe frequent additions to theprovisionsofan IS, thepossibilityshouldbeborneinmindattheoutsetofdevelopingtheseadditionsasaseriesofparts(see5.5.1ofISO/IECDirectives,Part2)]

NOTE IncaseofrevisionaneweditionoftheInternationalStandardwillbeissued.

2.10.2 Technicalcorrigenda

A technical corrigendum is issued to correct a technical error or ambiguity in an InternationalStandard, a Technical Specification, a Publicly Available Specification or a Technical Report,


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inadvertently introduced either in drafting or in printing andwhich could lead to incorrect orunsafeapplicationofthepublication.

In JTC 1, a technical corrigendum is issued to correct a technical error or ambiguity in anInternationalStandard,aTechnicalSpecification,oraTechnicalReport,inadvertentlyintroducedeither in drafting or in printing andwhich could lead to incorrect or unsafe application of thepublication.

Technicalcorrigendaarenotissuedtocorrecterrorsthatcanbeassumedtohavenoconsequencesintheapplicationofthepublication,forexampleminorprintingerrors.

Technical corrigenda are not issued to update information that has become outdated sincepublication.

Suspected technical errors shall be brought to the attention of the secretariat of the technicalcommittee or subcommittee concerned. After confirmation by the secretariat and chair, ifnecessary inconsultationwiththeproject leaderandP‐membersof the technicalcommitteeorsubcommittee,thesecretariatshallsubmittotheofficeoftheCEOaproposalforcorrection,withanexplanationoftheneedtodoso.

In JTC 1, suspected technical errors shall be brought to the attention of the secretariat of thetechnicalcommitteeorsubcommitteeconcerned.Afterconfirmationbythesecretariatandchair,ifnecessaryinconsultationwiththeprojecteditorandP‐membersofthetechnicalcommitteeorsubcommittee,thesecretariatshallsubmittoITTFaproposalforcorrection,withanexplanationoftheneedtodoso.

The Chief Executive Officer shall decide, in consultation with the secretariat of the technicalcommittee or subcommittee, and bearing in mind both the financial consequences to theorganization and the interests of users of the publication, whether to publish a technicalcorrigendumoracorrectedorupdatedreprintoftheexistingeditionofthepublication(seealso2.10.4).Ingeneral,atechnicalcorrigendumwillnotbeissuedforanInternationalStandardthatisolderthan3years.

In JTC 1, ITTF shall decide, in consultation with the secretariat of the technical committee orsubcommittee,andbearinginmindboththefinancialconsequencestotheorganizationandtheinterestsofusersofthepublication,whethertopublishatechnicalcorrigendumoracorrectedorupdatedreprintoftheexistingeditionofthepublication(seealso2.10.4).Ingeneral,atechnicalcorrigendumwillnotbeissuedforanInternationalStandardthatisolderthan3years.

2.10.3 InJTC1theproceduresfordevelopingandpublishingTechnicalCorrigendaaregiveninJTC1StandingDocument21on“DefectCorrectionofInternationalStandards”.Amendments

An amendment alters and/or adds to previously agreed technical provisions in an existingInternationalStandard.

Theprocedurefordevelopingandpublishinganamendmentshallbeasdescribedin2.3(ISOandJTC1),orthereviewandmaintenanceprocedures(seeIECSupplement)and2.4to2.8.JTC1usesthesameproceduresasISO.



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At the approval stage (2.7), the Chief Executive Officer shall decide, in consultation with thesecretariatof the technical committeeorsubcommittee, andbearing inmindboth the financialconsequencestotheorganizationandtheinterestsofusersoftheInternationalStandard,whetherto publish an amendment or a new edition of the International Standard, incorporating theamendment.(Seealso2.10.4.)

NOTE Whereit is foreseenthattherewillbefrequentadditions to theprovisionsofanInternationalStandard,thepossibilityshouldbeborneinmindattheoutsetofdevelopingtheseadditionsasaseriesofparts(seeISO/IECDirectives,Part2).

2.10.4 Avoidanceofproliferationofmodifications

Nomorethan2separatedocumentsintheformoftechnicalcorrigendaoramendmentsshallbepublishedmodifyingacurrentInternationalStandard.ThedevelopmentofathirdsuchdocumentshallresultinpublicationofaneweditionoftheInternationalStandard.

2.11 Maintenanceagencies

Whenatechnicalcommitteeorsubcommitteehasdevelopedastandardthatwillrequirefrequentmodification, it may decide that a maintenance agency is required. Rules concerning thedesignationofmaintenanceagenciesaregiveninAnnexG.

2.12 Registrationauthorities

Whenatechnicalcommitteeorsubcommitteehasdevelopedastandardthatincludesregistrationprovisions,aregistrationauthority isrequired.RulesconcerningthedesignationofregistrationauthoritiesaregiveninAnnexH.

InJTC1,seeStandingDocument16on“RegistrationAuthorities”foradditionalrequirements.

2.13 Copyright

ThecopyrightforalldraftsandInternationalStandardsandotherpublicationsbelongstoISO,IECorISOandIEC,respectivelyasrepresentedbytheofficeoftheCEO.

Thecontentof,forexample,anInternationalStandardmayoriginatefromanumberofsources,including existing national standards, articles published in scientific or trade journals, originalresearchanddevelopmentwork,descriptionsofcommercializedproducts,etc.Thesesourcesmaybesubjecttooneormorerights.

InISOandIEC,thereisanunderstandingthatoriginalmaterialcontributedtobecomeapartofanISO,IECorISO/IECpublicationcanbecopiedanddistributedwithintheISOand/orIECsystems(asrelevant)aspartoftheconsensusbuildingprocess,thisbeingwithoutprejudicetotherightsofthe original copyright owner to exploit the original text elsewhere.Wherematerial is alreadysubjecttocopyright,therightshouldbegrantedtoISOand/orIECtoreproduceandcirculatethematerial.Thisisfrequentlydonewithoutrecoursetoawrittenagreement,oratmosttoasimplewrittenstatementofacceptance.WherecontributorswishaformalsignedagreementconcerningcopyrightofanysubmissionstheymaketoISOand/orIEC,suchrequestsmustbeaddressedtoISOCentralSecretariatortheIECCentralOffice,respectively.

AttentionisdrawntothefactthattherespectivemembersofISOandIEChavetherighttoadoptandre‐publishanyrespectiveISOand/orIECstandardastheirnationalstandard.Similarformsofendorsementdoormayexist(forexample,withregionalstandardizationorganizations).


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In JTC 1, the copyright for DIS/FDISs, International Standards, DAM/FDAMs, amendments,technicalcorrigenda,technicalspecifications,andtechnicalreportsbelongstoISOandIEC.

Forthosestandardsrequiringit,aregistershallbepublished.ThecopyrightfortheregisterbelongstoISOandIECwhichmaylicensethecopyrighttotheJTC1RegistrationAuthorityforaslongasitfunctionsinthiscapacity.

2.14 Referencetopatenteditems(seealsoAnnexI)

2.14.1 If,inexceptionalsituations,technicalreasonsjustifysuchastep,thereisnoobjectioninprincipletopreparinganInternationalStandardintermswhichincludetheuseofitemscoveredbypatentrights–definedaspatents,utilitymodelsandotherstatutoryrightsbasedoninventions,includinganypublishedapplicationsforanyoftheforegoing–evenifthetermsofthestandardaresuchthattherearenoalternativemeansofcompliance.

Therulesgivenbelowshallbeapplied.

2.14.2 Iftechnicalreasonsjustifythepreparationofadocumentintermswhichincludetheuseofitemscoveredbypatentrights,thefollowingproceduresshallbecompliedwith:

a) Theproposerofaproposalforadocumentshalldrawtheattentionofthecommitteetoanypatentrightsofwhichtheproposerisawareandconsiderstocoveranyitemoftheproposal.Anypartyinvolvedinthepreparationofadocumentshalldrawtheattentionofthecommitteetoanypatentrightsofwhichitbecomesawareduringthedevelopmentofthedocument.

b) If theproposal is acceptedon technicalgrounds, theproposer shall askanyholderof suchidentifiedpatentrightsforastatementthattheholderwouldbewillingtonegotiateworldwidelicences under his rights with applicants throughout the world on reasonable and non‐discriminatorytermsandconditions.SuchnegotiationsarelefttothepartiesconcernedandareperformedoutsideISOand/orIEC.Arecordoftherightholder'sstatementshallbeplacedintheregistryoftheISOCentralSecretariatorIECCentralOfficeasappropriate,andshallbereferredtointheintroductiontotherelevantdocument.Iftherightholderdoesnotprovidesuchastatement,thecommitteeconcernedshallnotproceedwithinclusionofanitemcoveredbyapatentrightinthedocumentwithoutauthorizationfromISOCouncilorIECCouncilBoardasappropriate.

c) Adocumentshallnotbepublisheduntilthestatementsoftheholdersofallidentifiedpatentrightshavebeenreceived,unlessthecouncilboardconcernedgivesauthorization.

2.14.3 Should itbe revealed afterpublicationof adocument that licencesunderpatent rights,whichappeartocoveritemsincludedinthedocument,cannotbeobtainedunderreasonableandnon‐discriminatory terms and conditions, the document shall be referred back to the relevantcommitteeforfurtherconsideration.

3 Developmentofotherdeliverables

3.1 TechnicalSpecifications

InJTC1,SeeStandingDocument6on“TechnicalSpecificationsandTechnicalReports”fortheJTC1specificrequirementsonthistopic.


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3.1.1 Technical Specifications may be prepared and published under the followingcircumstancesandconditions.

3.1.1.1 Whenthesubjectinquestionisstillunderdevelopmentorwhereforanyotherreasonthere is the future but not immediate possibility of an agreement to publish an InternationalStandard,thetechnicalcommitteeorsubcommitteemaydecide,byfollowingtheproceduresetoutin2.3,thatthepublicationofaTechnicalSpecificationwouldbeappropriate.Theprocedureforpreparationof suchaTechnical Specificationshallbeas setout in2.4 and2.5.Thedecision topublishtheresultingdocumentasaTechnicalSpecificationshallrequireatwo‐thirdsmajorityvoteoftheP‐membersvotingofthetechnicalcommitteeorsubcommittee.

3.1.1.2 WhentherequiredsupportcannotbeobtainedforafinaldraftInternationalStandardto pass the approval stage (see 2.7), or in case of doubt concerning consensus, the technicalcommitteeorsubcommitteemaydecide,byatwo‐thirdsmajorityvoteofP‐membersvoting,thatthedocumentshouldbepublishedintheformofaTechnicalSpecification.

3.1.2 When the P‐members of a technical committee or subcommittee have agreed upon thepublicationofaTechnicalSpecification,thedraftspecificationshallbesubmittedelectronicallybythesecretariatofthetechnicalcommitteeorsubcommitteetotheofficeoftheCEOwithin16weeksfor publication. Competing technical specifications offering different technical solutions arepossibleprovidedthattheydonotconflictwithexistingInternationalStandards.

3.1.3 Technical Specifications shall be subject to review by the technical committee orsubcommitteenotlaterthan3yearsaftertheirpublication.Theaimofsuchreviewshallbetore‐examinethesituationwhichresultedinthepublicationofaTechnicalSpecificationandifpossibletoachievetheagreementnecessaryforthepublicationofanInternationalStandardtoreplacetheTechnicalSpecification.InIEC,thedateforthisreviewisbasedonthestabilitydatewhichshallbeagreedinadvanceofthepublicationoftheTechnicalSpecification(reviewdate).InJTC1,theIEC‐specificproceduresdonotapply.

3.2 PubliclyAvailableSpecifications(PAS)

ThissectiondoesnotapplytoJTC1.

In JTC1, the JTC1 PAS (Publicly Available Specification) Transposition process is a differentprocessfromtheonethatresultsinPASdeliverablesinISOandIEC(seeAnnexF).

3.2.1 APASmaybeanintermediatespecification,publishedpriortothedevelopmentofafullInternationalStandard,or,inIECmaybea“duallogo”publicationpublishedincollaborationwithanexternalorganization.Itisadocumentnotfulfillingtherequirementsforastandard.

3.2.2 AproposalforsubmissionofaPASmaybemadebyanA‐liaisonorD‐liaison(see1.17)orbyanyP‐memberofthecommittee.

3.2.3 ThePAS ispublishedafterverificationof thepresentationandcheckingthatthere isnoconflictwithexistingInternationalStandardsbythecommitteeconcernedandfollowingsimplemajorityapprovaloftheP‐membersvotingofthecommitteeconcerned.CompetingPASofferingdifferent technical solutions are possible provided that they do not conflict with existingInternationalStandards.

3.2.4 APAS shall remainvalid for an initialmaximumperiod of 3years.Thevaliditymay beextendedforasingleperioduptoamaximumof3years,attheendofwhichitshallbetransformedwithorwithoutchangeintoanothertypeofnormativedocument,orshallbewithdrawn.


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3.3 TechnicalReports

InJTC1,SeeStandingDocument6on“TechnicalSpecificationsandTechnicalReports”fortheJTC1specificrequirementsonthistopic.

3.3.1 WhenatechnicalcommitteeorsubcommitteehascollecteddataofadifferentkindfromthatwhichisnormallypublishedasanInternationalStandard(thismayinclude,forexample,dataobtainedfromasurveycarriedoutamongtheNationalBodies,dataonworkinotherinternationalorganizations or data on the "state of the art" in relation to standards ofNational Bodies on aparticularsubject),thetechnicalcommitteeorsubcommitteemaydecide,byasimplemajorityvoteofP‐membersvoting,torequesttheChiefExecutiveOfficertopublishsuchdataintheformofaTechnicalReport.Thedocumentshallbeentirelyinformativeinnatureandshallnotcontainmatterimplyingthat it isnormative. Itshallclearlyexplainitsrelationshiptonormativeaspectsofthesubjectwhichare,orwillbe,dealtwithinInternationalStandardsrelatedtothesubject.TheChiefExecutiveOfficer,ifnecessaryinconsultationwiththetechnicalmanagementboard,shalldecidewhethertopublishthedocumentasaTechnicalReport.

3.3.2 When the P‐members of a technical committee or subcommittee have agreed upon thepublication of a Technical Report, the draft report shall be submitted electronically by thesecretariatofthetechnicalcommitteeorsubcommitteetotheChiefExecutiveOfficerwithin16weeksforpublication.

3.3.3 It is recommended that Technical Reports are regularly reviewed by the committeeresponsible,toensurethattheyremainvalid.WithdrawalofaTechnicalReportisdecidedbythetechnicalcommitteeorsubcommitteeresponsible.

TechnicalReportsarenotsubjecttosystematicreview.

4 Meetings

4.1 General

4.1.1 Technicalcommitteesandsubcommitteesshallusecurrentelectronicmeanstocarryouttheirwork(forexample,e‐mail,groupwareandteleconferencing)whereverpossible.Ameetingofatechnicalcommitteeorsubcommitteeshouldbeconvenedonlywhenitisnecessarytodiscusscommitteedrafts(CD)orothermattersofsubstancewhichcannotbesettledbyothermeans.InJTC1,seealsoStandingDocument19on“Meetings”.

4.1.2 The technical committee secretariat should look ahead with a view to drawing up, inconsultationwiththeofficeoftheCEO,aplannedminimum2‐yearprogrammeofmeetingsofthetechnicalcommitteeanditssubcommitteesand,ifpossible,itsworkinggroups,takingaccountoftheprogrammeofwork.

In JTC1,meetingsof JTC1shallbeconvenedby the JTC1secretariatatnominal twelve‐monthintervalsandshallbeofadequatedurationtoresolveallagendaitems.

4.1.3 In planning meetings, account should be taken of the possible advantage of groupingmeetingsof technical committeesandsubcommitteesdealingwith relatedsubjects, inorder toimprove communication and to limit the burden of attendance at meetings by delegates whoparticipateinseveraltechnicalcommitteesorsubcommittees.

InJTC1,thepossibleadvantageofgroupingmeetingsappliesalsotoworkinggroups.


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4.1.4 In planning meetings, account should also be taken of the advantages for the speedypreparationofdraftsofholdingameetingoftheeditingcommitteeimmediatelyafterthemeetingofthetechnicalcommitteeorsubcommitteeandatthesameplace.

4.2 Procedureforcallingameeting

4.2.1 Technicalcommitteeandsubcommitteemeetings

InJTC1,seealsoStandingDocument19on“Meetings”forplanningphysicalorelectronicmeetings.

4.2.1.1 Thedateandplaceofameetingshallbesubjecttoanagreementbetweenthechairandthesecretariatofthetechnicalcommitteeorsubcommitteeconcerned,theChiefExecutiveOfficerandtheNationalBodyactingashost.Inthecaseofasubcommitteemeeting,thesubcommitteesecretariat shall first consultwith the secretariatof theparent technical committee inorder toensurecoordinationofmeetings(seealso4.1.3).

4.2.1.2 ANationalBodywishingtoactashostforaparticularmeetingshallcontacttheChiefExecutiveOfficerandthetechnicalcommitteeorsubcommitteesecretariatconcerned.

TheNationalBodyshallfirstascertainthattherearenorestrictionsimposedbyitscountrytotheentry of representatives of any P‐member of the technical committee or subcommittee for thepurposeofattendingthemeeting.

The hosting organizations are advised to verify and provide information on access means tomeeting facilities. This includes availability of lifts or ramps at themeeting location aswell asaccessiblepublictransporttothemeetingfacilities.

InJTC1,thehostNationalBodyisresponsibleforprovidingsecretariatsupportandservicesformeetings unless alternative arrangements have been agreed with the responsible committeesecretariat.

In JTC 1, the committee secretariat must inform the hosting national standards body of allaccreditedmeetingattendeessothatthelattercanmakeappropriatearrangementsforthemeeting.

InJTC1,itistheresponsibilityofthenationalstandardsbodiesincountrieswithparticipantswhoneed invitation letters for visas to send thenamesof theseparticipants directly to thehostingnationalstandardsbody.

4.2.1.3 ThesecretariatshallensurethatarrangementsaremadefortheagendaandlogisticalinformationtobecirculatedbytheofficeoftheCEO(intheIEC)orbythesecretariatwithacopytotheofficeoftheCEO(inISO)atthelatest16weeksbeforethedateofthemeeting.InJTC1anditssubcommittees,anycommentsontheagendaorproposalsfortheadditionofnewworkitemproposals shouldbe sent to the committee secretariat by themembersnot later than8weeksbeforethemeeting.Thesecretariatshalldistributesuchcommentsorproposalsimmediatelyinordertopermitadequatepreparationbydelegates.

NOTEAllnewworkitemproposalsmustbeapprovedbycorrespondence(committeeinternalballot–CIB)see2.3.4

Onlythosecommitteedrafts forwhichthecompilationofcommentswillbeavailableat least6weeksbefore themeeting shall be includedon theagendaandbeeligible fordiscussionat themeeting.


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Anyotherworkingdocuments,includingcompilationsofcommentsondraftstobediscussedatthemeeting,shallbedistributednotlessthan6weeksinadvanceofthemeeting.

InJTC1anditssubcommittees,onlythosecommitteedraftsforwhichthecompilationofcommentswillbeavailableat least fourweeksbeforethemeetingshallbe includedontheagendaandbeeligiblefordiscussionatthemeeting.

4.2.2 Workinggroupmeetings

In JTC 1, see Standing Document 19 on “Meetings” for the JTC 1 specific requirements onWGmeetings.

4.2.2.1 Workinggroupsshallusecurrentelectronicmeanstocarryouttheirwork(forexample,e‐mail, groupware and teleconferencing)whereverpossible.When ameetingneeds tobeheld,notificationbytheconvenorofthemeetingsofaworkinggroupshallbesenttoitsmembersandtothesecretariatoftheparentcommittee,atleast6weeksinadvanceofthemeeting.

In JTC 1, working group meeting agendas shall be distributed by the convenor or secretariatpreferably fourmonthsbutno less than12weeks inadvance.Workinggroupagendasshallbedistributedtothemembersoftheworkinggroupandtheparentbody.

In JTC 1, see also StandingDocument 19 on “Meetings” for requirement for planningWorkingGroupphysicalorelectronicmeetings,inparticulartherequirementsforpostinganoticeofthemeeting,theagenda,anddocumentstobediscussed.

Arrangementsformeetingsshallbemadebetweentheconvenorandthememberoftheworkinggroupinwhosecountrythemeetingistobeheld.Thelattermembershallberesponsibleforallpracticalworkingarrangements.

InJTC1,asworkinggroupsmayincludealargenumberofparticipants,themeetingdateandvenueshallbeagreedbythesecretariatoftheparentbodyandtheNationalBodyofthecountryinwhichthemeetingisheld.

4.2.2.2 Ifaworkinggroupmeetingistobeheldinconjunctionwithameetingoftheparentcommittee, the convenor shall coordinate arrangements with the secretariat of the parentcommittee.Inparticular,itshallbeensuredthattheworkinggroupmembersreceiveallgeneralinformationforthemeeting,whichissenttodelegatestothemeetingoftheparentcommittee.

4.3 Languagesatmeetings

ThelanguagesatmeetingsareEnglish,FrenchandRussian,andmeetingsareconductedinanyoneormoreofthese.

TheNationalBodyfortheRussianFederationprovidesallinterpretationandtranslationintoorfromtheRussianlanguage.

ThechairandsecretariatareresponsiblefordealingwiththequestionoflanguageatameetinginamanneracceptabletotheparticipantsfollowingthegeneralrulesofISOorIEC,asappropriate.(SeealsoAnnexE.)

Ingeneral,theworkofJTC1anditssubsidiarybodiesisconductedinEnglish,thoughsufficientknowledgeofFrenchmayberequiredforcertaindocuments.


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When at a meeting of JTC1 or one of its subsidiary bodies a participant wishes, in view ofexceptionalcircumstances,tospeakinanyotherlanguage,thechairmanorconvenorofthesessionshallbeentitledtoauthorizethis,forthesessiononly,providedthatameansofinterpretationhasbeensecured.

4.4 Cancellationofmeetings

Everypossibleeffortshallbemadetoavoidcancellationorpostponementofameetingonceithasbeenconvened.Nevertheless,iftheagendaandbasicdocumentsarenotavailablewithinthetimerequiredby4.2.1.3,thentheChiefExecutiveOfficerhastherighttocancelthemeeting.

5 Appeals

5.1 General

5.1.1 Nationalbodieshavetherightofappeal

a) totheparenttechnicalcommitteeonadecisionofasubcommittee;

b) tothetechnicalmanagementboardonadecisionofatechnicalcommittee;

c) tothecouncilboardonadecisionofthetechnicalmanagementboard,

within12weeksinISOand8weeksinIECofthedecisioninquestion.

Thedecisionofthecouncilboardonanycaseofappealisfinal.

5.1.2 AP‐memberofatechnicalcommitteeorsubcommitteemayappealagainstanyaction,orinaction,onthepartofthetechnicalcommitteeorsubcommittee,whentheP‐memberconsidersthatsuchactionorinactionis

a) notinaccordancewith

— theStatutesandRulesofProcedure;

— theISO/IECDirectives;or

b) notinthebestinterestsofinternationaltradeandcommerce,orsuchpublicfactorsassafety,healthorenvironment.

InJTC1,anyNationalBodymayappealagainstanyactionorinaction.

5.1.3 Mattersunderappealmaybeeithertechnicaloradministrativeinnature.

Appealsondecisionsconcerningnewworkitemproposals,committeedrafts,enquirydraftsandfinaldraftInternationalStandardsareonlyeligibleforconsiderationif

— questionsofprincipleareinvolved,or

— thecontentsofadraftmaybedetrimentaltothereputationofISOorIEC.

5.1.4 AllappealsshallbefullydocumentedtosupporttheP‐member'sconcern.


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InJTC1,allappealsshallbefullydocumentedtosupporttheNationalBody’sconcern.Theappealshall state the nature of the objection(s) including any direct andmaterial adverse effects, thesection(s)oftheseproceduresorthestandardthatareatissue,actionsorinactionsthatareatissue,andthespecificremedialaction(s)thatwouldsatisfytheappellant’sconcerns.Previouseffortstoresolvetheobjection(s)andtheoutcomeofeachshallbenoted.

5.2 Appealagainstasubcommitteedecision

5.2.1 ThedocumentedappealshallbesubmittedbytheP‐membertothesecretariatoftheparenttechnicalcommittee,withacopytotheChiefExecutiveOfficer.

5.2.2 Upon receipt, the secretariat of the parent technical committee shall advise all its P‐membersoftheappealandtakeimmediateaction,bycorrespondenceoratameeting,toconsideranddecideontheappeal,consultingtheChiefExecutiveOfficerintheprocess.

5.2.3 Ifthetechnicalcommitteesupportsitssubcommittee,thentheP‐memberwhichinitiatedtheappealmayeither

— acceptthetechnicalcommitteedecision,or

— appealagainstit.

5.3 Appealagainstatechnicalcommitteedecision

5.3.1 Appealsagainstatechnicalcommitteedecisionmaybeof2kinds:

— anappealarisingoutof5.32.3above,or

— anappealagainstanoriginaldecisionofatechnicalcommittee.

5.3.2 Thedocumentedappealshall,inallcases,besubmittedtotheChiefExecutiveOfficer,withacopytothechairandsecretariatofthetechnicalcommittee.

5.3.3 TheChiefExecutiveOfficershall,followingwhateverconsultationss/hedeemsappropriate,refertheappealtogetherwithhiscommentstothetechnicalmanagementboardwithin4weeksafterreceiptoftheappeal.

5.3.4 Thetechnicalmanagementboardshalldecidewhetheranappealshallbefurtherprocessedornot.Ifthedecisionisinfavourofproceeding,thechairofthetechnicalmanagementboardshallformaconciliationpanel.

Theconciliationpanelshallheartheappealwithin12weeksandattempttoresolvethedifferenceofopinionassoonaspracticable.Theconciliationpanelshallgiveafinalreportwithin12weeks.Iftheconciliationpanelisunsuccessfulinresolvingthedifferenceofopinion,thisshallbereportedtotheChiefExecutiveOfficer,togetherwithrecommendationsonhowthemattershouldbesettled.

5.3.5 TheChiefExecutiveOfficer,onreceiptofthereportoftheconciliationpanel,shallinformthetechnicalmanagementboard,whichwillmakeitsdecision.

5.4 Appealagainstatechnicalmanagementboarddecision

AnappealagainstadecisionofthetechnicalmanagementboardshallbesubmittedtotheChiefExecutiveOfficerwithfulldocumentationonallstagesofthecase.


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TheChiefExecutiveOfficershallrefertheappealtogetherwithhiscommentstothemembersofthecouncilboardwithin4weeksafterreceiptoftheappeal.

Thecouncilboardshallmakeitsdecisionwithin

12weeks.

5.5 Progressofworkduringanappealprocess

Whenanappealisagainstadecisionrespectingworkinprogress,theworkshallbecontinued,uptoandincludingtheapprovalstage(see2.7).


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AnnexA(normative)

Guides

A.1 Introduction

InadditiontoInternationalStandards,TechnicalSpecifications,PubliclyAvailableSpecificationsandTechnicalReportspreparedbytechnicalcommittees,ISOandIECpublishGuidesonmattersrelatedto internationalstandardization.GuidesshallbedraftedinaccordancewiththeISO/IECDirectives,Part2.

Guidesshallnotbepreparedbytechnicalcommitteesandsubcommittees.TheymaybepreparedbyanISOPolicyDevelopmentCommittee,anIECAdvisoryCommitteeorStrategicGroup,anISOgroupreportingtotheISOtechnicalmanagementboard,oranISO/IECJointCoordinationGroup.Thesebodiesarereferredtobelowasthe"CommitteeorGroupresponsiblefortheproject".

TheprocedureforpreparationandpublicationofaGuideisasdescribedbelow.

A.2 Proposalstage

The ISO and/or IEC technical management board will approve proposals for new Guides orrevisions of Guides and decide on the secretariat and composition of the Committee or Groupresponsiblefortheproject.

OnceaprojectisapprovedbytheISOand/orIECtechnicalmanagementboard,thesecretariatoftheCommitteeorGroupresponsiblefortheprojectshallensurethattheappropriateinterestsinISOandIECareinformed.

A.3 Preparatorystage

TheCommitteeorGroupresponsiblefortheprojectshallensurethattheappropriateinterestsinISOandIEChavetheopportunitytoberepresentedduringthepreparationoftheworkingdraft.

A.4 Committeestage

Once a working draft is available for circulation as a committee draft, the secretariat of theCommitteeorGroupresponsiblefortheprojectshallsendittotheparentcommitteeorISOand/orIEC technical management board for vote, comments and to approve its advancement to theEnquirystage.


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A.5 Enquirystage

A.5.1 TheofficeoftheCEOsshallcirculateboththeEnglishandFrenchtextsofthereviseddraftGuidetoallNationalBodiesfora16‐weekvote.

A.5.2 ThedraftGuideisapprovedforpublicationasaGuideifnotmorethanone‐quarterofthevotescastarenegative,abstentionsbeingexcludedwhenthevotesarecounted.

InthecaseofISO/IECGuides,thedraftshallbesubmittedforapprovaltotheNationalBodiesofbothISOandIEC.TheNationalBodiesofbothorganizationsneedtoapprovethedocumentifitistobepublishedasanISO/IECGuide.

Ifthisconditionissatisfiedforonlyoneoftheorganizations,ISOorIEC,theGuidemaybepublishedunderthenameoftheapprovingorganizationonly,unlesstheCommitteeorGroupresponsiblefortheprojectdecidestoapplytheproceduresetoutinA.5.3.

A.5.3 IfadraftGuideisnotapproved,orifitisapprovedwithcommentstheacceptanceofwhichwouldimproveconsensus,thechairoftheCommitteeorGroupresponsiblefortheprojectmaydecide to submit an amended draft for an 8‐week vote. The conditions for acceptance of theamendeddraftarethesameasinA.5.2.

A.6 Publicationstage

ThepublicationstageshallbetheresponsibilityoftheofficeoftheCEOoftheorganizationtowhichtheCommitteeorGroupresponsiblefortheprojectbelongs.

InthecaseofaJointISO/IECGroup,theresponsibilityshallbedecidedbyagreementbetweentheChiefExecutiveOfficers.

A.7 WithdrawalofaGuide

TheCommitteeorGroupresponsiblefortheGuideshallberesponsiblefordecidingiftheGuideshallbewithdrawn.Theformalwithdrawalshallberatifiedbythetechnicalmanagementboard(TMB)inaccordancewithitsnormalprocedures.


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AnnexB(normative)

ISO/IECproceduresforliaisonandworkallocation

B.1 Introduction

By the ISO/IEC Agreement of 1976 2 , ISO and IEC together form a system for internationalstandardizationas awhole.For this system tooperate efficiently, the followingproceduresareagreed for coordination and allocation of work between the technical committees andsubcommitteesofbothorganizations.

B.2 Generalconsiderations

Theallocationofworkbetween ISOand IEC isbasedon theagreedprinciple thatallquestionsrelating to international standardization in the electrical and electronic engineering fields arereserved to IEC, the other fields being reserved to ISO and that allocation of responsibility formatters of international standardizationwhere the relative contribution of electrical and non‐electricaltechnologiesisnotimmediatelyevidentwillbesettledbymutualagreementbetweentheorganizations.

Questions of coordination and work allocationmay arise when establishing a new ISO or IECtechnicalcommittee,orasaresultoftheactivitiesofanexistingtechnicalcommittee.

Thefollowinglevelsofcoordinationandworkallocationagreementareavailable.Mattersshouldberaisedatthenexthigherlevelonlyafterallattemptstoresolvethematthelowerlevelshavefailed.

a) FormalliaisonsbetweenISOandIECcommitteesfornormalinter‐committeecooperation.

b) Organizationalconsultations, including technicalexpertsandrepresentativesof theChiefExecutiveOfficers, forcaseswhere technicalcoordinationmayhaveaneffecton the futureactivitiesoftheorganizationsinalargersensethanthepointunderconsideration.

c) Decisionsonworkallocation

— bythetechnicalmanagementboardsor,ifnecessary,

— theISO/IECJointTechnicalAdvisoryBoard(JTAB).

Questionsaffectingboth ISO and IEC,onwhich ithasnotprovedpossible toobtain a commondecisionbytheISOTechnicalManagementBoardandtheIECStandardizationManagementBoard,arereferredtotheISO/IECJointTechnicalAdvisoryBoard(JTAB)fordecision(see1.3.1).

2ISOCouncilresolutions49/1976and50/1976andIECAdministrativeCircularNo.13/1977.


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B.3 Establishingnewtechnicalcommittees

WheneveraproposaltoestablishanewtechnicalcommitteeismadetotheNationalBodiesofISOorofIECrespectively,theproposalshallalsobesubmittedtotheotherorganizationrequestingcommentand/oragreement.Asaresultoftheseconsultations,twocasesmayarise:

a) theopinionisunanimousthattheworkshouldbecarriedoutinoneoftheorganizations;

b) opinionsaredivided.

Incasea),formalactionmaythenbetakentoestablishthenewtechnicalcommitteeaccordingtotheunanimousopinion.

Incaseb),ameetingofexpertsinthefieldconcernedshallbearrangedwithrepresentativesoftheChiefExecutiveOfficerswithaviewtoreachingasatisfactoryagreementforallocationofthework(i.e.,organizationallevel).Ifagreementisreachedatthislevel,formalactionmaybetakenbytheappropriateorganizationtoimplementtheagreement.

In the case of disagreement after these consultations, the matter may be referred by eitherorganizationtotheISO/IECJointTechnicalAdvisoryBoard(JTAB).

B.4 CoordinatingandallocatingworkbetweenISOandIECtechnicalcommittees

B.4.1 FormalliaisonatTClevel

MostcoordinationneedsarisingbetweenindividualISOandIECcommitteesaresuccessfullydealtwith through formal technical liaison arrangements. These arrangements, when requested byeither organization, shall be honoured by the other organization. Requests for formal liaisonarrangementsarecontrolledbytheofficesoftheCEOs.Therequestingorganizationshallspecifythetypeofliaisonrequired,suchas:

a) fullorselectiveexchangeofcommitteedocuments;

b) regularorselectiveattendanceofliaisonrepresentativesatmeetings;

c) participation in a standing coordination (or steering) committee for selected ISO and IECtechnicalcommittees;

d) settingupofaJointWorkingGroup(JWG).

B.4.2 Detailsofagreement

B.4.2.1 ContinualeffortsshallbemadetominimizetheoverlapareasbetweenIECandISObyentrustingareasofworktooneofthetwoorganizations.

Forareasofworksoentrusted,IECandISOshallagreethroughtheJTABonhowtheviewsandinterestsoftheotherorganizationaretobefullytakenintoaccount.


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B.4.2.2 Fiveworkingmodesofcooperationhavebeenestablished,asfollows:

Mode1–Informativerelation

Oneorganizationisfullyentrustedwithaspecificworkareaandkeepstheotherfullyinformedofallprogress.

Mode2–Contributiverelation

One organization should take the lead of the work and the other should make writtencontributionswhereconsideredappropriateduringtheprogressofthiswork.Thisrelationalsoincludestheexchangeoffullinformation.

Mode3–Subcontractingrelation

Oneorganizationisfullyentrustedwiththerealizationoftheworkonanidentifieditem,butduetospecializationoftheother,apartoftheworkissubcontractedandthatpartispreparedundertheresponsibilityofthesecondorganization.Necessaryarrangementsshallbemadetoguaranteethecorrectintegrationoftheresultingsubcontractedworkintothemainpartoftheprogramme.To this end, the enquiry and approval stages are handledby the organizationbeingthemaincontractorforthestandardizationtask.

Mode4–Collaborativerelation

Oneorganizationtakestheleadintheactivities,buttheworksessionsandmeetingsreceivedelegatesfromtheotherwhohaveobserverstatusandwhoensurethetechnicalliaisonwiththeotherorganization.Suchobserversshouldhavetherightto interveneinthedebatebuthavenorighttovote.Thefullflowofinformationisorientedthroughthisliaison.

Mode5–Integratedliaison

JointWorkingGroupsandJointTechnicalCommitteesensureintegratedmeetingsforhandlingtogethertherealizationofstandardsunderaprincipleoftotalequalityofparticipation.

JointWorkingGroupsbetweentechnicalcommitteesofthetwoorganizationsshalloperateinaccordancewith1.12.6.

B.4.2.3 TheallocationofworkbetweenIECandISOforpotentiallyoverlappingareaswillbesetoutasrequiredinschedulesorprogrammeswhich,whenagreedbytherelevantparties,willformaddendatothisagreement.

Aconsequenceofthisagreementisthatthepartiesagreetocross‐refertotherelevantstandardsoftheotherintherespectivecompetentfieldsofinterest.

Whenthestandardbeingreferred to isupdated, it is the responsibilityof thebodymaking thereferencetotakecareoftheupdatingofthereferencewhereappropriate.

B.4.2.4 Forworkforwhichoneorganizationhasassumedresponsibilityandforwhichtherewill be subcontracting of work to the other, the fullest account shall be taken of the interestsparticipatinginthesubcontractedworkindefiningtheobjectivesofthatwork.

B.4.2.5 The necessary procedures for enquiry and approval shall be realized by theorganizationentrustedwithaparticularstandardizationtask,exceptasotherwiseagreedbythetwotechnicalmanagementboards.


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B.4.2.6 ForstandardsdevelopedundertheMode5–Integratedliaison,thecommittee,enquiryandapprovalstagesshallbecarriedoutinparallelinbothISOandIECinaccordancewiththerulesof the organization with the administrative lead. The committee/ organization with theadministrative responsibility for theproject shall submitdrafts for thecommittee, enquiryandapprovalstagestotheotherorganizationtwoweekspriortothecirculationdate.

B.4.2.7 Whentheenquirydrafthasnotfulfilledtheapprovalcriteria(see2.6.3)inoneoftheorganizations,then:

— theofficersofthecommitteesinvolvedinthejointworkinggroupmayselectoneofoptionsgivenin2.6.4c)or

— inexceptional circumstances, if agreedbetween theofficersof the ISOand IECcommitteesinvolvedinthejointworkinggroupandtheofficesoftheCEO,theprojectmayproceedasasinglelogostandardoftheorganizationinwhichtheenquirydraftwasapproved.Thejointworkinggroupisautomaticallydisbanded.

B.4.2.8 IfthefinaldraftInternationalStandardisnotapprovedinaccordanceoftheconditionsin2.7.3then:

— thecommitteesinvolvedinthejointworkinggroupmayselectoneoftheoptionsgivenin2.7.7,notingthatinIECthecirculationofasecondfinaldraftInternationalStandardisnotallowedandwillrequireaderogationoftheTMBor

— inexceptional circumstances, if agreedbetween theofficersof the ISOand IECcommitteesinvolvedinthejointworkinggroupandtheofficesoftheCEO,thestandardmaybepublishedasasinglelogostandardoftheorganizationinwhichthefinaldraftInternationalStandardwasapproved.Thejointworkinggroupisautomaticallydisbanded.

B.4.2.9 StandardsdevelopedundertheMode5–IntegratedliaisonviaajointworkinggroupbetweenISOandIECarepublishedbytheorganizationofthecommitteehavingadministrativeresponsibility. That organization assigns the reference number of the standard and owns thecopyrightofthestandard.Thestandardcarriesthelogooftheotherorganizationandmaybesoldbybothorganizations.TheforewordoftheInternationalStandardwillidentifyallthecommitteesresponsibleforthedevelopment.Forthosestandardswherethecommitteewiththeadministrativeresponsibility is in the IEC, then the foreword will also give the ISO voting results. ISO‐leaddocumentsareassignednumbersfrom1to59999,IEC‐leaddocumentsareassignednumbersfrom60000to79999.Inthecaseofmulti‐partstandards,somepartsbeingunderISOresponsibilityandsomebeingunderIECresponsibility,anumberinthe80000seriesisassigned(e.g.ISO80000‐1,IEC80000‐6).

B.4.2.10 ThemaintenanceprocedurestobeusedforstandardsdevelopedundertheMode5–Integratedliaisonwillbethosecurrentlyappliedintheorganizationwhichhasthecommitteewiththeadministrativeresponsibility.

B.4.2.11 Ifthereisareason,duringthedevelopmentoftheproject,tochangefromonemodeofoperationtoanother,arecommendationshallbemadebybothtechnicalcommitteesconcernedandsubmittedtothetwotechnicalmanagementboardsforinformation.

B.4.3 Cooperationofsecretariats

The secretariats of the technical committees/subcommittees from the two organizationsconcernedshall cooperateon the implementationof this agreement.There shallbea complete


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informationflowonon‐goingworkandavailabilityondemandtoeachotherofworkingdocuments,inaccordancewithnormalprocedures.


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AnnexC(normative)

Justificationofproposalsfortheestablishmentofstandards

C.1 General

C.1.1 Because of the large financial resources and manpower involved and the necessity toallocate theseaccording to theneeds, it is important thatanystandardizationactivitybeginbyidentifyingtheneeds,determiningtheaimsofthestandard(s)tobepreparedandtheintereststhatmay be affected. This will, moreover, help to ensure that the standards produced will coverappropriatelytheaspectsrequiredandbemarketrelevantfortheaffectedsectors.Anynewactivityshallthereforebereasonablyjustifiedbeforeitisbegun.

C.1.2 It is understood that,whatever conclusionsmay be drawn on the basis of the annex, aprerequisiteofanynewworktobecommencedwouldbeaclearindicationofthereadinessofasufficientnumberofrelevantinterestedpartiestoallocatenecessarymanpower,fundsandtotakeanactivepartinthework.

C.1.3 Thisannexsetsoutrulesforproposingandjustifyingnewwork,sothatproposalswilloffertootherstheclearestpossibleideaofthepurposesandextentofthework,inordertoensurethatstandardizationresourcesarereallyallocatedbythepartiesconcernedandareusedtothebesteffect.

C.1.4 This annex does not contain rules of procedure for implementing and monitoring theguidelinescontained in it,nordoes itdealwith theadministrativemechanismwhichshouldbeestablishedtothiseffect.

C.1.5 Thisannexisaddressedprimarilytotheproposerofanykindofnewworktobestartedbutmayserveasatoolforthosewhowillanalysesuchaproposalorcommentonit,aswellasforthebodyresponsiblefortakingadecisionontheproposal.

C.2 Termsanddefinitions

C.2.1proposalfornewworkproposalforanewfieldoftechnicalactivityorforanewworkitemC.2.2proposalforanewfieldoftechnicalactivityproposal for the preparation of (a) standard(s) in a field that is not covered by an existingcommittee(suchasatechnicalcommittee,subcommitteeorprojectcommittee)oftheorganizationtowhichtheproposalismadeC.2.3proposalforanewworkitemproposalforthepreparationofastandardoraseriesofrelatedstandardsinthefieldcoveredbyanexistingcommittee(suchasatechnicalcommittee)oftheorganizationtowhichtheproposalismade


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C.3 Generalprinciples

C3.1 Anyproposalfornewworkshallliewithinthescopeoftheorganizationtowhichitissubmitted.

NOTE Forexample,theobjectsofISOarelaiddowninitsStatutesandofIECinArticle2ofitsStatutes.

C3.2 ThedocumentationjustifyingnewworkinISOandIECshallmakeasubstantialcaseforthemarketrelevanceoftheproposal.

C3.3 ThedocumentationjustifyingnewworkinISOandIECshallprovidesolidinformationasafoundationforinformedISOorIECNationalBodyvoting.

C3.4 WithintheISOandIECsystems,theonus isconsideredtobeplacedontheproposertoprovidetheproperdocumentationtosupportprinciplesC.3.2andC.3.3statedabove.

C.4 Elementstobeclarifiedwhenproposinganewfieldoftechnicalactivityoranewworkitem

C.4.1 Proposalsfornewfieldsoftechnicalactivityandnewworkitemsshallincludethefollowingfieldsofinformation(C.4.1toC.4.12)

C.4.2 Title

Thetitleshallindicateclearlyyetconciselythenewfieldoftechnicalactivityorthenewworkitemwhichtheproposalisintendedtocover.

EXAMPLE1 (proposalforanewtechnicalactivity)"Machinetools".

EXAMPLE2 (proposal foranewwork item) "Electrotechnicalproducts –Basicenvironmental testingprocedures".

C.4.3 Scope

InJTC1,additionalfactorssuchasculturalandlinguisticadaptabilityandaccessibilityaretobeconsidered.

C.4.3.1 Fornewfieldsoftechnicalactivity

Thescopeshallpreciselydefinethelimitsofthefieldofactivity.Scopesshallnotrepeatgeneralaims andprinciples governing theworkof theorganizationbut shall indicate the specific areaconcerned.

EXAMPLE "Standardizationofallmachinetoolsfortheworkingofmetal,woodandplastics,operatingbyremovalofmaterialorbypressure".

C.4.3.2 Fornewworkitems

The scope shall give a clear indication of the coverage of the proposed newwork item and, ifnecessaryforclarity,exclusionsshallbestated.


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EXAMPLE1

Thisstandard listsaseriesofenvironmental testprocedures,and theirseverities,designedtoassess theabilityofelectrotechnicalproductstoperformunderexpectedconditionsofservice.

Althoughprimarilyintendedforsuchapplications,thisstandardmaybeusedinotherfieldswheredesired.

Other environmental tests, specific to the individual types of specimen,maybe included in the relevantspecifications.

EXAMPLE2

Standardizationinthefieldoffisheriesandaquaculture,including,butnotlimitedto,terminology,technicalspecificationsforequipmentandfortheiroperation,characterizationofaquaculturesitesandmaintenanceof appropriate physical, chemical and biological conditions, environmental monitoring, data reporting,traceabilityandwastedisposal.

Excluded:

—methodsofanalysisoffoodproducts(coveredbyISO/TC34);

—personalprotectiveclothing(coveredbyISO/TC94);

—environmentalmonitoring(coveredbyISO/TC207).

C.4.4 Programmeofwork(forproposalsfornewfieldsoftechnicalactivityonly)

InJTC1,aprogrammeofworkisestablishedandmaintainedwithintheoverallbusinessplan.

C.4.4.1 Theproposedprogrammeofworkshallcorrespondtoandclearlyreflecttheaimsofthe standardization activities and shall, therefore, show the relationship between the subjectsproposed.

C.4.4.2 Eachitemontheprogrammeofworkshallbedefinedbyboththesubjectandaspect(s)to be standardized (for products, for example, the items would be the types of products,characteristics,otherrequirements,datatobesupplied,testmethods,etc.).

C.4.4.3 Supplementaryjustificationmaybecombinedwithparticularitemsintheprogrammeofwork.

C.4.4.4 Theproposedprogrammeofworkshallalsosuggestprioritiesandtargetdatesfornewworkitems(whenaseriesofstandardsisproposed,prioritiesshallbesuggested).

C.4.5 Indication(s)ofthepreferredtypeortypesofdeliverable(s)tobeproduced

Inthecaseofproposalsfornewfieldsoftechnicalactivity,thismaybeprovidedunderC.4.3.

C.4.6 Alistingofrelevantexistingdocumentsattheinternational,regionalandnationallevels

Anyknownrelevantdocuments(suchasstandardsandregulations)shallbelisted,regardlessoftheirsourceandshouldbeaccompaniedbyanindicationoftheirsignificance.


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C.4.7 Relationtoandimpactonexistingwork

C.4.77.1 Astatementshallbeprovidedregardinganyrelationorimpacttheproposedworkmayhaveonexistingwork,especiallyexistingISOandIECdeliverables.Theproposershould explain how the work differs from apparently similar work, or explain howduplicationandconflictwillbeminimized.

C.4.77.2 Ifseeminglysimilarorrelatedworkisalreadyinthescopeofothercommitteesoftheorganizationorinotherorganizations,theproposedscopeshalldistinguishbetweentheproposedworkandtheotherwork.

C.4.77.3 The proposer shall indicate whether his or her proposal could be dealt with bywideningthescopeofanexistingcommitteeorbyestablishinganewcommittee.

C.4.8 Relevantcountryparticipation

C.4.88.1 Forproposalsfornewfieldsoftechnicalactivity,alistingofrelevantcountriesshouldbeprovidedwherethesubjectoftheproposalisimportanttotheirnationalcommercialinterests.

C.4.88.2 For proposals for new work item within existing committees, a listing of relevantcountriesshouldbeprovidedwhicharenotalreadyP‐membersofthecommittee,butforwhomthesubjectoftheproposalisimportanttotheirnationalcommercialinterests.

C.4.9 Cooperationandliaison

C.4.99.1 A listofrelevantexternal internationalorganizationsor internalparties(otherthanISOand/orIECcommittees)tobeengagedasliaisonsinthedevelopmentofthedeliverable(s)shallbeprovided.

C.4.99.2 Inordertoavoidconflictwith,orduplicationofeffortsof,otherbodies,itisimportanttoindicateallpointsofpossibleconflictoroverlap.

C.4.99.3 Theresultofanycommunicationwithotherinterestedbodiesshallalsobeincluded.

C.4.10 Affectedstakeholders

A simple and concise statement shall be provided identifying and describing relevant affectedstakeholder categories (includingsmall andmediumsized enterprises) andhow theywill eachbenefitfromorbeimpactedbytheproposeddeliverable(s).

C.4.11 Basedocument(forproposalsfornewworkitemsonly)

C.4.111.1 When the proposer considers that an existing well‐established document may beacceptableasastandard(withorwithoutamendments)thisshallbeindicatedwithappropriatejustificationandacopyattachedtotheproposal.

C.4.111.2 AllproposalsfornewworkitemsshallincludeanattachedexistingdocumenttoserveasaninitialbasisfortheISOorIECdeliverableoraproposedoutlineortableofcontents.

C.4.111.3 Ifanexistingdocumentisattachedthatiscopyrightedorincludescopyrightedcontent,theproposershallensurethatappropriatepermissionshavebeengrantedinwritingforISOorIECtousethatcopyrightedcontent.


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C.4.12 Leadershipcommitment

C.4.122.1 Inthecaseofaproposalforanewfieldoftechnicalactivity,theproposershallindicatewhetherhisorganizationispreparedtoundertakethesecretariatworkrequired.

C.4.122.2 Inthecaseofaproposalfornewworkitem,theproposershallalsonominateaprojectleader.

C.4.13 Purposeandjustification

C.4.13.1 Thepurposeandjustificationofthestandardtobepreparedshallbemadeclearandtheneedforstandardizationofeachaspect(suchascharacteristics)tobeincludedinthestandardshallbejustified.

C.4.133.2 Ifaseriesofnewworkitemsisproposedthepurposeandthejustificationofwhichiscommon,acommonproposalmaybedraftedincludingallelementstobeclarifiedandenumeratingthetitlesandscopesofeachindividualitem.

C.4.133.3 Please note that the items listed in the bullet points below represent a menu ofsuggestions or ideas for possible documentation to support the purpose and justification ofproposals.Proposersshouldconsiderthesesuggestions,buttheyarenotlimitedtothem,noraretheyrequiredtocomplystrictlywiththem.Whatismostimportantisthatproposersdevelopandprovidepurpose and justification information that ismost relevant to their proposals and thatmakesasubstantialbusinesscaseforthemarketrelevanceandneedoftheirproposals.Thorough,well‐developedandrobustpurposeand justificationdocumentationwill leadtomore informedconsiderationofproposalsandultimatelytheirpossiblesuccessintheISOandIECsystems.

— A simple and concise statement describing the business, technological, societal orenvironmental issue that the proposal seeks to address, preferably linked to the StrategicBusinessPlanoftheconcernedISOorIECcommittee.

— Documentationonrelevantglobalmetrics thatdemonstratetheextentormagnitudeof theeconomic,technological,societalorenvironmentalissue,orthenewmarket.Thismayincludeanestimateofthepotentialsalesoftheresultingstandard(s)asanindicatorofpotentialusageandglobalrelevance.

— Technologicalbenefit–asimpleandconcisestatementdescribingthetechnologicalimpactofthe proposal to support coherence in systems and emerging technologies, convergence ofmerging technologies, interoperability, resolution of competing technologies, futureinnovation,etc.

— Economicbenefit–asimpleandconcisestatementdescribingthepotentialoftheproposaltoremovebarrierstotrade,improveinternationalmarketaccess,supportpublicprocurement,improvebusinessefficiencyforabroadrangeofenterprisesincludingsmallandmediumsizedones, and/or result in a flexible, cost‐effectivemeans of complying with international andregionalrules/conventions,etc.Asimplecost/benefitanalysisrelatingthecostofproducingthe deliverable(s) to the expected economic benefit to businesses worldwidemay also behelpful.

— Societalbenefit(s)–asimpleandconcisestatementdescribinganysocietalbenefitsexpectedfromtheproposeddeliverable(s).


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— Environmentalbenefit(s)–asimpleandconcisestatementdescribinganyenvironmentalorwidersustainabilitybenefitsexpectedfromtheproposeddeliverable(s).

— A simple and concise statement clearly describing the intended use(s) of the proposeddeliverable(s), forexample,whetherthedeliverableisintendedasrequirementstosupportconformity assessment or only as guidance or recommended best practices; whether thedeliverableisamanagementsystemstandard;whetherthedeliverableisintendedforuseorreferenceintechnicalregulation;whetherthedeliverableisintendedtobeusedtosupportlegalcasesinrelationtointernationaltreatiesandagreements.

— AsimpleandconcisestatementofmetricsforthecommitteetotrackinordertoassesstheimpactofthepublishedstandardovertimetoachievethebenefitstostakeholdersdocumentedunderC.4.10above.

— Astatementassessingtheprospectoftheresultingdeliverable(s)beingcompliantwith,fortheIEC, the IEC Global Relevance Policy: http://www.iec.ch/ members_experts/refdocs/ac_cl/AC_200817e_AC.pdf and for ISO, with ISO's Global Relevance Policyhttp://www.iso.org/iso/standards_development/governance_of_ technical_work/global_relevance_policy.htm and the ISO/TMB recommendations (see NOTE1 below) regardingsustainabledevelopmentandsustainability,whererelevant.

NOTE1 ForISO,theISO/TMBconfirmedthefollowingrecommendations:1)Whenacommittee(inanysector)developsastandarddealingwithsustainability/sustainabledevelopmentthestandardmustremainwithinthecontextofthecommittee'sscopeofwork;2)ThecommitteeshouldalsonotifytheTMBwiththetitleandscopeasearlyaspossible;3)ThecommitteeundertakingsuchworkshouldclarifyitsintentionsintheIntroductionofthespecificstandard(s);4)Themostwidelyuseddefinitionofsustainabledevelopmentis the one from theUNBrundtland committee on sustainabledevelopment: development thatmeets theneedsofthepresentwithoutcompromisingtheabilityoffuturegenerationstomeettheirownneeds.

— Astatementassessingtheproposal’scompliancewiththePrinciplesfordevelopingISOandIECStandardsrelatedtoorsupportingpublicpolicyinitiatives(forISOseeAnnexSOintheConsolidated ISO Supplement and for IEC and ISO see Using and referencing ISO and IECstandards for technical regulations:http://www.iso.org/iso/standards_for_technical_regulations.pdf)andthepossiblerelationoftheresultingdeliverable(s)topublicpolicy,includingastatementregardingthepotentialforeasiermarketaccessduetoconformitywithappropriatelegislation.


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AnnexD(normative)

Resourcesofsecretariatsandqualificationsofsecretaries

D.1 Termsanddefinitions

D.1.1secretariatNationalBodytowhichhasbeenassigned,bymutualagreement,theresponsibilityforprovidingtechnicalandadministrativeservicestoatechnicalcommitteeorsubcommittee

D.1.2secretaryindividualappointedbythesecretariattomanagethetechnicalandadministrativeservicesprovided

D.2 Resourcesofasecretariat

ANational Bodytowhichasecretariathasbeenassignedshall recognize that,nomatterwhatarrangementsitmakesinitscountrytoprovidetherequiredservices,itistheNationalBodyitselfthat is ultimately responsible for the proper functioning of the secretariat. National bodiesundertakingsecretariat functionsshallbecomepartytotheISOServiceAgreementorIECBasicAgreement,asappropriate.

Thesecretariat shall thereforehaveadequateadministrativeand financialmeansorbacking toensure:

a) facilitiesforword‐processinginEnglishand/orFrench,forprovidingtextselectronically,andforanynecessaryreproductionofdocuments;InJTC1,facilitiesforword‐processinginEnglish,for providing texts in machine‐readable‐form, and for any necessary reproduction ofdocuments;

b) preparationofadequatetechnicalillustrations;

c) identificationanduse,withtranslationwherenecessary,ofdocumentsreceivedintheofficiallanguages;

d) updating and continuous supervision of the structure of the committee and its subsidiarybodies,ifany;

e) receptionandpromptdispatchofcorrespondenceanddocuments;

f) adequatecommunicationfacilitiesbytelephone,telefaxandelectronicmail;

g) accesstotheInternet;


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h) arrangements and facilities for translation, interpretation and services duringmeetings, incollaborationwiththehostNationalBody,asrequired;InJTC1,arrangementsandfacilitiesfortranslation,interpretation,andservicesarenotrequiredexceptasspecifiedin4.3;

i) attendanceof thesecretaryatanymeetingsrequiringhis/herpresence, including technicalcommittee and/or subcommittee meetings, editing committee meetings, working groupmeetings,andconsultationswiththechairwhennecessary;

j) accessby thesecretary tobasic InternationalStandards(see the ISO/IECDirectives,Part2,2016,AnnexD)andtoInternationalStandards,nationalstandardsand/orrelateddocumentsinthefieldunderconsideration;

k) accessbythesecretary,whennecessary,toexpertscapableofadvisingontechnicalissuesinthefieldofthecommittee;

l) InJTC1,theabilitytofulfillthesecretariat’selectronicdocumentdistributionresponsibilitiesas defined in the JTC1 Standing Document 12 on “Electronic Document Preparation,DistributionandArchiving”.

WhilsttheChiefExecutiveOfficerendeavourstosendhisrepresentativetothefirstmeetingofatechnical committee, to meetings of technical committees with new secretariats, and to anytechnical committee or subcommittee meeting where such presence is desirable for solvingproblems, the office of the CEO cannot undertake to carry out thework for a secretariat, on apermanentortemporarybasis.

D.3 Requirementsofasecretary

Theindividualappointedassecretaryshall

a) havesufficientknowledgeofEnglishand/orFrench; In JTC1,havesufficientknowledgeofEnglish;

b) be familiarwith the Statutesand rulesofprocedure, as appropriate, andwith the ISO/IECDirectives(seetherespectiveSupplementstotheISO/IECDirectives);InJTC1,alsobefamiliarwith the Consolidated JTC 1 Supplement and the JTC 1 Standing Documents and JTC 1resolutions;

c) beinapositiontoadvisethecommitteeandanysubsidiarybodiesonanypointofprocedureordrafting,afterconsultationwiththeofficeoftheCEOifnecessary;

d) beawareofanycouncilboardortechnicalmanagementboarddecisionregardingtheactivitiesofthetechnicalcommitteesingeneralandofthecommitteeforwhichs/heisresponsibleinparticular;

e) beagoodorganizerandhavetraininginandabilityfortechnicalandadministrativework,inordertoorganizeandconducttheworkofthecommitteeandtopromoteactiveparticipationonthepartofcommitteemembersandsubsidiarybodies,ifany;

f) be familiarwith the documentation suppliedby theoffices ofCEO, in particular theuseofelectronictoolsandservices.


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ItisrecommendedthatnewlyappointedsecretariesoftechnicalcommitteesshouldmakeanearlyvisittotheofficeoftheCEOinGenevainordertodiscussproceduresandworkingmethodswiththestaffconcerned.


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AnnexE(normative)

Generalpolicyontheuseoflanguages

E.1 Expressingandcommunicatingideasinaninternationalenvironment

Attheinternationallevel,itiscommonpracticetouseatleasttwolanguages.Thereareanumberofreasonswhyitisadvantageoustousetwolanguages,forexample:

— greaterclarityandaccuracyofmeaningcanbeachievedbyexpressingagivenconceptintwolanguageswhichhavedifferentgrammarandsyntax;

— ifconsensusisreachedonthebasisofatextdraftedinonlyonelanguage,difficultiesmayarisewhen it comes to putting that text into another language. Some questionsmay have to berediscussed, and this can cause delay if the text originally agreed upon has to be altered.Subsequentdraftingintoasecondlanguageofatextalreadyapprovedinthefirst languageoftenbringstolightdifficultiesofexpressionthatcouldhavebeenavoidedifbothversionshadbeenpreparedatthesametimeandthenamendedtogether;

— toensurethatinternationalmeetingswillbeasproductiveaspossible,itisimportantfortheagreementsreachedtobeutterlydevoidofambiguity,andtherehastobenoriskthattheseagreements can be called back into question because of misunderstandings of a linguisticnature;

— theuseoftwolanguageschosenfromtwolinguisticgroupswidensthenumberofprospectivedelegateswhomightbeappointedtoattendthemeetings;

— itbecomeseasiertoexpressaconceptproperlyinotherlanguages if therearealreadytwoperfectlyharmonizedversions.

E.2 Theuseoflanguagesinthetechnicalwork

TheofficiallanguagesareEnglish,FrenchandRussian.

Theworkofthetechnicalcommitteesandthecorrespondencemaybeinanyoneormoreoftheselanguages,whicheverisorareappropriate.

For the purposes of the above, the National Body for the Russian Federation provides allinterpretationandtranslationintoandfromtheRussianlanguage.

InJTC1,theworkinglanguageisEnglish,thoughaworkingknowledgeofFrenchmayberequiredforcertaindocuments.


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E.3 InternationalStandards

InternationalStandardsarepublishedbytheISOandIECinEnglishandinFrench(andsometimesin multilingual editions also including Russian and other languages, especially in cases ofterminology).TheseversionsofagivenInternationalStandardareequivalent,andeachisregardedasbeinganoriginal‐languageversion.

It is advantageous for the technical content of a standard to be expressed in both English andFrench from the outset of the drafting procedure, so that these two versions will be studied,amendedandadoptedatthesametimeandtheirlinguisticequivalencewillbeensuredatalltimes.(SeealsotheISO/IECDirectives,Part2,2016,8.1.)

Thismaybedone

— bythesecretariator,underthelatter'sresponsibility,withoutsideassistance,or

— bytheeditingcommitteeoftheresponsibletechnicalcommitteeorsubcommittee,or

— byNational Bodieswhosenational language is English or French andunder an agreementconcludedbetweenthoseNationalBodiesandthesecretariatconcerned.

WhenitisdecidedtopublishamultilingualInternationalStandard(avocabulary,forexample),theNationalBodyfortheRussianFederationtakeschargeoftheRussianportionofthetext;similarly,whenitisdecidedtopublishanInternationalStandardcontainingtermsormaterialinlanguagesotherthantheofficiallanguages,theNationalBodieswhosenationallanguagesareinvolvedareresponsible forselecting the termsor fordrafting theportionsof textwhichare tobe in thoselanguages.

E.4 Otherpublicationsdevelopedbytechnicalcommittees

Otherpublicationsmaybeissuedinoneofficiallanguageonly.

E.5 Documentsfortechnicalcommitteeandsubcommitteemeetings

E.5.1 Draftsanddocumentsreferredtotheagenda

Thedocumentspreparedandcirculatedpriortoameetingarethefollowing.

a) Draftagendas

DraftagendasarepreparedinbothEnglishandFrenchwheneverpossiblebytheresponsiblesecretariatsandarereproducedanddistributed.

b) Committeedraftsreferredtointheagenda

ItisdesirablethatboththeEnglishandtheFrenchversionsofcommitteedraftsreferredtointheagendawillbeavailableforthemeeting.

EnquirydraftsshallbeavailableinEnglishandFrench.TheISOCouncilorIECStandardizationManagement Board guidelines shall be applied where one of the language versions is notavailableinduetime.


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Other documents (sundry proposals, comments, etc.) relating to agenda items may bepreparedinonlyonelanguage(EnglishorFrench).

E.5.2 Documentspreparedandcirculatedduringameeting

Thedocumentspreparedandcirculatedduringameetingarethefollowing.

a) Resolutionsadoptedduringthemeeting

Anadhocdraftingcommittee, formedatthebeginningofeachmeetingandcomprisingthesecretaryand,wheneverpossible, oneormoredelegatesofEnglishand/orFrenchmothertongue,editseachoftheproposedresolutions.

b) Briefminutes,ifany,preparedaftereachsession

Ifsuchminutesareprepared,theyshallbedraftedinEnglishorFrenchandpreferablyinbothwith,ifnecessary,theassistanceoftheadhocdraftingcommittee.

E.5.3 Documentspreparedandcirculatedafterameeting

Aftereachtechnicalcommitteeorsubcommitteemeeting,thesecretariatconcernedshalldraftareportofthemeeting,whichmaybeinonlyonelanguage(EnglishorFrench)andwhichincludes,asannex,thefulltextoftheresolutionsadopted,preferablyinbothEnglishandFrench.

E.6 DocumentspreparedinlanguagesotherthanEnglishorFrench

National bodies whose national language is neither English nor French may translate anydocuments circulatedby secretariats into theirownnational language inorder to facilitate thestudy of those documents by the experts of their country or to assist the delegates they haveappointedtoattendthemeetingsofthetechnicalcommitteesandsubcommittees.

IfonelanguageiscommontotwoormoreNationalBodies,oneofthemmayatanytimetaketheinitiativeof translatingtechnicaldocuments intothat languageandofprovidingcopiestootherNationalBodiesinthesamelinguisticgroup.

Thetermsoftheabovetwoparagraphsmaybeappliedbythesecretariatsfortheirownneeds.

E.7 Technicalmeetings

E.7.1 Purpose

Thepurposeoftechnicalmeetingsistoachieveasfullagreementaspossibleonthevariousagendaitemsandeveryeffortshallbemadetoensurethatalldelegatesunderstandoneanother.

E.7.2 InterpretationofdebatesintoEnglishandFrench

AlthoughthebasicdocumentsmaybeavailableinbothEnglishandFrench,ithastobedeterminedaccordingtothecasewhetherinterpretationofstatementsexpressedinonelanguageshouldbegivenintheotherlanguage

— byavolunteerdelegate,


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— byastaffmemberfromthesecretariatorhostNationalBody,or

— byanadequatelyqualifiedinterpreter.InJTC1,theinterpretationofdebatesintoEnglishandFrenchisnotapplicable,exceptasspecifiedin4.3.

CareshouldalsobetakenthatdelegateswhohaveneitherEnglishnorFrenchasmothertonguecanfollowthemeetingtoasufficientextent.

Itisimpracticaltospecifyrulesconcerningthenecessityofinterpretingthedebatesattechnicalmeetings.Itisessential,ofcoursethatalldelegatesshouldbeabletofollowthediscussions,butitmaynotbealtogetheressentialtohaveaword‐for‐wordinterpretationofeachstatementmade.

Inviewoftheforegoing,andexceptinspecialcaseswhereinterpretationmaynotbenecessary,thefollowingpracticeisconsideredappropriate:

a) formeetingswhereproceduraldecisionsareexpectedtobetaken,briefinterpretationmaybeprovidedbyamemberofthesecretariatoravolunteerdelegate;

b) at working group meetings, the members should, whenever possible, arrange betweenthemselvesforanynecessaryinterpretationontheinitiativeandundertheauthorityoftheconvenoroftheworkinggroup.

To enable the secretariat responsible for a meeting to make any necessary arrangements forinterpretation,thesecretariatshouldbeinformed,atthesametimeasitisnotifiedofattendanceatthemeeting,ofthelanguagesinwhichthedelegatesareabletoexpressthemselvesandofanyaidwhichdelegatesmightbeabletoprovideinthematterofinterpretation.

Inthosecaseswhereameetingisconductedmainlyinonelanguage,thefollowingpracticeshouldbeadoptedasfarasispracticableinordertoassistdelegateshavingtheotherlanguage:

a) thedecisiontakenononesubjectshouldbeannouncedinbothlanguagesbeforepassingtothenextsubject;

b) wheneverachangetoanexistingtextisapprovedinonelanguage,timeshouldbeallowedfordelegatestoconsidertheeffectofthischangeontheotherlanguageversion;

c) asummaryofwhathasbeensaidshouldbeprovidedintheother languageifadelegatesorequests.

E.7.3 InterpretationintoEnglishandFrenchofstatementsmadeinotherlanguages

Whenatameetingofa technicalcommitteeorasubcommitteeaparticipantwishes, inviewofexceptionalcircumstances,tospeakinanylanguageotherthanEnglishorFrench,thechairofthesessionshallbeentitled toauthorize this, for thesession inquestion,providedthatameansofinterpretationhasbeensecured.

Inordertogiveallexpertsanequalopportunitytoexpresstheirviewsatmeetingsoftechnicalcommitteesandsubcommittees,averyflexibleapplicationofthisprovisionisrecommended.


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AnnexF(normative)

Optionsfordevelopmentofaproject

F.1 Simplifieddiagramofoptions

InJTC1,thefollowingtableisused.

ISO/IECDirectives,part1–DraftConsolidatedJTC1Supplement2015

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1

StageName StageDescription

Standard(see2)

Fast‐trackTR(seeF.2)

Fast‐TrackTS(seeF.2)

FastTrackIS(seeF.2)

JTC1PubliclyAvailable

Specification(SeeF.3)

TechnicalSpecification(see3.1)

TechnicalReport(see

3.3)

Amendments(see2.10.3)

TechnicalCorrigendum(see2.10.2)

00Preliminarystage(see

2.2)

Preparationofproposal

PreparationofNP

PreparationofNP

PreparationofNP

10ProposalStage(see

2.3)

Acceptanceofproposal

AcceptanceofNP

AcceptanceofNP

AcceptanceofNP

20Preparatorystage(see

2.4)

Preparationofworkingdraft

PreparationofWD

PreparationofWD

PreparationofWD

PreparationofDefectReport

30CommitteeStage(see

2.5)

Developmentand

acceptanceofcommitteedraft

Developmentand

acceptanceofCD

Developmentandacceptance

ofPDTS

Developmentand

acceptanceofPDTR

Developmentand

acceptancePDAM

Developmentandacceptance

ofDCOR

40EnquiryStage(see

2.6)

Developmentand

acceptanceofenquirydraft

Developmentand

acceptanceofDIS

Submissionand

acceptanceoffast‐trackDTR

Submissionand

acceptanceoffast‐trackDTS

Submissionand

acceptanceofDIS

Submissionand

acceptanceofDIS

Developmentand

acceptanceDAM

50ApprovalStage(see

2.7)

Approvaloffinaldraft

ApprovalofFDIS

ApprovalofFDIS

ApprovalofFDIS

ApprovalofFDAM

60Publication

Stage

Publicationofdocument

PublicationofIS

PublicationofTechnicalReport

PublicationofTechnical

Specification

PublicationofIS

PublicationofIS


Specification

PublicationofTechnicalReport

PublicationofAmendment


Corrigendum

2

ISO/IECDirectives,Part1—ConsolidatedISOSupplement

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F.2 “Fast‐trackprocedure”

F.2.1 Proposalstoapplythefast‐trackproceduremaybemadeasfollows.

F.2.1.1InJTC1,onlyJTC1P‐membersandJTC1CategoryALiaisonorganizationsmayproposeFast‐Tracksubmissions.

Any P‐member or Category A liaison organization of a concerned technical committee orsubcommitteemayproposethatanexistingstandardfromanysourcebesubmittedforvoteasanenquirydraft.Theproposershallobtaintheagreementoftheoriginatingorganizationbeforemakingaproposal.Thecriteriaforproposinganexistingstandardforthefast‐trackprocedureareamatterforeachproposertodecide.

InJTC1,anyP‐memberorCategoryAliaisonorganizationofJTC1mayadditionallyproposethatanexistingtechnicalreportfromanysourcebesubmittedforvoteasafast‐trackdrafttechnicalreport;ortechnicalspecificationfromanysourcebesubmittedforvoteasfast‐trackdrafttechnicalspecification.

InJTC1,allfast‐tracksaresubmittedtoJTC1,andtheJTC1secretariatsubmitsthemtotheITTFinaccordance with F.4.1. The proposer of a fast‐track document is encouraged to make arecommendation concerning the assignment of the document to a given subcommittee. Theproposerofafast‐trackdocumentshallsubmitthenameofanindividualwhohasagreedtoserveasprojecteditorforthefast‐trackdocument.TheproposershallalsosubmitanexplanatoryreportsimilartothePASexplanatoryreport(seeF.3below).

For its initial publication, the document is not required to be in ISO/IEC format, but can bepublished in its original format. The form of publication (e.g. reprint of original document ordistributionofISO/IECcoverpagewithreference)istobedeterminedbyITTFandtheproposeras part of any publication agreements. However, subsequent revisions shall be in the formatprescribedbytheISO/IECDirectives,Part2.

InJTC1,amendmentstoexistingInternationalStandardsshallnotbesubmittedviathefast‐trackprocedure.

F.2.1.2 AninternationalstandardizingbodyrecognizedbytheISOorIECcouncilboardmaypropose that a standard developed by that body be submitted for vote as a final draftInternationalStandard.

F.2.1.3 AnorganizationhavingenteredintoaformaltechnicalagreementwithISOorIECmaypropose, in agreementwith theappropriate technical committeeorsubcommittee, thatadraftstandarddevelopedbythatorganizationbesubmittedforvoteasanenquirydraftwithinthattechnicalcommitteeorsubcommittee.

F.2.2 TheproposalshallbereceivedbytheChiefExecutiveOfficer,whoshalltakethefollowingactions:


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a) settlethecopyrightand/ortrademarksituationwiththeorganizationhavingoriginatedtheproposeddocument,sothatitcanbefreelycopiedanddistributedtoNationalBodieswithoutrestriction;

b) for cases F.2.1.1 and F.2.1.3, assess in consultation with the relevant secretariats whichtechnical committee/subcommittee is competent for the subject covered by the proposeddocument;where no technical committee exists competent to dealwith the subject of thedocument in question, the Chief Executive Officer shall refer the proposal to the technicalmanagementboard,whichmayrequesttheChiefExecutiveOfficertosubmitthedocumenttotheenquirystageandtoestablishanadhocgrouptodealwithmatterssubsequentlyarising;

c) ascertainthatthereisnoevidentcontradictionwithotherInternationalStandards;

d) distributetheproposeddocumentasanenquirydraft(F.2.1.1andF.2.1.3)inaccordancewith2.6.1, or as a final draft International Standard (case F.2.1.2) in accordance with 2.7.1,indicating(incasesF.2.1.1andF.2.1.3)thetechnicalcommittee/subcommitteetothedomainof which the proposed document belongs. In JTC 1, the subcommittee assignmentrecommendationandthenameoftheproposedprojecteditorwillalsobedistributed.

Incaseoftechnicalreportsortechnicalspecificationsprocessedunderthefast‐trackprocedurewithin JTC1, theproposeddocument shallbedistributedandprocessedrespectivelyasaFast‐trackdrafttechnicalreport(fast‐trackDTR)orfast‐trackdrafttechnicalspecification(fast‐trackDTS)(JA5.2).

F.2.3 Theperiod forvotingand theconditions forapproval shallbeasspecified in2.6 for anenquiry draft and 2.7 for a final draft International Standard. In the case where no technicalcommitteeisinvolved,theconditionforapprovalofafinaldraftInternationalStandardisthatnotmorethanone‐quarterofthetotalnumberofvotescastarenegative.

InJTC1,separatelyfromtheirvotesonthetechnicalcontentofastandard,NationalBodiesshallbe given the opportunity to comment on the specific subcommittee assignment of the project.However, comments on subcommittee assignments shall not influence the vote on technicalcontent.Incaseswheresubcommitteeassignmentisinquestionorwherethefast‐trackdocumentdoesnotappearappropriateforanyexistingsubcommittee,theJTC1secretariatmayperformthedutiesnormallyassignedtothesubcommitteesecretariatuntilthefinalsubcommitteeassignmentisdetermined.

InJTC1,theproposerofthefast‐trackdocumenthastherighttowithdrawthefast‐trackdocumentfromthefast‐trackprocessatanypointpriortopublication.

F.2.3.1 InJTC1,aBallotResolutionMeeting(seeF.5below)maybeusedtoreviewthecommentsreceivedonanenquirydraft(DIS)forfast‐trackballots.

F.2.4If,foranenquirydraft,theconditionsofapprovalaremet,thedraftstandardshallprogresstotheapprovalstage(2.7).Ifnot,theproposalhasfailedandanyfurtheractionshallbedecidedupon by the technical committee/subcommittee to which the document was attributed inaccordancewithF.2.2b)If,forafinaldraftInternationalStandard,theconditionsofapprovalaremet,thedocumentshallprogresstothepublicationstage(2.8).Ifnot,theproposalhasfailedandanyfurtheractionshallbedecideduponbythetechnicalcommittee/subcommitteetowhichtheFDIS was attributed in accordance with F.2.2b), or by discussion between the originatingorganizationandtheofficeoftheCEOifnotechnicalcommitteewasinvolved.


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If the standard is published, its maintenance shall be handled by the technicalcommittee/subcommitteetowhichthedocumentwasattributedinaccordancewithF.2.2b),or,ifnotechnicalcommitteewasinvolved,theapprovalproceduresetoutaboveshallberepeatediftheoriginatingorganizationdecidesthatchangestothestandardarerequired.

InJTC1,thetranspositionandadoptionprocessforaFast‐TracksubmissionisdescribedinF.4.

If the standard is published, its maintenance shall be handled by the technicalcommittee/subcommitteetowhichthedocumentwasattributedinaccordancewithF.2.2b),or,ifnotechnicalcommitteewasinvolved,theapprovalproceduresetoutaboveshallberepeatediftheoriginatingorganizationdecidesthatchangestothestandardarerequired.

F.3 PreparationandAdoptionofInternationalStandards–JTC1PASTranspositionProcess

JTC 1 provides Standing Document 9 on “Guide to the Transposition of Publically AvailableSpecificationsintoInternationalStandards”,forpotentialPAScandidates.

F.3.1Concepts

TheJTC1PAStranspositionprocessisbasedonthefollowingkeyconcepts:

PubliclyAvailableSpecification(PAS)

AtechnicalspecificationiscalledaPubliclyAvailableSpecification(PAS)ifitmeetscertaincriteriamakingitsuitableforpossibleprocessingasanInternationalStandard.Thesecriteria(seeF.3.3below)havebeenestablished in order to ensureahigh levelof quality, consensus, andpropertreatmentofIntellectualPropertyRights(IPR)relatedmatters.

PASMentor

AnindividualappointedbyJTC1toassistaPASOriginatorand/orRecognizedPASSubmitterincreatingandprocessingtheirsubmission(s),andtoprovideon‐goingadvice.

PASOriginator

Any organisation that has developed and hence owns a PAS which it considers proposing fortranspositionintoanInternationalStandardiscalledthePASoriginator.Therearenofundamentalrestrictionsastowhatformtheorganisationshouldhave,butconstitutionalcharacteristicsoftheorganisationaresupposedtoreflecttheopennessoftheorganisationandthePASdevelopmentprocess. See Standing Document 9 on “Guide to the Transposition of Publically AvailableSpecificationsintoInternationalStandards”,fortheappropriatetemplate.

RecognizedPASSubmitter

APASoriginatorshallapplytoJTC1forrecognitionasasubmitterofPAS(s)fortransposition.Onceapproved,thestatusofaRecognizedPASsubmitterwillremainvalidforaninitialperiodoftwoyears,withthepossibilityoffurtherextension(seeF.3.4.1below).

ExplanatoryReport

ThesubmissionofthePASmustbeaccompaniedbyanexplanatoryreportgeneratedbythePASoriginator.Thisreportprovidesallinformationnecessarytosupportthesubmission.Inparticular,


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it shall containstatementsas to theextent that thePAScriteriaaremetby the specification. Itshould also clearly define the technical concepts used in thePAS. JTC1 has developed a list ofcriteriatoincludeintheexplanatoryreport.

PASTranspositionBallot

ThePAStogetherwiththecorrespondingexplanatoryreportissubmittedforballot.

F.3.2Applicability

TheseproceduresapplytothetranspositionofaPASintoanInternationalStandard.Itisexpectedthattheseprocedureswillbeusedtoprocessabroaderclassofdocumentsfromamorediversesetofsourcesthaniscurrentlyservedbythefast‐trackprocedure(seeF.2above).

F.3.3PASCriteria

JTC1has established criteria that serve as a basis for the judgment as towhether aparticularorganisationcanberecognizedandwhetheritsspecificationcanbeacceptedasacandidatefortranspositionintoanInternationalStandard.Suchcriteriamayalsobeusedbypotentialsubmitterstodeterminethelevelofsuitabilityoftheirspecificationforthestandardizationprocess.ThePAScriteriaarebroadlyclassifiedintotwocategoriesandaddressthefollowingtopics:

Organisationrelatedcriteriaincluding:

o Co‐operativestance;

o Characteristicsoftheorganisation;

o Intellectualpropertyrights.

Documentrelatedcriteriaincluding:

o Quality;

o Consensus;

o Alignment;

o Maintenance.

DetailscanbefoundintheJTC1StandingDocument9on“GuidetotheTranspositionofPubliclyAvailableSpecificationsintoInternationalStandards”.

F.3.4 Procedures

BasedontheconceptsprovidedinF.3.1above,thePAStranspositionprocessisdescribedbelow.It is JTC1’s firm intention to provide full process transparency and the current status of anyproposalfromitswebsite(www.jtc1.org).Opendialogue(viathewebsiteoranyotheravailablemeans)betweenthePASSubmitterandJTC1anditsNationalBodiesisstronglyencouraged.

F.3.4.1 Recognition of PAS Submitter


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A PAS originator interested in submitting an existing or forthcoming specification into thetranspositionprocessshallapplytotheJTC1secretariatforrecognitionasaPASsubmitter.SuchapplicationshallbeaccompaniedbyanidentificationoftheinitialPAS(s)whichareplannedtobesubmittedandbystatementsofthePASoriginatorregardingtheorganisationrelatedcriteria(seebelow).Thecompleteddocumentationshallbesubmitted toP‐membersof JTC1 fora12‐weekballot. Approval as a Recognized PAS Submitter gives a PAS originator the right to submitspecificationsintothetranspositionprocessforaperiodoftwoyearswiththepossibilityoffurtherextensionoffiveyearperiods(seebelow).TherecognitionasaPASsubmitterwillterminate:

In the absence of a successful National Body ballot to confirm the status of the PASsubmitter;or

If thePASoriginator fails tosubmitaspecification to JTC1 for transpositionwithin theexpectedperiod(seeF.3.4.2below).

The initiative to submit an application for recognition shall come from a PAS Originator. AnyNationalBody,aJTC1subcommittee,aJTC1CategoryAliaison,oraPASMentormayassistthePASOriginatorinitsinteractionswithJTC1.

SincetheballotamongJTC1NationalBodieswilltake12weeks,theapplicationforrecognitionshould be submitted in time before the planned first submission of a PAS.While there are noparticularrequirementsastotheformatoftheapplication,itshould:

Definetheoverallscopeoftheapplication;

IdentifytheinitialPAS(s)whichareplannedtobesubmitted,togetherwiththeirscope;

AddressallmandatoryelementsoftheorganisationacceptancecriteriacontainedintheJTC1 Standing Document 9 on “Guide to the Transposition of Publicly AvailableSpecificationsintoInternationalStandards”.

ThePASsubmitter’sexpectationformaintenanceoftransposedPASsubmissionsisalsostatedintheapplication.JTC1’sintentionformaintenanceistoavoidanydivergencebetweenthecurrentJTC1revisionofatransposedPASandthecurrentrevisionoftheoriginalspecificationpublishedbythePASsubmitter.Therefore,theapplicationshouldcontainadescriptionofhowthesubmittingorganisationwillworkcooperativelywith JTC1onmaintenanceofthestandard.WhileJTC1isresponsibleformaintenanceofthestandard,thisdoesnotmeanthatJTC1itselfmustperformthemaintenancefunction.JTC1mayapprovetheoptionofmaintenancehandledbythesubmitteraslongasthereisprovisionforparticipationofappropriateJTC1representatives,i.e.thesubmitters’groupresponsibleformaintenanceisdesignatedastheJTC1maintenancegroup.

Sixmonthspriortotheexpirationofanorganisation’sstatusasanapprovedJTC1PASsubmitter,theJTC1secretariatshallinvitethesubmittertoreviewitsfutureintentionsasaPASsubmitterandconsiderthefollowingoptionswithregardtoitsinitialapplicationforrecognitionasaJTC1PASsubmitter:

Revise(significantchangestotheinitialapplication,e.g.changesinscope,procedures);

Withdraw(termination);or

Reaffirm(extendcurrentstatuswithnosignificantchanges).


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IfthePASsubmitterchoosestorevise,itmustsubmitadocumenttotheJTC1secretariatstatingthe changes to the answers to the questions in the JTC1 Standing Document 9 “Guide for theTransposition of Publicly Available Specifications” from its previous application. If the PASsubmitterchoosestoreaffirm,itshallidentifysubsequentPAS(s)intendedforsubmission.InordertoallowJTC1atimelyreactiontotherevisionoraffirmation,thenecessarydocumentationshouldbesubmittednotlaterthan12weekspriortotheexpirationofitsstatusasaPASsubmitter.TheJTC1 secretariat shall issue a 12‐week letter ballot on the request for either a revision orreaffirmation.Failuretorespondtothesecretariat’sinvitationforreviewofPASsubmitterstatuswillautomaticallyresultinterminationofaPASsubmitter’sstatusattheconclusionofthisterm.

F.3.4.2 PAS Submission

OnceaPASoriginatorhasbeenrecognized,aPASsubmissiontotheJTC1secretariatmayoccurwithinthescopeasidentifiedontheapplication.WhensubmittingaPAStotheJTC1secretariat,aRecognizedPASSubmittershallincludeanexplanatoryreportandastatementthattheconditionsforrecognitionhavenotchangedoranindicationofthenatureofchangesthathaveoccurred.Theexplanatory report shall address all mandatory elements of the document related criteriacontained in the JTC1 Standing Document 9 “Guide to the Transposition of Publicly AvailableSpecifications”intoInternationalStandards.

IftherecognizedPASsubmitterhasreceivedapprovaltoperformmaintenancefunctions,thePASsubmittershouldreconfirmtheircommitmenttoperformthedutiesoftheJTC1maintenancegroupintheexplanatoryreport.Allsubmissionsincludingtheexplanatoryreportshalloccurinelectronicform.

Thefirstsubmissionshalloccurnotlaterthansixmonthsaftertheinitialrecognition.OnrequestbythePASoriginatornotlaterthansixweeksbeforetheendofthissix‐monthperiod,theperiodmaybeextendedforanothersixmonths,subjecttoapprovalbytheJTC1chairmanandsecretariat.FailurebythePASoriginatortosubmitaspecificationwithintheexpectedperiodwillresultintheterminationofitsrecognitionstatus.

TheformatofthespecificationsubmittedisnotregulatedbyJTC1.RecognizedPASsubmittersareencouragedtoapply, if flexibilitystillexists,adocumentationstyleclosetotheISO/IECstyleinordertoeasethelateralignmentprocessatthetimeofanyrevision.

TheJTC1secretariat,aftercheckingtherecognitionstatusofthesubmitterandthecompletenessoftheapplication,shallforwardthespecificationtotheITTFinaccordancewithF.4.1.

Inviewoftheimportanceoftheexplanatoryreportforasuccessfultransposition,theRecognizedPASsubmittermayrequestcounselandadvicefromaJTC1PASMentor,JTC1NationalBodies,subcommittees or Category A liaison organizations during the generation of this report andthroughout the transposition process. The counselling process could include a review of thesubmissions.

IftheRecognizedPASsubmitterwillnotperformmaintenancefunctionsonthefinalInternationalStandard,theRecognizedPASsubmitterisencouragedtomakearecommendationconcerningtheassignmentofthedocumenttoagivensubcommittee.Thisrecommendation(orinitsabsence,theJTC1 secretariat’s recommendation) shall be circulated to JTC1 P‐members togetherwith theballot, but the recommendation shall not influence the vote. In caseswhere the subcommitteeassignment is inquestionorwhere thedocumentdoesnotappearappropriate foranyexisting


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subcommittee, the JTC1 secretariat should perform the duties normally assigned to thesubcommitteesecretariatuntilthefinalsubcommitteeassignmentisdetermined.

In cases where the Recognized PAS submitter has received approval to performmaintenancefunctions,onthefinalInternationalStandard,theballotisassignedtotheJTC1SecretariatandtheJTC1SecretariatshallperformalldutiesindicatedinF.4.

F.4 AdoptionofSubmissionsundertheJTC1Fast‐TrackProcedureorJTC1PASTranspositionProcess

F.4.1 The JTC 1 secretariat forwards the Fast‐Track or PAS submission, together with theexplanatoryreportandrelateddocumentationtoITTF.

F.4.2TheITTFshalltakethefollowingactions:

Settlethecopyrightortrademarksituation,orboth,withthePASorFast‐Tracksubmitter,sothattheproposedtextcanbecopiedanddistributedwithinISO/IECwithoutrestriction;

AssessinconsultationwiththeJTC1secretariatthatJTC1isthecompetentcommitteeforthesubjectcoveredintheproposedstandardandascertainthatthereisnoevidentcontradictionwithotherISO/IECstandards.

DistributethetextoftheproposedstandardasaDraftInternationalStandard(DIS),togetherwiththeexplanatoryreportandrelateddocumentation,indicatingthatthestandardfallswithinthescopeofJTC1.

F.4.3TheperiodforcombinedDISvotingshallbea12‐weekballotwithatranslationperiodof8weeks(seeJA.8).InordertobeacceptedtheDISmustmeettheconditionsforapprovalasspecifiedinJA.5.1.

F.4.4UponreceiptofnotificationfromtheITTFthataDIShasbeenregistered,theJTC1secretariatshallinformthesecretariatofthesubcommitteerecommendedforassignmentoftheprojectoftheDISnumber,title,andballotperioddates,andshallsendthesubcommitteesecretariatacopyoftheDISanditsattachedexplanatoryreport.TheJTC1secretariatshallalsoinformtheITTFofthesubcommitteethatwilldealwiththeDISballotresults,inorderthatthetableofrepliesandanycommentsaccompanyingthevotesmaybesentbyITTFdirectlytotheSCsecretariataswellastotheJTC1secretariat.

F.4.5 Reflecting the importance of the Fast‐Track process and the JTC 1 PAS TranspositionProcedure,theJTC1secretariatshallalsoinformJTC1NationalBodiesandLiaisonOrganisations,andthoseorganisationsauthorizedtobeRecognizedPASsubmitters,oftheinitiationofanyFast‐TrackorPASballot,theresultsoftheballot,andtheidentityoftheJTC1subcommitteewhichwillberesponsibleforanyfuturework.

F.4.6TheFast‐TrackorPASsubmittershallreceiveacopyoftheballotdocumentation.

F.4.7Uponreceiptof thenotification fromthe JTC1secretariat that itssubcommitteehasbeenassignedtheresponsibilityfordealingwiththeDIS,thesubcommitteesecretariatshallsoinformthesubcommitteeNationalBodies,andshallmakeplansforapossibleBallotResolutionMeeting(seeF.5below).


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F.4.8UponreceiptoftheDISballotresults,andanycomments,theSCsecretariatshalldistributethismaterialtothesubcommittee,NationalBodiesandthePASorFast‐TrackSubmitter.

IftheapprovalrequirementsinJA.5.1foraDISballothavenotbeenmet,theproposalhasfailed.Inthiscase,JTC1shallmakeknowntothesubmitterthereasonswhichhaveledtothenegativeresult.Basedonthisinformation,thesubmittermaychoosetore‐submitamodifiedspecificationasanewFast‐TrackorPASsubmission.

In the case where no negative votes and no comments other than editorial corrections andcommentsthatcannotbeaccommodatedbyatextualchangetotheballoteddocumenthavebeenreceived,thetextafterincorporationoftheeditorialcommentsbytheeditormayproceeddirectlytopublicationandnoballotresolutionmeetingwillbeheld.

Inthecasewhereoneormorenegativevotesandnocommentsotherthaneditorialcorrectionsandcommentsthatcannotbeaccommodatedbyatextualchangetotheballoteddocumenthavebeenreceived,theprojecteditorshallincorporatetheeditorialcorrectionsandsendthecorrectedDIStotheITTFforFDISballoting.TheballotperiodforFDISis8weeks.

Ifcommentsothersthaneditorialcorrectionsandcommentsthatcannotbeaccommodatedbyatextual change to the balloted document have been received, a Ballot Resolution Meeting isconducted(seeF.5).

F.4.9AfterthedeliberationsofaBallotResolutionMeeting(ifheldfollowingasuccessfulDISvote),thefollowingcasesmayoccur:

a)NochangesotherthaneditorialcorrectionshavebeenmadetotheoriginalDIStext;

ifnonegativevoteshavebeenreceived,thetextafterincorporationoftheeditorialcommentsbytheeditorthetextmayproceeddirectlytopublication;or

ifnegativevoteshavebeenreceivedtheprojecteditorshallincorporatetheeditorialcorrectionsandsendtheamendedDIStothesubcommitteesecretariatwhoshallforwardittotheITTFforFDISballoting.TheballotperiodforFDISis8weeks.

b)ChangesotherthaneditorialcorrectionshavebeenagreedduringtheBallotResolutionMeeting:

inthiscase,theprojecteditorshallpreparetheamendedDISandsendittothesubcommitteesecretariatwhoshallforwardittotheITTFforFDISballoting.TheballotperiodforFDISis8weeks.

F.4.10 Upon receipt of notification from the ITTF that a FDIS has been registered, the JTC 1secretariatshallinformthesecretariatoftheSCrecommendedforassignmentoftheprojectoftheFDISnumber,title,andballotperioddates,andshallsendthesubcommitteesecretariatacopyoftheFDISandthedispositionofcommentsreceivedontheDISballot,ifanyarereceived.Thetableof replies and any comments accompanying the votes will be sent by ITTF directly to thesubcommitteesecretariataswellastotheJTC1secretariat.

F.4.11IftherequirementsofJA.6aremet,thetextwillbepublishedbyITTFasanInternationalStandard.Foritsinitialpublication,thedocumentisnotrequiredtobeinISO/IECformat,butcanbepublishedinitsoriginalformat.Theformofpublication(e.g.reprintoforiginaldocumentordistributionofISO/IECcoverpagewithreference)istobedeterminedbyITTFandthePASorFast‐Tracksubmitteraspartofanypublicationagreements.However,subsequentrevisionsshallbeintheformatprescribedbytheISO/IECDirectives,Part2.


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F.4.12Ifit isimpossibletoagreetotextmeetingtheFDISapprovalrequirements(seeJA.6),theproposalhasfailed.Inthiscase,JTC1shallmakeknowntothesubmitterthereasonswhichhaveled to thenegative result. Basedon this information, the submittermay choose to re‐submit amodifiedspecificationasanewFast‐TrackorPASsubmission.

F.4.13Thetimeperiodforpostballotactivitiesbytherespectiveresponsiblepartiesshallbeasfollows:

immediatelyaftertheDISandFDISvotes,theITTFshallsendtheresultsofthevotetotheJTC1secretariatandtothesubcommitteesecretariat,andthelattershalldistributetheresultswithoutdelaytoitsNationalBodies,toanyNationalBodieshavingvotedthatarenotmembersofthesubcommitteeandtotheproposer;

assoonaspossibleafterthedistributionoftheresultsofthevotetoitsNationalBodiesbutinnotlessthantwoandone‐halfmonthsthesubcommitteesecretariatshallconveneaBallotResolutionMeeting(BRM),ifrequired;

innotmorethan4weeksaftertheBallotResolutionMeetingthesubcommitteesecretariatshalldistributethefinalreportofthemeetingandtheamendedDIStext.

F.4.14Iftheproposedstandardisaccepted,itwillbepublishedfollowingISOandIECstandingcopyrightandotherIPRpolicy.ItsmaintenancewillbehandledeitherbyJTC1orbyaJTC1designatedmaintenancegroupofthePASsubmitterinaccordancewithJTC1rules.It is at the discretion of the PAS or Fast‐Track submitter towithdraw the document from thetranspositionprocessatanypointpriortopublication.ItisalsotherightofthePASorFast‐Tracksubmittertorequestthatthedocumentremainunchangedthroughoutthetranspositionprocess.Sucharequestshouldbeclearlystatedintheexplanatoryreport.

F.5JTC1PASandFast‐TrackBallotResolutionMeetings

F.5.1BallotResolutionMeetingPurposeandScope

InJTC1,thepurposeofaBallotResolutionMeeting(BRM)istoreviewthecommentsreceivedonan enquiry draft (DIS) for JTC 1 PAS or Fast‐Track ballots (see F.4); further it shall formulatedispositions to those comments to receive the widest possible consensus. In some cases, thesubcommitteesecretariatmaydecidethataBallotResolutionMeetingisunnecessaryandassigntheresolutionofcommentsdirectlytotheprojecteditor.

F.5.2ResponsibilitiesoftheassignedsubcommitteefortheBallotResolutionMeeting

JTC1usually assignsanenquirydraft (DIS) tooneof its subcommittees.Where theDIS isnotassignedtoaspecificsubcommittee,theJTC1secretariatwillcarryoutthetasksassigned.

Theassignedsecretariatshall:

scheduleaBallotResolutionMeeting,tobeheldnotearlierthantwoandahalfmonthsafterthedistributionofthecomments,toconsideranycommentsontheDIS;

appointaconvenorfortheBallotResolutionMeeting;

notifytheeligibleattendeesoftheBallotResolutionMeetingdate(s),location,andconvenor.

Nolaterthan8weeksbeforethestartoftheBallotResolutionMeeting,theassignedsecretariatshallsendthelogisticalinformationandagendatogetherwiththenotificationoftheconvenortotheJTC1secretariatforcirculationtotherecipientslistedinF.5.4below


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F.5.3Proposeddispositionsofcomments

TheprojecteditorassignedtotheDISshallpreparetheProposedDispositionofComments(DoC)ontheISOtemplate(finalcolumn).

Nolaterthan4weeksbeforethestartoftheBallotResolutionMeeting,theassignedsecretariatshallcirculatetheproposedDispositionofCommentsdocumenttothelistedrecipientsinF.5.4below.

F.5.4Recipientsandeligibleattendance

The assigned secretariat shallmakeavailable theProposedDispositionofComments (DoC)viaITTF to the following who are eligible to attend or to nominate representatives to the BallotResolutionMeeting:

representativesoftheeligiblevotersasindicatedinthecombinedvotingprocedure; representativesoftheISOandIECCentralOffices; thesubcommitteechair; thesubcommitteesecretary; theassignedprojecteditor(s); theBallotResolutionMeetingconvenor; theDraftInternationalStandardsubmitter;and JTC1CategoryAliaisons.

F.5.5MeetingProcedures

TheBallotResolutionMeetingshallbeconvenedasaseparatemeetingevenifheldinconjunctionwithothermeetingsofJTC1ortherelevantsubcommittee.TheBRMmaybeheldbyteleconferenceorusingelectronicmeansorface‐to‐face(seeStandingDocument19on“Meetings”).

Theappointedconvenorshallholdaroll‐call.

TheBallotResolutionMeetingrecordshalllisttheHeadsofDelegation(HoD),whorepresenttheirNationalBodypositions,ifneededinavote,aswellasalltheotherattendeesandtheirroles.

TheBallotResolutionMeetingshalladdressandattemptasfaraspossibletoresolveallcommentsraised during the Draft International Standard ballot to increase consensus on the resultingdocument.

For each of the comments, the project editor shall record the disposition on which the BallotResolution Meeting achieves consensus, or if that fails, the proposition that gets the majoritysupportofthoseNationalBodiesthatwerepresentattheBRMandeligibletovoteontheDraftInternationalStandardballot,inthefinalDispositionofCommentsreport.

WhenallDISballot commentshavebeenaddressedand thedispositionof commentshasbeenapprovedbythemeeting,theBallotResolutionMeetinggoalshavebeenmet.

Nolongerthan4weeksafterthecloseofthemeeting,oraspermittedbyITTF,thesubcommitteesecretariatshalldistribute:

arevisionoftheDraftInternationalStandardballoteddocumentthatincludesallchangesagreedtoattheBallotResolutionMeeting;

thedispositionofcommentsreportapprovedattheBallotResolutionMeeting;and


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aBallotResolutionMeetingreportcontainingalistofattendeesandtheirroles,referencingthefinaldispositionofcommentsreportandarecommendationforfurtherprocessingofthedraftInternationalStandard.

These documents shall also be forwarded to ITTF for further circulation to the above listedrecipients.

F.6ProgressionofFast‐TrackandPASSubmissionsinJTC1

InJTC1,thefollowingflowchartspecifiestheprogressionofFast‐TrackandPASSubmissionsasreferencedinF.2,F.3,F.4,andF.5.


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Figure1:FlowchartofFast‐TrackandPASSubmissionsforInternationalStandards


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AnnexG(normative)

Maintenanceagencies

G.1 A technical committee or subcommittee developing an International Standard that willrequireamaintenanceagencyshallinformtheChiefExecutiveOfficeratanearlystageinorderthatanISO/TMBorIECCouncilBoarddecisionmaybetakeninadvanceofthepublicationoftheInternationalStandard.

G.2 The ISO/TMB or IEC Council Board designatesmaintenance agencies in connectionwithInternationalStandards,includingappointmentoftheirmembers,ontheproposalofthetechnicalcommitteeconcerned.

G.3 The secretariat of a maintenance agency should be attributed wherever possible to thesecretariat of the technical committee or subcommittee that has prepared the InternationalStandard.

G.4 The Chief Executive Officer shall be responsible for contactswith external organizationsassociatedwiththeworkofamaintenanceagency.

G.5 TherulesofprocedureofmaintenanceagenciesshallbesubjecttoISO/TMBorIECCouncilBoardapprovalandanyrequesteddelegationofauthorityinconnectionwiththeupdatingoftheInternational Standard or the issuing of amendments shall be specifically authorized by theISO/TMBorIECCouncilBoard.

G.6 Anychargesforservicesprovidedbyamaintenanceagencyshallbeauthorizedbythecouncilboard.


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AnnexH(normative)

Registrationauthorities

H.1 A technical committee or subcommittee developing an International Standard that willrequirearegistrationauthorityshallinformtheChiefExecutiveOfficeratanearlystage,inorderto permit any necessary negotiations and to allow the technical management board to take adecisioninadvanceofthepublicationoftheInternationalStandard.

InJTC1,thegroupdevelopingthestandardwhichrequiresaRegistrationAuthorityshalldeveloptheaccompanyingprocedureswhichshallbeapprovedbyJTC1ballot.

H.2 The technical management board designates registration authorities in connection withInternationalStandardsontheproposalofthetechnicalcommitteeconcerned.

H.3 Registrationauthoritiesshouldbequalifiedandinternationallyacceptablebodies;ifthereisnosuchorganizationavailable,suchtasksmaybeconferredupontheofficeoftheCEObydecisionofthetechnicalmanagementboard.

H.4 Registrationauthoritiesshouldberequiredtoindicateclearlyintheiroperationsthattheyhave been designated by ISO or IEC (for example, by including appropriate wording in theletterheadofthedesignatedbody).

H.5 Registrationfunctionsundertakenbytheregistrationauthorityundertheprovisionsoftherelevant International Standardshall requireno financial contribution from ISOor IECor theirmembers.Thiswouldnotpreclude,however,thechargingforservicesprovidedbytheregistrationauthorityifdulyauthorizedbythecouncilboard.

InJTC1,forfurtherinformationonJTC1RegistrationAuthorities,seetheJTC1StandingDocument16on“RegistrationAuthorities”.


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AnnexI(normative)

GuidelineforImplementationoftheCommonPatentPolicyfor

ITU‐T/ITU‐R/ISO/IEC

The latest edition of the Guidelines for Implementation of the Common Patent Policy forITU‐T/ITU‐R/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/ITU‐T_ITU‐R_ISO_IEC_Common_Guidelines_2015‐06‐26.pdf


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GuidelinesforImplementationoftheCommonPatentPolicyforITU‐T/ITU‐R/ISO/IEC

Revision2,effective26June2015

Revision1,effective23April2012

Revisesinitialeditionof1March2007

CONTENTS

PartI–Commonguidelines

I.1Purpose

I.2Explanationofterms

I.3Patentdisclosure

I.4PatentStatementandLicensingDeclarationForm

I.4.1ThepurposeoftheDeclarationForm

I.4.2Contactinformation

I.5Conductofmeetings

I.6PatentInformationdatabase

I.7AssignmentorTransferofPatentRights

PartII–Organization‐specificprovisions

II.1SpecificprovisionsforITU

II.2SpecificprovisionsforISOandIEC

ANNEX1:COMMONPATENTPOLICYFORITU‐T/ITU‐R/ISO/IEC

ANNEX2:PATENTSTATEMENTANDLICENSINGDECLARATIONFORMFORITU‐TORITU‐RRECOMMENDATION|ISOORIECDELIVERABLE

ANNEX3:GENERALPATENTSTATEMENTANDLICENSINGDECLARATIONFORMFORITU‐TORITU‐RRECOMMENDATION


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GuidelinesforImplementationoftheCommonPatentPolicyforITU‐T/ITU‐R/ISO/IEC

Revision2,effective26June2015

PartI–Commonguidelines

I.1 Purpose

ITU, in itsTelecommunicationStandardization Sector (ITU‐T)and itsRadiocommunicationSector (ITU‐R), ISOand IEChavehadpatentpolicies formanyyears, thepurposebeing toprovideinsimplewordspracticalguidancetotheparticipantsintheirTechnicalBodiesincasepatentrightsmattersarise.

Considering that the technical experts arenormallynot familiarwith the complex issueofpatentlaw,theCommonPatentPolicyforITU‐T/ITU‐R/ISO/IEC(hereafterreferredtoasthe“PatentPolicy”)wasdraftedinitsoperativepartasachecklist,coveringthethreedifferentcaseswhichmayariseifaRecommendation|DeliverablerequireslicencesforPatentstobepracticedorimplemented,fullyorpartly.

TheGuidelines for Implementationof theCommonPatentPolicy for ITU‐T/ITU‐R/ISO/IEC(hereafterreferredtoasthe“Guidelines”)areintendedtoclarifyandfacilitateimplementationofthePatentPolicy,acopyofwhichcanbefoundinAnnex1andalsoonthewebsiteofeachOrganization.

ThePatentPolicyencouragestheearlydisclosureandidentificationofPatentsthatmayrelateto Recommendations | Deliverables under development. In doing so, greater efficiency instandardsdevelopmentispossibleandpotentialpatentrightsproblemscanbeavoided.

TheOrganizationsshouldnotbeinvolvedinevaluatingpatentrelevanceoressentialitywithregardstoRecommendations|Deliverables,interferewithlicensingnegotiations,orengageinsettlingdisputesonPatents;thisshouldbeleft‐asinthepast‐tothepartiesconcerned.

Organization‐specific provisions are contained in PartII of this document. However, it isunderstood that those Organization‐specific provisions shall contradict neither the PatentPolicynortheGuidelines.

I.2 Explanationofterms

Contribution:AnydocumentsubmittedforconsiderationbyaTechnicalBody.

FreeofCharge:Thewords“FreeofCharge”donotmeanthatthePatentHolderiswaivingallofitsrightswithrespecttothePatent.Rather,“FreeofCharge”referstotheissueofmonetarycompensation;i.e.,thatthePatentHolderwillnotseekanymonetarycompensationaspartofthe licensing arrangement (whether such compensation is called a royalty, a one‐timelicensing fee, etc.).However,while thePatentHolder in this situation is committing tonotcharging any monetary amount, the Patent Holder is still entitled to require that theimplementer of the relevant Recommendation | Deliverable sign a license agreement that


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containsotherreasonabletermsandconditionssuchasthoserelatingtogoverninglaw,fieldofuse,warranties,etc.

Organizations:ITU,ISOandIEC.

Patent:Theword“Patent”meansthoseclaimscontainedinandidentifiedbypatents,utilitymodelsandothersimilarstatutoryrightsbasedoninventions(includingapplicationsforanyof these) solely to theextent thatanysuchclaimsareessential to the implementationofaRecommendation | Deliverable. Essential patents are patents that would be required toimplementaspecificRecommendation|Deliverable.

PatentHolder:Personorentitythatowns,controlsand/orhastheabilitytolicensePatents.

Reciprocity:Theword“Reciprocity”meansthatthePatentHoldershallonlyberequiredtolicense any prospective licensee if such prospective licensee will commit to license itsPatent(s) for implementation of the same relevant Recommendation | Deliverable Free ofChargeorunderreasonabletermsandconditions.

Recommendations |Deliverables: ITU‐T and ITU‐RRecommendations are referred to as“Recommendations”,ISOdeliverablesandIECdeliverablesarereferredtoas“Deliverables”.ThevarioustypesofRecommendation(s)|Deliverable(s)arereferredtoas“Documenttypes”inthePatentStatementandLicensingDeclarationForm(hereafterreferredtoas“DeclarationForm”)attachedasAnnex2.

TechnicalBodies:StudyGroups,anysubordinategroupsandothergroupsofITU‐TandITU‐Randtechnicalcommittees,subcommitteesandworkinggroupsinISOandIEC.

I.3 Patentdisclosure

AsmandatedbythePatentPolicyinitsparagraph1,anypartyparticipating3intheworkoftheOrganizationsshould,fromtheoutset,drawtheirattentiontoanyknownPatentortoanyknownpendingPatentapplication,eitheritsownorthatofotherorganizations.

Inthiscontext,thewords“fromtheoutset”implythatsuchinformationshouldbedisclosedasearlyaspossibleduringthedevelopmentoftheRecommendation|Deliverable.Thismightnotbepossiblewhenthefirstdrafttextappearssinceatthistime,thetextmightbestilltoovagueor subject to subsequentmajormodifications.Moreover, that information shouldbeprovided in good faith and on a best effort basis, but there is no requirement for patentsearches.

In addition to the above, any party not participating in Technical Bodies may draw theattentionoftheOrganizationstoanyknownPatent,eithertheirownand/orofanythird‐party.

When disclosing their own Patents, Patent Holders have to use the Patent Statement andLicensingDeclarationForm(referredtoasthe“DeclarationForm”)asstatedinSection4oftheseGuidelines.

3 In thecaseof ISOandIEC, this includesanyrecipient of a draft standard at any stage in the standardsdevelopmentprocess.


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Anycommunicationdrawingtheattentiontoanythird‐partyPatentshouldbeaddressedtotheconcernedOrganization(s)inwriting.ThepotentialPatentHolderwillthenberequestedbytheDirector/CEOoftherelevantOrganization(s)tosubmitaDeclarationForm,ifapplicable.

ThePatentPolicy and theseGuidelines alsoapply to anyPatentdisclosedordrawn to theattentionoftheOrganizationssubsequenttotheapprovalofaRecommendation|Deliverable.

Whether the identification of the Patent took place before or after the approval of theRecommendation|Deliverable,ifthePatentHolderisunwillingtolicenseunderparagraph2.1or 2.2 of the Patent Policy, the Organizations will promptly advise the Technical BodiesresponsiblefortheaffectedRecommendation|Deliverablesothatappropriateactioncanbetaken.Suchactionwillinclude,butmaynotbelimitedto,areviewoftheRecommendation|Deliverableor itsdraft inorder toremove thepotential conflictor to furtherexamineandclarifythetechnicalconsiderationscausingtheconflict.

I.4 PatentStatementandLicensingDeclarationForm

I.4.1 ThepurposeoftheDeclarationForm

ToprovideclearinformationinthePatentInformationdatabasesofeachOrganization,PatentHolders have to use the Declaration Form, which is available on the web site of eachOrganization(theDeclarationFormis included inAnnex2for informationpurposes).TheymustbesenttotheOrganizationsfortheattention,forITU,oftheDirectorsoftheTSBortheBR or, for ISO or IEC, of the CEOs. The purpose of the Declaration Form is to ensure astandardizedsubmissiontotherespectiveOrganizationsofthedeclarationsbeingmadebyPatentHolders.

TheDeclarationFormgivesPatentHoldersthemeansofmakingalicensingdeclarationrelativetorights in Patents required for implementation of a specific Recommendation | Deliverable.Specifically,bysubmittingthisDeclarationFormthesubmittingpartydeclaresitswillingnesstolicense(byselectingoption1or2ontheForm)/oritsunwillingnesstolicense(byselectingoption3ontheForm),accordingtothePatentPolicy,Patentsheldbyitandwhoselicencewouldberequiredtopracticeorimplementpart(s)orallofaspecificRecommendation|Deliverable.

If a Patent Holder has selected the licensing option3 on the Declaration Form, then, for thereferencedrelevantITURecommendation,theITUrequiresthePatentHoldertoprovidecertainadditionalinformationpermittingpatentidentification.Insuchasituation,foranyrelevantISOorIECDeliverable, the ISO and IEC strongly encourage (but do not require) the PatentHolder toprovidecertainadditionalinformationpermittingpatentidentification.

MultipleDeclarationFormsareappropriate if thePatentHolderwishes to identify severalPatents and classifies them in different options of the Declaration Form for the sameRecommendation|DeliverableorifthePatentHolderclassifiesdifferentclaimsofacomplexpatentindifferentoptionsoftheDeclarationForm.

InformationcontainedinaDeclarationFormmaybecorrectedincaseofobviouserrors,suchasatypographicalmistakeinastandardorpatentreferencenumber.Thelicensingdeclarationcontained in the Declaration Form remains in force unless it is superseded by anotherDeclarationFormcontainingmorefavourablelicensingtermsandconditionsfromalicensee'sperspectivereflecting(a)achangeincommitmentfromoption3toeitheroption1oroption2,(b)achangeincommitmentfromoption2tooption1or(c)un‐checkingoneormoresub‐optionscontainedwithinoption1or2.


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I.4.2 Contactinformation

IncompletingDeclarationForms,attentionshouldbegiventosupplyingcontactinformationthatwill remain valid over time.Where possible, the “Name and Department” and e‐mailaddress should be generic. Also it is preferable, where possible, that parties, particularlymultinational organizations, indicate the same contact point on all Declaration Formssubmitted.

Withaviewtomaintainingup‐to‐dateinformationinthePatentInformationdatabaseofeachOrganization,itisrequestedthattheOrganizationsbeinformedofanychangeorcorrectionstotheDeclarationFormsubmittedinthepast,especiallywithregardtothecontactperson.

I.5 Conductofmeetings

Early disclosure of Patents contributes to the efficiency of the process by whichRecommendations | Deliverables are established. Therefore, each Technical Body, in thecourse of the development of a proposed Recommendation | Deliverable, will request thedisclosureofanyknownPatentsessentialtotheproposedRecommendation|Deliverable.

ChairmenofTechnicalBodieswill,ifappropriate,ask,atanappropriatetimeineachmeeting,whetheranyonehasknowledgeofpatents,theuseofwhichmayberequiredtopracticeorimplement theRecommendation |Deliverablebeing considered.The fact that thequestionwasaskedshallberecordedinthemeetingreport,alongwithanyaffirmativeresponses.

AslongastheOrganizationconcernedhasreceivednoindicationofaPatentHolderselectingparagraph2.3ofthePatentPolicy,theRecommendation|Deliverablemaybeapprovedusingthe appropriate and respective rules of the Organization concerned. It is expected thatdiscussionsinTechnicalBodieswillincludeconsiderationofincludingpatentedmaterialinaRecommendation|Deliverable,howevertheTechnicalBodiesmaynottakepositionregardingtheessentiality,scope,validityorspecificlicensingtermsofanyclaimedPatents.

I.6 PatentInformationdatabase

In order to facilitate both the standards‐making process and the application ofRecommendations |Deliverables, eachOrganizationmakesavailable to thepublicaPatentInformationdatabasecomposedofinformationthatwascommunicatedtotheOrganizationsbythemeansofDeclarationForms.ThePatentInformationdatabasemaycontaininformationon specific patents, or may contain no such information but rather a statement aboutcompliancewiththePatentPolicyforaparticularRecommendation|Deliverable.

ThePatentInformationdatabasesarenotcertifiedtobeeitheraccurateorcomplete,butonlyreflecttheinformationthathasbeencommunicatedtotheOrganizations.Assuch,thePatentInformationdatabasesmaybeviewedassimplyraisingaflagtoalertusersthattheymaywishto contact the entitieswhohave communicatedDeclaration Forms to theOrganizations inorder to determine if patent licenses must be obtained for use or implementation of aparticularRecommendation|Deliverable.


©ISO/IEC2016 97

I.7 Assignmentortransferofpatentrights

The rules governing the assignment or transfer of Patent rights are contained in the patentstatementandlicensingdeclarationforms(seeAnnexes2and3).Bycomplyingwiththeserules,the Patent Holder has discharged in full all of its obligations and liability with regards to thelicensingcommitmentsafterthetransferorassignment.TheserulesarenotintendedtoplaceanydutyonthePatentHoldertocompelcompliancewiththelicensingcommitmentbytheassigneeortransfereeafterthetransferoccurs.


©ISO/IEC2016 98

PartII–Organization‐specificprovisions

II.1 SpecificprovisionsforITU

ITU‐1GeneralPatentStatementandLicensingDeclarationForm

AnyonemaysubmitaGeneralPatentStatementandLicensingDeclarationFormwhichisavailable on the web sites of ITU‐T and ITU‐R (the form in Annex3 is included forinformationpurposes).ThepurposeofthisformistogivePatentHoldersthevoluntaryoptionofmakingagenerallicensingdeclarationrelativetomaterialprotectedbyPatentscontained in anyof theirContributions. Specifically, by submitting its form, thePatentHolderdeclaresitswillingnesstolicenseitsPatentsownedbyitincasepart(s)orallofanyproposalscontainedinitsContributionssubmittedtotheOrganizationareincludedinRecommendation(s)andtheincludedpart(s)containitemsforwhichPatentshavebeenfiledandwhoselicencewouldberequiredtopracticeorimplementRecommendation(s).

TheGeneralPatentStatementandLicensingDeclarationFormisnotareplacementforthe“individual”(seeclause4ofPartI)DeclarationForm,whichismadeperRecommendation,but is expected to improve responsiveness and early disclosureof thePatentHolder'scompliancewith thePatentPolicy.Therefore, inaddition to itsexistingGeneralPatentStatement and LicensingDeclaration in respect of its Contributions, the PatentHoldershould, when appropriate (e.g. if it becomes aware that it has a Patent for a specificRecommendation), also submit an “individual” Patent Statement and LicensingDeclarationForm:

— — forthePatentscontainedinanyofitsContributionssubmittedtotheOrganizationwhichareincludedinaRecommendation,anysuch“individual”PatentStatementandLicensingDeclarationsmaycontaineitherthesamelicensingtermsandconditionsasintheGeneralPatentStatementandLicensingDeclarationForm,ormorefavourablelicensing terms and conditions from a licensee's perspective as defined in the“individual”(seeclause4.1ofPartI)DeclarationForm;and

— — forthePatentsthatthePatentHolderdidnotcontributetotheOrganizationwhichare included in a Recommendation, any such “individual” Patent Statement andLicensingDeclarationsmaycontainanyofthethreeoptionsavailableontheForm(seeclause4.1 of PartI), regardless of the commitment in its existing General PatentStatementandLicensingDeclaration.

The General Patent Statement and Licensing Declaration remains in force unless it issuperseded by another General Patent Statement and Licensing Declaration formcontainingmorefavourablelicensingtermsandconditionsfromalicensee'sperspectivereflecting(a)achangeincommitmentfromoption2tooption1or(b)un‐checkingoneormoresub‐optionscontainedwithinoption1or2.

TheITUPatentInformationdatabasealsocontainsarecordofGeneralPatentStatementandLicensingDeclarations.

ITU‐2Notification

Text shall be added to the cover sheets of all new and revised ITU‐T and ITU‐RRecommendations,whereappropriate,urginguserstoconsulttheITUPatentInformationdatabase.Thewordingis:


©ISO/IEC2016 99

“ITU draws attention to the possibility that the practice or implementation of thisRecommendationmayinvolvetheuseofaclaimedIntellectualPropertyRight.ITUtakesno position concerning the evidence, validity or applicability of claimed IntellectualProperty Rights, whether asserted by ITU members or others outside of theRecommendationdevelopmentprocess.

AsofthedateofapprovalofthisRecommendation,ITU[had/hadnot]receivednoticeofintellectual property, protected by patents, which may be required to implement thisRecommendation.However,implementersarecautionedthatthismaynotrepresentthelatestinformationandarethereforestronglyurgedtoconsulttheITUPatentInformationdatabase.”

II.2 SpecificprovisionsforISOandIEC

ISO/IEC‐1ConsultationsondraftDeliverables

Alldraftssubmittedforcommentshallincludeonthecoverpagethefollowingtext:

“Recipientsof thisdraftare invited tosubmit,with their comments,notificationofanyrelevantpatentrightsofwhichtheyareawareandtoprovidesupportingdocumentation.”

ISO/IEC‐2Notification

Apublisheddocument,forwhichnopatentrightsareidentifiedduringthepreparationthereof,shallcontainthefollowingnoticeintheforeword:

“Attentionisdrawntothepossibilitythatsomeoftheelementsofthisdocumentmaybethesubjectofpatentrights.ISO[and/or]IECshallnotbeheldresponsibleforidentifyinganyorallsuchpatentrights.”

A published document, for which patent rights have been identified during thepreparationthereof,shallincludethefollowingnoticeintheintroduction:

“TheInternationalOrganizationforStandardization(ISO)[and/or]International

Electrotechnical Commission (IEC) draws attention to the fact that it is claimed thatcompliancewith this documentmay involve the use of a patent concerning (…subjectmatter…)givenin(…subclause…).

ISO[and/or]IECtake[s]nopositionconcerningtheevidence,validityandscopeofthispatentright.

TheholderofthispatentrighthasassuredtheISO[and/or]IECthathe/sheiswillingtonegotiate licencesunderreasonableandnon‐discriminatorytermsandconditionswithapplicantsthroughouttheworld.Inthisrespect,thestatementoftheholderofthispatentrightisregisteredwithISO[and/or]IEC.Informationmaybeobtainedfrom:

nameofholderofpatentright…

address…


©ISO/IEC2016 100

Attentionisdrawntothepossibilitythatsomeoftheelementsofthisdocumentmaybethesubjectofpatentrightsotherthanthoseidentifiedabove.ISO[and/or]IECshallnotbeheldresponsibleforidentifyinganyorallsuchpatentrights.”

ISO/IEC‐3NationalAdoptions

PatentDeclarationsinISO,IECandISO/IECDeliverablesapplyonlytotheISOand/orIECdocumentsindicatedintheDeclarationForms.Declarationsdonotapplytodocumentsthat are altered (such as through national or regional adoption). However,implementations that conform to identical national and regional adoptions and therespectiveISOand/orIECDeliverables,mayrelyonDeclarationssubmittedtoISOand/orIECforsuchDeliverables.


©ISO/IEC2016 101

ANNEX1

COMMONPATENTPOLICYFORITU‐T/ITU‐R/ISO/IEC

Thefollowingisa“codeofpractice”regardingpatentscovering,invaryingdegrees,thesubjectmatters of ITU‐T Recommendations, ITU‐R Recommendations, ISO deliverables and IECdeliverables (for the purpose of this document, ITU‐T and ITU‐R Recommendations arereferredtoas “Recommendations”, ISOdeliverablesandIECdeliverablesarereferredtoas“Deliverables”). The rules of the “code of practice” are simple and straightforward.Recommendations|Deliverablesaredrawnupbytechnicalandnotpatentexperts;thus,theymay not necessarily be very familiar with the complex international legal situation ofintellectualpropertyrightssuchaspatents,etc.

Recommendations|Deliverablesarenon‐binding;theirobjectiveistoensurecompatibilityoftechnologiesandsystemsonaworldwidebasis.Tomeetthisobjective,whichisinthecommoninterestsofallthoseparticipating,itmustbeensuredthatRecommendations|Deliverables,theirapplications,use,etc.areaccessibletoeverybody.

Itfollows,therefore,thatapatentembodiedfullyorpartlyinaRecommendation|Deliverablemust be accessible to everybody without undue constraints. Tomeet this requirement ingeneralisthesoleobjectiveofthecodeofpractice.Thedetailedarrangementsarisingfrompatents (licensing, royalties, etc.) are left to the parties concerned, as these arrangementsmightdifferfromcasetocase.

Thiscodeofpracticemaybesummarizedasfollows:

1 The ITU Telecommunication Standardization Bureau (TSB), the ITU Radio‐communicationBureau(BR)andtheofficesoftheCEOsofISOandIECarenotinapositiontogiveauthoritativeorcomprehensiveinformationaboutevidence,validityorscopeofpatentsorsimilarrights,butitisdesirablethatthefullestavailableinformationshouldbedisclosed.Therefore,anypartyparticipatingintheworkofITU,ISOorIECshould,fromtheoutset,drawtheattentionoftheDirectorofITU‐TSB,theDirectorofITU‐BR,ortheoffices of the CEOs of ISO or IEC, respectively, to any known patent or to any knownpendingpatentapplication,eithertheirownorofotherorganizations,althoughITU,ISOorIECareunabletoverifythevalidityofanysuchinformation.

2 IfaRecommendation |Deliverable isdevelopedandsuch informationasreferredto inparagraph1hasbeendisclosed,threedifferentsituationsmayarise:

i) 2.1 Thepatentholderiswillingtonegotiatelicencesfreeofchargewithotherpartiesonanon‐discriminatorybasisonreasonabletermsandconditions.SuchnegotiationsarelefttothepartiesconcernedandareperformedoutsideITU‐T/ITU‐R/ISO/IEC.

ii) 2.2 The patent holder iswilling to negotiate licenceswith other parties on a non‐discriminatorybasisonreasonabletermsandconditions.SuchnegotiationsarelefttothepartiesconcernedandareperformedoutsideITU‐T/ITU‐R/ISO/IEC.

iii) 2.3 The patent holder is not willing to comply with the provisions of eitherparagraph2.1orparagraph2.2;insuchcase,theRecommendation|Deliverableshallnotincludeprovisionsdependingonthepatent.

3 Whatever case applies (2.1, 2.2 or 2.3), the patent holder has to provide a writtenstatement to be filed at ITU‐TSB, ITU‐BR or the offices of the CEOs of ISO or IEC,respectively,usingtheappropriate“PatentStatementandLicensingDeclaration”Form.


©ISO/IEC2016 102

Thisstatementmustnotincludeadditionalprovisions,conditions,oranyotherexclusionclausesinexcessofwhatisprovidedforeachcaseinthecorrespondingboxesoftheform.


©ISO/IEC2016 103

ANNEX2

PATENTSTATEMENTANDLICENSINGDECLARATIONFORMFORITU‐TORITU‐RRECOMMENDATION|ISOORIECDELIVERABLE

PatentStatementandLicensingDeclarationforITU‐TorITU‐RRecommendationISOorIECDeliverable

Thisdeclarationdoesnotrepresentanactualgrantofalicense

Pleasereturntotherelevantorganization(s)asinstructedbelowperdocumenttype:

DirectorTelecommunicationStandardizationBureauInternationalTelecommunicationUnionPlacedesNationsCH‐1211Geneva20SwitzerlandFax:+41227305853Email:[email protected]

DirectorRadiocommunicationBureauInternationalTelecommunicationUnionPlacedesNationsCH‐1211Geneva20SwitzerlandFax:+41227305785Email:[email protected]

Secretary‐GeneralInternationalOrganizationforStandardization8chemindeBlandonnetCH‐1214Vernier,GenevaSwitzerlandFax:+41227333430Email:[email protected]

GeneralSecretaryInternationalElectrotechnicalCommission3ruedeVarembéCH‐1211Geneva20SwitzerlandFax:+41229190300Email:[email protected]

PatentHolder:

LegalName

Contactforlicenseapplication:

Name&Department

Address

Tel.

Fax

E‐mail

URL(optional)

Documenttype:

ITU‐TRec.(*) ITU‐RRec.(*) ISODeliverable(*) IECDeliverable(*)(pleasereturntheformtotherelevantOrganization)

Commontextortwintext(ITU‐TRec.|ISO/IECDeliverable(*))(forcommontextortwintext,pleasereturntheformtoeachofthethreeOrganizations:ITU‐T,ISO,IEC)

ISO/IECDeliverable(*)(forISO/IECDeliverables,pleasereturntheformtobothISOandIEC)

(*)Number

(*)Title


©ISO/IEC2016 104

Licensingdeclaration:ThePatentHolderbelievesthatitholdsgrantedand/orpendingapplicationsforPatents,theuseofwhichwould be required to implement the above document and hereby declares, in accordance with theCommonPatentPolicyforITU‐T/ITU‐R/ISO/IEC,that(checkoneboxonly):

1.ThePatentHolder ispreparedtograntaFreeofCharge license toanunrestrictednumberofapplicants on a worldwide, non‐discriminatory basis and under other reasonable terms andconditionstomake,use,andsellimplementationsoftheabovedocument.NegotiationsarelefttothepartiesconcernedandareperformedoutsidetheITU‐T,ITU‐R,ISOorIEC.Alsomarkhere___ifthePatentHolder'swillingnesstolicenseisconditionedonReciprocityfortheabovedocument.

Alsomark here ___ if the PatentHolder reserves the right to license on reasonable terms andconditions(butnotFreeofCharge)toapplicantswhoareonlywillingtolicensetheirPatent,whoseusewouldberequiredtoimplementtheabovedocument,onreasonabletermsandconditions(butnotFreeofCharge).

2.ThePatentHolder ispreparedtogranta licensetoanunrestrictednumberofapplicantsonaworldwide,non‐discriminatorybasisandonreasonabletermsandconditionstomake,useandsellimplementationsoftheabovedocument.NegotiationsarelefttothepartiesconcernedandareperformedoutsidetheITU‐T,ITU‐R,ISOorIEC.Alsomarkhere___ifthePatentHolder'swillingnesstolicenseisconditionedonReciprocityfortheabovedocument.

3.ThePatentHolderisunwillingtograntlicensesinaccordancewithprovisionsofeither1or2above.Inthiscase,thefollowinginformationmustbeprovidedtoITU,andisstronglydesiredbyISOandIEC,aspartofthisdeclaration:—grantedpatentnumberorpatentapplicationnumber(ifpending);—anindicationofwhichportionsoftheabovedocumentareaffected;—adescriptionofthePatentscoveringtheabovedocument.

FreeofCharge:Thewords“FreeofCharge”donotmeanthatthePatentHolderiswaivingallofitsrightswithrespecttothePatent.Rather,“FreeofCharge”referstotheissueofmonetarycompensation;i.e.,thatthePatentHolderwillnotseekanymonetarycompensationaspartofthelicensingarrangement(whethersuchcompensationiscalledaroyalty,aone‐timelicensingfee,etc.).However,whilethePatentHolderinthissituationiscommittingtonotcharginganymonetaryamount,thePatentHolderisstillentitledtorequirethattheimplementerofthesameabovedocumentsignalicenseagreementthatcontainsotherreasonabletermsandconditionssuchasthoserelatingtogoverninglaw,fieldofuse,warranties,etc.Reciprocity:Theword“Reciprocity”meansthatthePatentHoldershallonlyberequiredtolicenseanyprospectivelicenseeifsuchprospectivelicenseewillcommittolicenseitsPatent(s)forimplementationofthesameabovedocumentFreeofChargeorunderreasonabletermsandconditions.Patent:Theword“Patent”meansthoseclaimscontainedinandidentifiedbypatents,utilitymodelsandothersimilarstatutoryrightsbasedoninventions(includingapplicationsforanyofthese)solelytotheextentthatanysuchclaimsareessentialtotheimplementationofthesameabovedocument.Essential patents are patents thatwouldbe required to implement a specificRecommendation |Deliverable.Assignment/transferofPatentrights:LicensingdeclarationsmadepursuanttoClause2.1or2.2oftheCommonPatentPolicyforITU‐T/ITU‐R/ISO/IECshallbeinterpretedasencumbrancesthatbindallsuccessors‐in‐interestastothetransferredPatents.Recognizingthatthisinterpretationmaynotapplyinalljurisdictions,anyPatentHolderwhohassubmittedalicensingdeclarationaccordingtotheCommonPatentPolicy ‐be itselectedasoption1or2onthePatentDeclaration form‐whotransfersownershipofaPatentthatissubjecttosuchlicensingdeclarationshallincludeappropriateprovisions in the relevant transfer documents to ensure that, as to such transferred Patent, thelicensing declaration is binding on the transferee and that the transferee will similarly includeappropriateprovisionsintheeventoffuturetransferswiththegoalofbindingallsuccessors‐in‐interest.


©ISO/IEC2016 105

PatentInformation(desiredbutnotrequiredforoptions1and2;requiredinITUforoption3(NOTE))

No. Status

[granted/pending]

Country GrantedPatentNumber

orApplicationNumber

(ifpending)

Title

1

2

3

4

5

6

7

8

9

10

Checkhereifadditionalpatentinformationisprovidedonadditionalpages.

NOTE For option3, the additionalminimum information that shall also be provided is listed in theoption3boxabove.

Signature(includeonfinalpageonly):

PatentHolder

Nameofauthorizedperson

Titleofauthorizedperson

Signature

Place,Date

FORM:26June2015


©ISO/IEC2016 106

ANNEX3

GENERALPATENTSTATEMENTANDLICENSINGDECLARATIONFORMFORITU‐TORITU‐RRECOMMENDATION

ITUInternationalTelecommunicationUnion

GeneralPatentStatementandLicensingDeclaration

forITU‐TorITU‐RRecommendation

Thisdeclarationdoesnotrepresentanactualgrantofalicense

Pleasereturntotherelevantbureau:

Director Telecommunication Standardization Bureau International Telecommunication Union Place des Nations CH-1211 Geneva 20 Switzerland Fax: +41 22 730 5853 Email: [email protected]

Director Radiocommunication Bureau International Telecommunication Union Place des Nations CH-1211 Geneva 20 Switzerland Fax: +41 22 730 5785 Email: [email protected]

PatentHolder:

LegalName

Contactforlicenseapplication:

Name&Department

Address

Tel.

Fax

E‐mail

URL(optional)

Licensingdeclaration:

Incasepart(s)orallofanyproposalscontainedinContributionssubmittedbythePatentHolderaboveareincludedinITU‐T/ITU‐RRecommendation(s)andtheincludedpart(s)containitemsforwhichPatentshavebeenfiledandwhoseusewouldberequiredtoimplementITU‐T/ITU‐RRecommendation(s),theabove Patent Holder hereby declares, in accordance with the Common Patent Policy for ITU‐T/ITU‐R/ISO/IEC(checkoneboxonly):

1.ThePatentHolderispreparedtograntaFreeofChargelicensetoanunrestrictednumberofapplicants on a worldwide, non‐discriminatory basis and under other reasonable terms andconditionstomake,use,andsellimplementationsoftherelevantITU‐T/ITU‐RRecommendation.


©ISO/IEC2016 107

NegotiationsarelefttothepartiesconcernedandareperformedoutsidetheITU‐T/ITU‐R.Alsomarkhere___ifthePatentHolder'swillingnesstolicenseisconditionedonReciprocityfortheaboveITU‐T/ITU‐RRecommendation.

Alsomark here ___ if the PatentHolder reserves the right to license on reasonable terms andconditions(butnotFreeofCharge)toapplicantswhoareonlywillingtolicensetheirpatentclaims,whoseusewouldberequiredtoimplementtheaboveITU‐T/ITU‐RRecommendation,onreasonabletermsandconditions(butnotFreeofCharge).

2.ThePatentHolder ispreparedtogranta licensetoanunrestrictednumberofapplicantsonaworldwide,non‐discriminatorybasisandonreasonabletermsandconditionstomake,useandsellimplementationsoftherelevantITU‐T/ITU‐RRecommendation.NegotiationsarelefttothepartiesconcernedandareperformedoutsidetheITU‐T/ITU‐R.Alsomarkhere___ifthePatentHolder'swillingnesstolicenseisconditionedonReciprocityfortheaboveITU‐T/ITU‐RRecommendation.

FreeofCharge:Thewords“FreeofCharge”donotmeanthatthePatentHolderiswaivingallofitsrightswithrespecttothePatent.Rather,“FreeofCharge”referstotheissueofmonetarycompensation;i.e.,thatthePatentHolderwillnotseekanymonetarycompensationaspartofthelicensingarrangement(whethersuchcompensationiscalledaroyalty,aone‐timelicensingfee,etc.).However,whilethePatentHolderinthissituationiscommittingtonotcharginganymonetaryamount,thePatentHolderisstillentitledtorequirethattheimplementeroftherelevantITU‐T/ITU‐RRecommendationsignalicenseagreementthatcontains other reasonable terms and conditions such as those relating to governing law, field of use,Reciprocity,warranties,etc.Reciprocity:Theword“Reciprocity”meansthatthePatentHoldershallonlyberequiredtolicenseanyprospectivelicenseeifsuchprospectivelicenseewillcommittolicenseitsPatent(s)forimplementationoftherelevantITU‐T/ITU‐RRecommendationFreeofChargeorunderreasonabletermsandconditions.Patent:Theword“Patent”meansthoseclaimscontainedinandidentifiedbypatents,utilitymodelsandothersimilarstatutoryrightsbasedoninventions(includingapplicationsforanyofthese)solelyto the extent that any such claims are essential to the implementation of the relevantRecommendation|Deliverable.EssentialpatentsarepatentsthatwouldberequiredtoimplementtherelevantRecommendation|Deliverable.Assignment/transferofPatentrights:LicensingdeclarationsmadepursuanttoClause2.1or2.2oftheCommonPatentPolicyforITU‐T/ITU‐R/ISO/IECshallbeinterpretedasencumbrancesthatbindallsuccessors‐in‐interestastothetransferredPatents.Recognizingthatthisinterpretationmaynotapplyinalljurisdictions,anyPatentHolderwhohassubmittedalicensingdeclarationaccordingtotheCommonPatentPolicy ‐be itselectedasoption1or2onthePatentDeclaration form‐whotransfersownershipofaPatentthatissubjecttosuchlicensingdeclarationshallincludeappropriateprovisions in the relevant transfer documents to ensure that, as to such transferred Patent, thelicensing declaration is binding on the transferee and that the transferee will similarly includeappropriateprovisionsintheeventoffuturetransferswiththegoalofbindingallsuccessors‐in‐interest.

Signature:

PatentHolder

Nameofauthorizedperson

Titleofauthorizedperson

Signature

Place,Date

FORM:26June2015


©ISO/IEC2016 108

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;

— inJTC1,horizontalfunctionswhereapplicable;

— exclusions(ifany);

— notes(ifany).

J.3 Basicscope

Scopesoftechnicalcommitteesshallnotrefertothegeneralaimsofinternationalstandardizationorrepeattheprinciplesthatgoverntheworkofalltechnicalcommittees.

In exceptional cases, explanatory material may be included if considered important to theunderstandingofthescopeofthecommittee.Suchmaterialshallbeintheformof“Notes”.


©ISO/IEC2016 109

J.4 Exclusions

Shoulditbenecessarytospecifythatcertaintopicsareoutsidethescopeofthetechnicalcommittee,theseshallbelistedandbeintroducedbythewords“Excluded…”

Exclusionsshallbeclearlyspecified.

Where the exclusions arewithin the scope of one ormore other existing ISO or IEC technicalcommittees,thesecommitteesshallalsobeidentified.

EXAMPLE1 “Excluded:Those…coveredbyISO/TC…”.

EXAMPLE2 “Excluded:Standardizationforspecificitemsinthefieldof…(ISO/TC…),…(IEC/TC…),etc.”.

Itisnotnecessarytomentionself‐evidentexclusions.

EXAMPLE3 “Excluded:ProductscoveredbyotherISOorIECtechnicalcommittees”.

EXAMPLE4 “Excluded:…Specifications for electrical equipment and apparatus,which fallwithin thescopeofIECcommittees”.

J.5 Scopesofcommitteesrelatedtoproducts

Scopesofcommitteesrelatedtoproductsshallclearlyindicatethefield,applicationareaormarketsectorwhichtheyintendtocover,inordertoeasilyascertainwhetheraparticularproductis,orisnot,withinthatfield,applicationareaormarketsector.

EXAMPLE1 “Standardizationof…and…usedin…”.

EXAMPLE2 “Standardizationofmaterials,componentsandequipmentforconstructionandoperationof…and…aswellasequipmentusedintheservicingandmaintenanceof…”.

Thelimitsofthescopecanbedefinedbyindicatingthepurposeoftheproducts,orbycharacterizingtheproducts.

Thescopeshouldnotenumeratethetypesofproductcoveredbythecommitteesincetodosomightsuggestthatothertypescanbe,orare,standardizedbyothercommittees.However,ifthisistheintention,thenitispreferabletolistthoseitemswhichareexcludedfromthescope.

Theenumerationofaspectssuchasterminology,technicalrequirements,methodsofsampling,testmethods,designation,marking,packaging,dimensions,etc.suggestsarestrictioninthescopetothoseparticularaspects,andthatotheraspectsmaybestandardizedbyothercommittees.Theaspectsoftheproductstobestandardizedshouldthereforenotbeincludedinthescopeunlessitisintendedthatthescopeislimitedtothoseparticularaspects.

Ifthescopemakesnomentionofanyaspect,thismeansthatthesubjectinitsentiretyiscoveredbythecommittee.

NOTE Thecoveragedoesnotnecessarilymeantheneedforpreparingastandard.Itonlymeansthatstandardsonanyaspect,ifneeded,willbepreparedbythatcommitteeandnoother.

Anexampleofunnecessaryenumerationofaspectsisasfollows:


©ISO/IEC2016 110

EXAMPLE3 “Standardization of classification, terminology, sampling, physical, chemical or other testmethods,specifications,etc.”.

Mentionofpriorities,whetherreferringtotypeofproductoraspect,shallnotappearinthescopesincethesewillbeindicatedintheprogrammeofwork.

J.6 Scopesofcommitteesnotrelatedtoproducts

Ifthescopeofacommitteeisintendedtobelimitedtocertainaspectswhichareunrelated,oronlyindirectlyrelatedtoproducts, thescopeshallonly indicatetheaspect tobecovered(e.g.safetycoloursandsigns,non‐destructivetesting,waterquality).

Thetermterminologyasapossibleaspectofstandardizationshouldnotbementionedunlessthisaspect is theonlytask tobedealtwithby thecommittee. If this isnot thecase, thementionofterminologyissuperfluoussincethisaspectisalogicalpartofanystandardizationactivity.


©ISO/IEC2016 111

AnnexK(normative)

Projectcommittees

K.1 Proposalstage

Anewworkitemproposalnotfallingwithinthescopeofanexistingtechnicalcommitteeshallbepresentedusingtheappropriateformandfullyjustified(see2.3.4)byoneofthebodiesauthorizedtomakenewworkitemproposals(see2.3.2).

TheofficeoftheCEOmaydecidetoreturntheproposaltotheproposerforfurtherdevelopmentbeforecirculationforvoting.Inthiscase,theproposershallmakethechangessuggestedorprovidejustificationfornotmakingthechanges.Iftheproposerdoesnotmakethechangesandrequeststhatitsproposalbecirculatedforvotingasoriginallypresented,thetechnicalmanagementboardwilldecideonappropriateaction.Thiscouldincludeblockingtheproposaluntilthechangesaremadeoracceptingthatitbeballotedasreceived.

Inallcases,theofficeoftheCEOmayalsoincludecommentsandrecommendationstotheproposalform.

Fordetailsrelatingtojustificationoftheproposal,seeAnnexC.

Inthecaseofaproposaltoestablishaprojectcommitteetopreparemanagementsystemstandards,seeAnnexSL.

ItshallbesubmittedtothesecretariatofthetechnicalmanagementboardwhichshallarrangeforittobesubmittedtoallNationalBodiesforvoting.

Proposersarealsoencouragedtoindicatethedateofthefirstmeetingoftheprojectcommittee(seeK.3).

IftheproposalwasnotsubmittedbyaNationalBody,thesubmissiontotheNationalBodiesshallincludeacallforofferstoassumethesecretariatofaprojectcommittee.

Votesshallbereturnedwithin

12weeks.

.

Acceptancerequires:

— approvalbya2/3majorityoftheNationalBodiesvoting;

— acommitmenttoparticipateactivelybyatleastfiveNationalBodiesthatapprovedthenewworkitemproposalandnominatedtechnicalexperts.


©ISO/IEC2016 112

K.2 Establishmentofaprojectcommittee

Thetechnicalmanagementboardshallreviewtheresultsofvotingonthenewworkitemproposalandiftheapprovalcriteriaaremet,shallestablishaprojectcommittee(thereferencenumbershallbethenextavailablenumberinthetechnicalcommittee/projectcommitteesequence).

ThesecretariatoftheprojectcommitteeshallbeallocatedtotheNationalBodythatsubmittedtheproposal, or the technicalmanagementboard shalldecideon the allocation amongst theoffersreceivediftheproposaldidnotoriginatefromaNationalBody.

Nationalbodiesthatapprovedthenewworkitemproposalandnominated(a)technicalexpert(s)shallberegisteredasP‐membersoftheprojectcommittee.NationalbodiesthatapprovedthenewworkitemproposalbutdidnotmakeacommitmenttoparticipateactivelyshallberegisteredasO‐members. National bodies that voted negatively, but nevertheless indicated that theywouldparticipateactivelyifthenewworkitemwasapproved,shallberegisteredasP‐members.NationalbodiesvotingnegativelywithoutindicatingawishtoparticipateshallberegisteredasO‐members.

The office of the CEO shall announce to the National Bodies the establishment of the projectcommitteeanditsmembership.

Nationalbodieswillbeinvitedtoconfirm/changetheirmembershipstatusbyinformingtheofficeoftheCEO.

Thesecretariatwill contact anypotential liaisonorganizations identified in thenewwork itemproposalorinNationalBodycommentsthereonandwillinvitethemtoindicatewhethertheyhaveaninterestintheworkand,ifso,whichcategoryofliaisontheywouldbeinterestedin.Requestsforliaisonwillbeprocessedaccordingtotheexistingprocedures.

K.3 Firstmeetingofaprojectcommittee

Theprocedure for calling aproject committeemeeting shall be carriedout in accordancewithClause4,with theexception thatasixweeks'noticeperiodmaybeused if thedateof the firstmeetingwascommunicatedatthetimeofsubmissionoftheproposal.

Thechairoftheprojectcommitteeshallbe theproject leadernominatedinthenewworkitemproposalorshallbenominatedbythesecretariatifnoprojectleaderwasnominatedinthenewworkitemproposal.

Thefirstmeetingshallconfirmthescopeofthenewworkitem.Incaserevisionisnecessary(forpurposesofclarificationbutnotextensionofthescope),therevisedscopeshallbesubmittedtothetechnicalmanagementboardforapproval.ItshallalsoconfirmtheprojectplanandinISOthedevelopmenttrackanddecideonanysubstructuresneededtocarryoutthework.

Ifitisdeterminedthattheprojectneedstobesubdividedtoproducetwoormorepublications,thisispossibleprovidedthatthesubdivisionsoftheworkliefullywithinthescopeoftheoriginalnewwork itemproposal. Ifnot, anewwork itemwillneed tobeprepared for considerationby thetechnicalmanagementboard.

NOTE Projectcommitteesareexemptedfromtherequirementtoestablishastrategicbusinessplan.


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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)accordingtotheproceduresgivenin2.9unlesstheprojectcommitteehasbeentransformedintoatechnicalcommittee(see1.10)inwhichcasethetechnicalcommitteeshallbegiventheresponsibilityforthemaintenanceofthestandard.


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AnnexJA(normative)Voting

JA.1 General

JA.1.1Discussionduringballotperiod

WhenadocumentisoutforballotatCommitteeStageoranylaterstage,NationalBody/LiaisonorganizationsarefreetocirculatetheircommentstootherNationalBodiesprovidedtheydonotusetheformalsubcommitteeorJTC1documentationdistributionsystem.Formaldistributionisprohibitedbecauseitcouldcreateconfusionastothestatusoftheballot.DocumentsoutforballotatCommitteeStageoranylaterstageshallnotbesubjecttoformaldiscussionatanyworkinglevelofJTC1duringtheballotingperiod.Therefore,NationalBodypositionsonthedocumentunderballotarenottobeformallydiscussedatanyworkinglevel.

JA.1.2Meetings

VotesbyP‐membersinattendancemaybecastonlybytheheadofthatdelegationoranindividualdesignatedbytheHeadofDelegation.

Thechairmanhasnovoteandquestionsonwhichthevoteisequallydividedshallbesubjecttofurtherdiscussion.

In a meeting, except as otherwise specified in this Consolidated JTC1 Supplement or in JTC1StandingDocuments,questionsaredecidedbyamajorityofthevotescastatthemeetingbyP‐memberswhicharepresent(orforwhichaproxyisheld)expressingeitherapproval,disapproval,ordeclaredabstention.

If the meeting is to be conducted by teleconference or using electronic means, see StandingDocument19on“Meetings”clauses3and4foradditionalrequirements.

JA.1.3LetterBallots

Forvotesbycorrespondence(letterballots) in JTC1anditssubcommittees,exceptasspecifiedelsewhere in thisConsolidated JTC1Supplementor in JTC1 StandingDocuments, questionsaredecidedbyamajorityofthevotescastbyP‐membersexpressingeitherapprovalordisapproval.Letterballotsmaybecastbywebbasedballoting,e‐mail,facsimile,orifabsolutelynecessary,bymail.

JTC1instructsitssecretariatstocloseallletterballotsonthedeclaredclosuredate.Latevotesandcommentsshallnotbeaccepted.JTC1allowsactionstobetakenbetweenJTC1plenarymeetingsby 60‐day letter ballotswithin JTC1; such actions for approvalmay be proposed by the JTC1chairman,JTC1subcommittees,orJTC1specialworkinggroups.Otherwise,noletterballotperiodshallcloseinlessthan12weeksfromthedateofnotificationofissue.

JA.1.4DefaultBallots

In certain cases, consensusmay be confirmed for questionswhich are expected to contain nocontroversial issues and for which agreement of the committee is foreseen in advance. Such


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questionswillbedistributedforaperiodof60days.Ifnoobjectionisreceivedduringthisperiod,thequestion isconsideredtobeapproved. IfanyP‐memberobjects to thequestionduring thisperiod,thequestionwillbedecidedbyavote,eitheratameetingorbyletterballot.Questionsforwhichthismaybeusedare:

appointment/changeofaregistrationauthority; establishmentorcancellationofaCategoryCliaison; proposalforstabilization/withdrawalofastandard; requestforavailabilityfreeofchargeofanISO/IECpublicationwhichmeetstheestablishedcriteria;

modification of a subcommittee’s program of work, including the establishment of acollaborativeinterchangeorcollaborativeteamwithITU‐T,asdefinedinSD3(see1.17.8.2fordetails);

othersasapprovedbyJTC1.JA.2 Proposalstage–Votesonnewworkitemproposals

ANationalBody,thecommitteesecretariat,anothertechnicalcommitteeorsubcommittee,anorganisationinliaison,thetechnicalmanagementboardoroneofitsadvisorygroupsandtheChiefExecutiveOfficermaysubmitanewworkitemproposaleithertoasubcommitteeortoJTC1.Eachnewworkitemproposalshallbevotedonbyletterballot(seethenewworkitemproposalletterballotformintheTemplatesfolderatwww.jtc1.org),evenif ithasappearedontheagendaofameeting.IftheproposalincludestheestablishmentofacollaborativeinterchangeorcollaborativeteamwithITU‐T,see1.17.8.2foralistofconsiderationswhichshallbeevaluatedtodeterminetherationale, as well as what is needed in the NP documentation. The acceptance criteria are asspecifiedin2.3.5.Thenormalballotperiodforanewworkitemproposalshallbe12weeksfromthedateofnotificationofissue(see2.3.4).

JA.2.1VotesonNPsattheSClevelAnewworkitemproposalshouldbeballotedonlyoncewithinasubcommittee.It should be noted that if a new work item proposal is submitted for ballot without priorconsultationof the subcommittee, there isa risk that theballotmay fail because thenecessaryconsensusandsupportareabsent.Asubcommitteechairmanorsecretariatmayscheduleanewlysubmittednewworkitemproposalfordiscussionataplenaryorworkinggroupmeetingbeforeissuingaballot,aslongasunreasonabledelayisnotintroduced.Fornewworkitemproposalsvotedatthesubcommitteelevel,acopyofthesubcommittee‐levelballotshallbeforwardedbythesubcommitteesecretariattotheJTC1secretariatforinformationin parallel with circulation of the new work item proposal ballot (see Figure 1). The JTC 1secretariatshallcirculatethiscopyofthesubcommittee‐levelballottoJTC1NationalBodiesandJTC1subcommitteesforconcurrentreview.Within30daysoftheissuanceofthesubcommittee‐levelNPballotforJTC1concurrentreview,aJTC1NationalBodymayrequesttheJTC1SecretariattoinitiateaparallelJTC1‐levelballot.TheJTC1NationalBodymustprovidearationalefortherequestandsuchrationalemustfocusontheappropriateplacementofthenewworkitem,ifapproved.Rationalethatfocusessolelyontechnicalaspectsof thenewwork itemproposal isnotacceptable. If twoormore JTC1NationalBodiesrequestsuchaparallelJTC1‐levelballot,theJTC1secretariatshallissueaballot.TheJTC1‐levelballotshallbeidenticaltoandwiththesameclosingdateasthesubcommittee‐levelballot.The


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rationalessubmittedwiththerequestsshallaccompanytheJTC1‐levelballotandshallalsobesenttotherelevantsubcommittee.TheapprovalcriteriafortheJTC1‐levelballotshallbeidenticaltothesubcommittee‐levelNPballotbuttheparticipationcommitmentrequirementshallnotapply(see2.3.5(a)).UponcompletionoftheJTC1‐levelballot,theNPisapprovedonlywhenboththesubcommittee‐levelballotandtheJTC1ballotpass.Whenapproved,theJTC1secretariatshallinformallNationalBodiesandthesubcommitteeoftheresult(togetherwiththeprojectnumberassigned).If thesubcommittee‐levelballot failedandno JTC1ballothadbeen issued,no furtheraction istaken.Ifthesubcommittee‐levelballotpassedandnoJTC1ballothadbeenissued,thenthenewworkitemproposalisapproved.NOTEIf,duringtheJTC1concurrentreview,anyJTC1NationalBodynotparticipatingintheSChasacommentontheNPbutdoesnotrequestaJTC1ballot,theNationalBodymaysubmitsuchacommenttotheSCsecretariatconductingthesubcommittee‐levelballot.


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Propose New Work Item(including First Working Draft or Outline)

SC P-Member Letter Ballot

pass?

Circulate to SC P-Members for vote, and to O-Members for information

Circulate to JTC 1 NBs for concurrent

review

YES

NONO

YES

NWIP Confirmed based on SC Letter BallotNWIP FAILS

2 or more vote requests?

JTC 1 Vote Requested?

NO

YES

PASS

NWIP PASSES

JTC 1 Ballot pass?

Conduct a JTC 1 vote during 90-day

review

YESNWIP PASSES

NO

NWIP FAILS

Figure2:FlowchartofNWIPBallotProcessatSClevel

JA.2.2VotesonnewworkitemproposalsattheJTC1level

JTC1shouldconsideranewworkitemproposal:

foraworkitemoriginatingfromaworkinggroupwhichreportsdirectlytoJTC1;or inexceptionalcircumstances,suchasanewworkitemproposalwhichisnotwithinthe

scopeofanexistingsubcommittee.


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Inallothercases,theappropriatesubcommitteeshouldballotthenewworkitemproposal.Eachnewworkitemproposalshallbevotedonbyletterballot(seethenewworkitemproposalletterballotformintheTemplatesfolderatwww.jtc1.org),evenif ithasappearedontheagendaofameeting.Theacceptancecriteriaareasspecifiedin2.3.5.

JA.3 PreparatoryStage

Novotesareforeseenatthisstage.

JA.4 CommitteeStage‐VotesonCDs/PDAMs/PDTSs/PDTRs

If the consideration of committee drafts/proposed draft amendments/proposed draft technicalspecifications/proposed draft technical reports (CDs/PDAMs/PDTSs/PDTRs) is dealt with bycorrespondence,P‐membersandtechnicalcommitteesandorganisations in liaisonareaskedtosubmittheircomments(andP‐memberstheirvotes)byaspecifieddate(seethecommitteedraftletterballotformintheTemplatesfolderat:

http://isotc.iso.org/livelink/livelink?func=ll&objId=8913214&objAction=browse&sort=name).

In the case of committee drafts/proposed draft amendments / proposed draft technicalspecifications/proposeddrafttechnicalreports, thisdateshouldbe8,12,or16weeksfromthedateofnotificationofissue.

ThedefaultforCD/PDAM/PDTS/PDTRcirculationis8weeks.

AbstentionbyaNationalBodyoncommitteedrafts/proposeddraftamendments/proposeddrafttechnicalspecifications/proposeddrafttechnicalreportsballotsdoesnotbartheNationalBodyfromvotingonsubsequentversionsofthedocumentatthesameorlaterstages.

Consideration of successive committee drafts/proposed draft amendments/proposed drafttechnical specifications/proposed draft technical reports shall continue until the substantialsupportoftheP‐membersofthecommitteehasbeenobtainedoradecisiontoabandonordefertheprojecthasbeenreached.

Committeedrafts/proposeddraftamendments/proposeddrafttechnicalspecifications/proposeddrafttechnicalreportsproducedbyajointworkinggroupshouldbeballotedbyallP‐membersofallsubcommitteesformallyinvolvedinthejointwork.EachNationalBodyshallhaveonlyonevote.

JA.5 Enquirystage‐VotesonDIS,DAM,fast‐trackDTSandfast‐trackDTR

JA.5.1CombinedvotingprocedureforvotesonDISandDAM

ThecombinedvotingprocedureisaspecialvotingprocedurethatensuresthatallNationalBodiesof ISO and IEC may vote at the Enquiry Stage, representing the fact that JTC1 is a technicalcommitteeofbothISOandIEC.AttheEnquiryStagethedocumentssubjecttothecombinedvotingprocedureare:

draftInternationalStandards;and draftAmendments.

ThevotingprocessmanagedbyITTFisthateachcountrycansubmitonevote,whichmustcomefrom


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theP‐memberofJTC1;or ifthecountryhasnoP‐memberinJTC1eitherfrom;

o theISOMemberBodyforthecountry;oro theIECNationalCommitteeforthecountry.

ForaDIS/DAMtobeapproved,thecounttakenbyITTFshallmeetthefollowingcriteria:

atleasttwo‐thirdsoftheP‐membersvotingshallhaveapproved; notmorethanone‐quarterofthetotalnumberofvotescastarenegative.

Abstentionsareexcludedfromthecount.

JA.5.2Votesonfast‐trackDTSs/DTRs

Thedecisiontopublishatechnicalreportortechnicalspecificationforfast‐tracksubmission(seeF.2)istakenbyJTC1ballotonafast‐trackdrafttechnicalspecifications/fast‐trackdrafttechnicalreports. P‐members and organisations in liaison are asked to submit their comments (and P‐memberstheirvotes)within12weeksfromthedateofnotificationoftheissue.

Abstention by a National Body on a fast‐track draft technical specifications/fast‐track drafttechnicalreportsballotdoesnotbartheNationalBodyfromvotingonsubsequentversionsofthedocument.

Publication of a draft fast‐track technical specification is accepted if approved by a two‐thirdsmajorityofP‐membersofJTC1voting.Abstentionsareexcludedwhenthevotesarecounted.

Publicationofadraftfast‐tracktechnicalreportisacceptedifapprovedbyasimplemajorityofP‐membersofJTC1voting.Abstentionsareexcludedwhenthevotesarecounted.

JA.6 Approvalstage–CombinedvotingprocedureforvotesonFDIS/FDAM

ThecombinedvotingprocedureisaspecialvotingprocedurethatensuresthatallNationalBodiesofISOandIECmayvoteonapprovalstageballots,representingthefactthatJTC1isatechnicalcommitteeofbothISOandIEC.Attheapprovalstagethedocumentssubjecttothecombinedvotingprocedureare:

finalDraftInternationalStandard; finalDraftAmendments.

ThevotingprocessmanagedbyITTFisthateachcountrycansubmitonevote,whichmustcomefrom:

theP‐memberofJTC1;or ifthecountryhasnoP‐memberinJTC1eitherfrom;

o theISOmemberbodyforthecountry;oro theIECNationalCommitteeforthecountry.

ForaFDIS/FDAMtobeapproved,thesamecriteriaapplyasdefinedforaDIS/DAMapproval(seeJA.5.1).


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JA.7 VotesonDCORs

Consideration of a draft technical corrigendum is dealt with by correspondence (see the drafttechnicalcorrigendumballotformintheTemplatesfolderatwww.jtc1.org).SCP‐membersandorganisationsinliaisonareaskedtosubmittheircomments(andSCP‐memberstheirvotes)byaspecifieddatethatshouldbenolessthan12weeksfromthedateofnotificationofissue.

JA.8 OverviewofBallotPeriodsinISO/IECJTC1

ThefollowingtablegivesanoverviewofballotperiodsthatapplyinISO/IECJTC1.

TYPEOFVOTE DURATION CROSSREFERENCE

Newworkitemproposal–JTC1orSCballot

12weeksnormally JA.2

Newworkitemproposalfromasubcommittee:JTC1confirmation

60days JA.2.1

CommitteeDraft 8,12or16weeks(thedefaultis2months)

2.5.4,JA.4

ProposedDraftTechnicalSpecification/ProposedDraftTechnicalReport

8,12or16weeks(thedefaultis2months)

JA.4

ProposedDraftAmendment 8,12or16weeks(thedefaultis2months)

JA.4

DraftInternationalStandard 12weeks(with8weekstranslationperiod)

2.6.1

Fast‐TrackDTS/DTR 12weeks JA.5.2

Fast‐TrackDraftInternationalStandard 12weeks(with8weekstranslationperiod)

2.6.1;F.2.3

JTC1PubliclyAvailableSpecificationDraftInternationalStandard

12weeks(with8weekstranslationperiod)

2.6.1;F.4.3

DraftAmendment 12weeks(with8weekstranslationperiod)

2.6.1

FinalDraftInternationalStandard 8weeks 2.7.1

Fast‐TrackFinalDraftInternationalStandard

8weeks 2.7.1


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JTC1PubliclyAvailableSpecificationFinalDraftInternationalStandard

8weeks F.4.9(b)

FinalDraftAmendment 8weeks 2.10.3

DraftTechnicalCorrigendum Minimum12weeks JA.7

StabilizedStandard–withdrawalproposal

60days 2.9.5

Reinstatementofwithdrawnstandard 12weeks(with8weektranslationperiod),or8weeks.

2.9.6

JTC1PubliclyAvailableSpecificationSubmitterrecognition

12weeks F.3.4.1

JTC1PubliclyAvailableSpecificationSubmitterreaffirmation

12weeks F.3.4.1

JTC1‐otherletterballotperiods Minimum12weeks JA.1.3

JTC1–defaultletterballot 60days JA1.4

JTC1‐actionbetweenplenarymeetings 60days JA.1.3

SubcommitteeProgrammeofWorkChange

60days JA.1.4

2ndandfurtherDraftInternationalStandard

8weeks

Maximum12weeks

2.6.4

2ndandfurtherDraftAmendment 8weeks

Maximum12weeks

2.6.4


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AnnexJB(normative)

ITU‐TandISO/IECJTC1Cooperation

1. TheGuideforITU‐TandISO/IECJTC1cooperationhasbeendraftedbyISO/IECJTC1andITU‐TandapprovedbyISO/TMB,IECSMBandITU‐T.ThetextinStandingDocument3:Guidefor ITU‐T and ISO/IEC JTC1 cooperation, is identical to the text in Annex A of ITU‐TRecommendationA.23.

2. It continues a long‐standing agreement among the same organizations concerningcollaboration methods by which ITU‐T Recommendations and ISO/IEC InternationalStandardsdevelopedinISO/IECJTC1havecommontextsoridenticaltechnicalcontents.

3. Inadditiontothenormalliaisonarrangementsalreadyinusebythethreeorganizationsandwhendesirabletoreachcommontextoridenticaltechnicalcontentinaparticularareaofwork, ITU‐T and ISO/IEC JTC1 shall use one of two modes of closer cooperation:collaborativeinterchangeoracollaborativeteam.

4. Collaborative interchange involves progressing the technical work on a single text insuccessive meetings of both the organizations involved, with synchronization of therespective commenting and approval procedures. It shall be used where the work isrelatively straightforwardandnon‐controversial, andwhere commonparticipation in themeetings of the two organizations is sufficient for the interchange to be highly effective.Termsofreferencefortheworktobeaccomplishedshallbeagreed.

5. Asinglecollaborativeteamshallbesetuptoprogressanyworkrequiringextendeddialoguetodevelopsolutionsandreachconsensus.Termsofreferencefortheteamshallbeagreed,andshallincludethescopeoftheeffortandtheparentbodyineachorganizationtowhichthe team reports. Once consensus is achieved, synchronized use ismade of the approvalproceduresinITU‐T,IECandISOtoachievepublication.Theprocedurestobefollowedbycollaborativeteamsmaybefoundinclause8oftheJTC1StandingDocument3:ITU‐TandISO/IECJTC1Cooperation.

6. Ineithercollaborationmode,theapproveddeliverablesmaybepublishedascommontext(an ITU‐T Recommendation and an International Standard using the presentation stylespecified inAppendix IIof theGuide),oras twin text (an ITU‐TRecommendationandanInternationalStandardwhosetextsaretechnicallyalignedbutnotidentical),inwhichcasetheapprovalprocessesdonotrequireexacttimingsynchronization.

7. TheITU‐TStudyGroupandtheISO/IECJTC1Subcommitteeshallagreewhethernocontactisneeded,orliaison,collaborativeinterchangeoracollaborativeteamwillbeusedineachareaofwork.Themodemaychangeduringaproject,againbyagreement.

8. Intheunusualeventthateitherorganizationfeelsthatcollaborationforagivenareaofworkshould be terminated, this situation shall be immediately discussed with the otherorganization.Ifsatisfactoryresolutioncannotbeobtained,eitherITU‐TorISO/IECJTC1mayunilaterallyterminatecollaborationonaproject,ordecidethatnocommontextshouldbepublished. If termination should occur, both organizations can make use of the priorcollaborative work. Any work accomplished up to that point may be used by eachorganization.


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AnnexJC(normative)

Proposalsformanagementsystemstandards

JC.1 General

Wheneveraproposal ismadetoprepareanewmanagementsystemstandard(MSS), includingsectoralapplicationsofgenericMSS,a justificationstudy(JS)shallbecarriedoutinaccordancewithAppendix1tothisAnnexJC.

NOTE JS is needed for the revision of an existing MSS whose development has already beenapproved(unlessitwasnotprovidedduringitsfirstdevelopment).

Totheextentpossible,theproposershallendeavourtoidentifythefullrangeofdeliverableswhichwillconstitutetheneworrevisedMSSfamily,andaJSshallbepreparedforeachofthedeliverables.

JC.2 ObligationtosubmitaJS

AllMSSproposalsandtheirJSmustbeidentifiedbytherelevantTC/SC/PCleadershipandmustbesenttotheISO/TMB(oritsMSStaskforce)forevaluationbeforetheNWIballottakesplace.Itisthe responsibility of the relevant TC/SC/PC secretariat to identify all MSS proposals, withoutexception, so that there will be no MSS proposals which fail (with knowledge or withoutknowledge)tocarryouttheJSorwhichfailtobesenttotheISO/TMBforevaluation.

NOTE NoJSisrequiredforaTypeBMSSprovidingguidanceonaspecificTypeAMSSforwhicha JShasalreadybeensubmittedandapproved.Forexample, ISO/IEC27003:2010(Informationtechnology—Securitytechniques—Informationsecuritymanagementsystemimplementationguidance)doesnotneedtohaveJSsubmittedasISO/IEC27001:2013(Informationtechnology—Securitytechniques—Informationsecuritymanagementsystems—Requirements)hasalreadyhadaJSsubmittedandapproved.

JC.3 CaseswherenoJShavebeensubmitted

MSSproposalswhichhavenotbeensubmittedforISO/TMBevaluationbeforetheNWIballotwillbesenttotheISO/TMBforevaluationandnonewballotshouldtakeplacebeforetheISO/TMBdecision(projectonhold).ItisconsideredgoodpracticethattheTC/SC/PCmembersendorsetheJSprioritissenttotheISO/TMB.

NOTE AlreadypublishedMSSwhichdidnothaveaJSsubmittedwillbetreatedasnewMSSatthetimeofrevision,i.e.aJSistobepresentedandapprovedbeforeanyworkcanbegin.

JC.4 ApplicabilityofAnnexJC

TheaboveproceduresapplytoallISOdeliverablesincludingIWAs.


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JC.5 Termsanddefinitions

ForthepurposesofthisAnnexJC,thefollowingtermsanddefinitionsapply.

NOTE1 Aneffectivemanagementsystemisusuallybasedonmanagingtheorganization’sprocessesusinga“Plan‐Do‐Check‐Act”approachinordertoachievetheintendedoutcomes.

NOTE2 Suchdocumentstypicallycontainsectionsaddressingthefollowingcomponents:

—policy;

—planning;

—implementationandoperation;

—performanceassessment;

—improvement;

—managementreview.

NOTE3 Forthepurposeofthisdocument,thisdefinitionalsoappliestootherISOdeliverables(TS,PAS...)

JC.5.1managementsystemSeedefinitioncontainedinAppendix2(clause3.04)ofthisAnnexJC.

JC.5.2ManagementSystemStandard

MSS

Standardformanagementsystems(SL.5.1)

Notetoentry:Forthepurposesofthisdocument,thisdefinitionalsoappliestootherISOdeliverables(e.g.TS,PAS)

JC.5.3TypeAMSSMSSprovidingrequirements

EXAMPLES

—Managementsystemrequirementsstandards(specifications);

—Managementsystemsector‐specificrequirementsstandards.

JC.5.4TypeBMSSMSSprovidingguidelines


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EXAMPLES

—Guidanceontheuseofmanagementsystemrequirementsstandards;

—Guidanceontheestablishmentofamanagementsystem;

—Guidanceontheimprovement/enhancementofamanagementsystem.

JC.5.5

HighLevelStructure

HLS

outcomeof theworkof the ISO/TMB/JTCG"Joint technicalCoordinationGrouponMSS"whichreferstohighlevelstructure(HLS),identicalsubclausetitles,identicaltextandcommontermsandcoredefinitions.SeeAppendix2tothisAnnexJC.

JC.6 Generalprinciples

All projects for new MSS (or for MSS which are already published but for which no JS wascompleted)mustundergoaJS(seeJC.1andNotetoJC.3).Thefollowinggeneralprinciplesprovideguidance to assess themarket relevance of proposedMSS and for thepreparation of a JS. ThejustificationcriteriaquestionsinAppendix1tothisAnnexJCarebasedontheseprinciples.Theanswers to the questions will form part of the JS. AnMSS should be initiated, developed andmaintainedonlywhenallofthefollowingprinciplesareobserved.

1)Marketrelevance‐AnyMSSshouldmeettheneedsof,andaddvaluefor,theprimaryusersandotheraffectedparties.

2) Compatibility ‐ Compatibility between various MSS and within an MSS family should bemaintained.

3)Topiccoverage‐AnMSSshouldhavesufficientapplicationcoveragetoeliminateorminimizetheneedforsector‐specificvariances.

4)Flexibility‐AnMSSshouldbeapplicabletoorganizationsinallrelevantsectorsandculturesand of every size. An MSS should not prevent organizations from competitively adding to ordifferentiatingfromothers,orenhancingtheirmanagementsystemsbeyondthestandard.

5)Freetrade‐AnMSSshouldpermitthefreetradeofgoodsandservicesinlinewiththeprinciplesincludedintheWTOAgreementonTechnicalBarrierstoTrade.

6) Applicability of conformity assessment ‐ Themarket need for first‐, second‐ or third‐partyconformityassessment,oranycombinationthereof,shouldbeassessed.TheresultingMSSshouldclearlyaddressthesuitabilityofuseforconformityassessmentinitsscope.AnMSSshouldfacilitatejointaudits.

7) Exclusions ‐ An MSS should not include directly related product (including services)specifications, test methods, performance levels (i.e. setting of limits) or other forms ofstandardizationforproductsproducedbytheimplementingorganization.


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8)Easeofuse‐ItshouldbeensuredthattheusercaneasilyimplementoneormoreMSS.AnMSSshould be easily understood, unambiguous, free from cultural bias, easily translatable, andapplicabletobusinessesingeneral.

JC.7 Justificationstudyprocessandcriteria

JC.7.1 General

Thisclausedescribesthejustificationstudy(JS)processforjustifyingandevaluatingthemarketrelevanceofproposalsforanMSS.Appendix1tothisAnnexJCprovidesasetofquestionstobeaddressedinthejustificationstudy.

JC.7.2 Justificationstudyprocess

TheJSprocessappliestoanyMSSprojectandconsistsofthefollowing:

a) thedevelopmentoftheJSby(oronbehalfof)theproposerofanMSSproject;

b) anapprovaloftheJSbytheISO/TMB(orISO/TMBMSStaskforce);

TheJSprocessisfollowedbythenormalISOballotingprocedurefornewworkitemapprovalasappropriate.

JC.7.3 Justificationstudycriteria

BasedonAnnexCoftheISO/IECDirectives,Part1,2012,andthegeneralprinciplesstatedabove,a set of questions (seeAppendix1 to thisAnnexJC)must be used as criteria for justifying andassessingaproposedMSSprojectandmustbeansweredbytheproposer.Thislistofquestionsisnotexhaustiveandanyadditionalinformationthatisrelevanttothecaseshouldbeprovided.TheJSshoulddemonstratethatallquestionshavebeenconsidered.If it isdecidedthattheyarenotrelevantorappropriatetoaparticularsituation,thenthereasonsforthisdecisionshouldbeclearlystated.TheuniqueaspectofaparticularMSSmayrequireconsiderationofadditionalquestionsinordertoassessobjectivelyitsmarketrelevance.

JC.8 GuidanceonthedevelopmentprocessandstructureofanMSS

JC.8.1 General

ThedevelopmentofanMSSwillhaveeffectsinrelationto:

— thefar‐reachingimpactofthesestandardsonbusinesspractice;

— theimportanceofworldwidesupportforthestandards;

— thepracticalpossibilityforinvolvementbymany,ifnotall,ISOMemberBodies;and

— themarketneedforcompatibleandalignedMSS.

ThisclauseprovidesguidanceinadditiontotheprocedureslaiddownintheISO/IECDirectives,inordertotaketheseeffectsintoaccount.


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AllMSS (whether they are TypeA or TypeBMSS) shall, in principle, use consistent structure,commontextandterminologysothattheyareeasytouseandcompatiblewitheachother.Theguidanceandstructuregiven inAppendix2tothisAnnexJCshall, inprinciple,alsobe followed(basedonISO/TMBResolution18/2012).

ATypeBMSSwhichprovidesguidanceonanotherMSSofthesameMSSfamilyshouldfollowthesamestructure(i.e.clausesnumbering).WhereMSSprovidingguidance(TypeBMSS)areinvolved,itisimportantthattheirfunctionsbeclearlydefinedtogetherwiththeirrelationshipwiththeMSSprovidingrequirements(TypeAMSS),forexample:

— guidanceontheuseoftherequirementsstandard;

— guidanceontheestablishment/implementationofthemanagementsystem;

— guidanceonimprovement/enhancementofthemanagementsystem.

WheretheproposedMSSissectorspecific:

— itshouldbecompatibleandalignedwiththegenericMSS;

— therelevantcommitteeresponsibleforthegenericMSSmayhaveadditionalrequirementstobemetorprocedurestobefollowed;

— othercommitteesmayneedtobeconsulted,aswellasCASCOonconformityassessmentissues.

In the case of sector specific documents, their function and relationshipwith the genericMSSshould be clearly defined (e.g. additional sector‐specific requirements; elucidation; or both asappropriate).

Sector‐specificdocumentsshouldalwaysshowclearly(e.g.byusingdifferenttypographicalstyles)thekindofsector‐specificinformationbeingprovided.

NOTE1 TheISO/TMB/JTCG"JointTechnicalCoordinationGrouponMSS"hasproducedasetofrulesfortheadditionofdisciplinespecifictexttotheidenticaltext.

NOTE2 WheretheidenticaltextoranyoftherequirementscannotbeappliedinaspecificMSS,duetospecialcircumstances,thisshouldbereportedtotheISO/[email protected](seeJC.9.3).

JC.8.2 MSSdevelopmentprocess

JC.8.2.1 General

InadditiontotheJS,thedevelopmentofanMSSshouldfollowthesamerequirementsasotherISOdeliverables(ISO/IECDirectives,Part1,Clause2).

JC.8.2.2 Designspecification

Toensurethatthe intentionofthestandard,asdemonstratedbythe justificationstudy,willbemaintained,adesignspecificationmaybedevelopedbeforeaworkingdraftisprepared.

Theresponsiblecommitteewilldecidewhetherthedesignspecificationisneededandincaseitisfeltnecessary,itwilldecideuponitsformatandcontentthatisappropriatefortheMSSandshouldsetupthenecessaryorganizationtocarryoutthetask.


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Thedesignspecificationshouldtypicallyaddressthefollowing.

Userneeds ‐The identification of theusersof the standard and their associatedneeds,togetherwiththecostsandbenefitsfortheseusers.

Scope‐Thescopeandpurposeofthestandard,thetitleandthefieldofapplication.

Compatibility‐HowcompatibilitywithinthisandwithotherMSSfamilieswillbeachieved,includingidentificationofthecommonelementswithsimilarstandards,andhowthesewillbeincludedintherecommendedstructure(seeAppendix2tothisAnnexJC).

Consistency‐Consistencywithotherdocuments(tobe)developedwithintheMSSfamily.

NOTE Most,ifnotalloftheinformationonuserneedsandscopewillbeavailablefromthejustificationstudy.

Thedesignspecificationshouldensurethat

a) theoutputsofthejustificationstudyaretranslatedcorrectlyintorequirementsfortheMSS;

b) theissuesofcompatibilityandalignmentwithotherMSSareidentifiedandaddressed;

c) abasisforverificationofthefinalMSSexistsatappropriatestagesduringthedevelopmentprocess;

d) theapprovalofthedesignspecificationprovidesabasisforownershipthroughouttheprojectbythemembersoftheTC/SC(s);

e) accountistakenofcommentsreceivedthroughtheNWIballotphase;and

f) anyconstraintsaretakenintoaccount.

TheCommitteedevelopingtheMSSshouldmonitorthedevelopmentoftheMSSagainstthedesignspecificationinordertoensurethatnodeviationshappeninthecourseoftheproject.

JC.8.2.3 Producingthedeliverables

JC.8.2.3.1 Monitoringoutput

Inthedraftingprocess,theoutputshouldbemonitoredforcompatibilityandeaseofusewithotherMSS,bycoveringissuessuchas:

— thehighlevelstructure(HLS),identicalsubclausetitles,identicaltextandcommontermsandcoredefinitionstheneedforclarity(bothinlanguageandpresentation);and

— avoidingoverlapandcontradiction.

JC.8.2.4 TransparencyoftheMSSdevelopmentprocess

MSShaveabroaderscopethanmostothertypesofstandard.Theycoveralargefieldofhumanendeavourandhaveanimpactonawiderangeofuserinterests.


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Committees preparing MSS should accordingly adopt a highly transparent approach to thedevelopmentofthestandards,ensuringthat:

— possibilitiesforparticipationintheprocessofdevelopingstandardsareclearlyidentified;and

— thedevelopmentprocessesbeingusedareunderstoodbyallparties.

Committees should provide information on progress throughout the life cycle of the project,including:

— thestatusoftheprojecttodate(includingitemsunderdiscussion);

— contactpointsforfurtherinformation;

— communiquésandpressreleasesonplenarymeetings;and

— regularlistingsoffrequentlyaskedquestionsandanswers.

Indoingthis,accountneedstobetakenofthedistributionfacilitiesavailableintheparticipatingcountries.

WhereitmaybeexpectedthatusersofaTypeAMSSarelikelytodemonstrateconformitytoit,theMSSshallbesowrittenthatconformitycanbeassessedbyamanufacturerorsupplier(firstparty,orself‐declaration),auserorpurchaser(secondparty)oranindependentbody(thirdparty,alsoknownascertificationorregistration).

Maximum use should bemade of the resources of the ISO Central Secretariat to facilitate thetransparencyoftheprojectandthecommitteeshould,inaddition,considertheestablishmentofadedicatedopen‐accesswebsite.

CommitteesshouldinvolvethenationalmemberbodiestobuildupanationalawarenessoftheMSSproject,providingdraftsasappropriatefordifferentinterestedandaffectedparties,includingaccreditation bodies, certification bodies, enterprises and the user community, together withadditionalspecificinformationasneeded.

The committee should ensure that technical information on the content of the MSS underdevelopmentisreadilyavailabletoparticipatingmembers,especiallythoseindevelopingcountries.

JC.8.2.5 Processforinterpretationofastandard

The committee may establish a process to handle interpretation questions related to theirstandards from theusers, andmaymake the resulting interpretationsavailable toothers in anexpedientmanner.Suchamechanismcaneffectivelyaddresspossiblemisconceptionsatanearlystage and identify issues thatmay require improvedwording of the standard during the nextrevisioncycle.


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JC.9 Highlevelstructure,identicalcoretextandcommontermsandcoredefinitionsforuseinManagementSystemsStandards

JC.9.1 Introduction

TheaimofthisdocumentistoenhancetheconsistencyandalignmentofISOMSSbyprovidingaunifying andagreeduponhigh level structure, identical core text and common terms and coredefinitions.TheaimbeingthatallISOTypeAMSS(andBwhereappropriate)arealignedandthecompatibilityofthesestandardsisenhanced.ItisenvisagedthatindividualMSSwilladdadditional“discipline‐specific”requirementsasrequired.

NOTE InAnnexJC9.1andAnnexJC2and3"discipline‐specific"isusedtoindicatespecificsubject(s)towhichamanagementsystemstandardrefers,e.g.energy,quality,records,environmentetc.

TheintendedaudienceforthisdocumentisISOTechnicalCommittees(TC),Subcommittees(SC)andProjectCommittees(PC)andothersthatareinvolvedinthedevelopmentofMSS.

ThiscommonapproachtonewMSSandfuturerevisionsofexistingstandardswill increasethevalueofsuchstandardstousers.Itwillbeparticularlyusefulforthoseorganizationsthatchooseto operate a single (sometimes called “integrated”) management system that can meet therequirementsoftwoormoreMSSsimultaneously.

Appendix2tothisAnnexJCsetsoutthehighlevelstructure,identicalcoretextandcommontermsandcoredefinitionsthatformthenucleusoffutureandrevisedISOTypeAMSSandTypeBMSSwhenpossible.

Appendix3tothisAnnexJCsetsoutguidancetotheuseofAppendix2tothisAnnexJC.

JC.9.2 Use

ISOMSS include thehigh level structure and identical core text as found inAppendix2 to thisAnnexJC.Thecommontermsandcoredefinitionsareeitherincludedornormativelyreferenceaninternationalstandardwheretheyareincluded.

NOTE Thehighlevelstructureincludesthemainclauses(1to10)andtheirtitles,inafixedsequence.Theidenticalcoretextincludesnumberedsub‐clauses(andtheirtitles)aswellastextwithinthesub‐clauses.

JC.9.3 Nonapplicability

If due to exceptional circumstances the high level structure or any of the identical core text,commontermsandcoredefinitionscannotbeappliedinthemanagementsystemstandardthentheTC/PC/SCneedstoexplaintheirrationaleforreviewby:

a)providinganinitialdeviationreporttoISO/CSwiththeDISsubmission;

b) providing a final deviation report to ISO/TMB (through the ISO/TMB Secretary [email protected])uponsubmissionofthefinaltextofthestandardforpublication.

TC/PC/SCshallusetheISOcommentingtemplatetoprovidetheirdeviationreports.

NOTE1Thefinaldeviationreportcanbeanupdatedversionoftheinitialdeviationreport.

NOTE2TC/PC/SCstrivestoavoidanynon‐applicabilityofthehighlevelstructureoranyoftheidenticalcoretext,commontermsandcoredefinitions.


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JC.9.4 UsingAnnexJCAppendix2

Discipline‐specifictextadditionstoAnnexJCAppendix2aremanagedasfollows.

1. Discipline‐specificadditionsaremadebytheindividualISO/TC,PC,SCorothergroupthatisdevelopingthespecificISOmanagementsystemstandard.

2. Discipline‐specifictextdoesnotaffectharmonizationorcontradictorunderminetheintentofthehighlevelstructure,identicalcoretext,commontermsandcoredefinitions.

3. Insertadditionalsub‐clauses,orsub‐sub‐clauses(etc.)eitheraheadofanidenticaltextsub‐clause(orsub‐sub‐clauseetc.),oraftersuchasub‐clause(etc.)andrenumberedaccordingly.

NOTE1 Hangingparagraphsarenotpermitted–seeISO/IECDirectives,Part2,clause5.2.4.

NOTE2 Attentionisdrawntotheneedtocheckcrossreferencing.

4. Addorinsertdiscipline‐specifictextwithinAppendix2tothisAnnexJC.Examplesofadditionsinclude:

a)newbulletpoints;

b)discipline‐specific explanatory text (e.g. Notes or Examples), in order to clarifyrequirements;

c)discipline‐specificnewparagraphstosub‐clauses(etc.)withintheidenticaltext;

d)addingtextthatenhancestheexistingrequirementsinAppendix2tothisAnnexJC.

5. Avoid repeating requirements between identical core text and discipline‐specific text byaddingtexttotheidenticalcoretexttakingaccountofpoint4.2above.

6. Distinguish between discipline‐specific text and identical core text from the start of thedraftingprocess.Thisaidsidentificationofthedifferenttypesoftextduringthedevelopmentandballotingstages.

NOTE1 Distinguishingoptionsincludebycolour,font,fontsize,italics,orbybeingboxedseparatelyetc.

NOTE2 Identificationofdistinguishingtextisnotnecessarilycarriedintothepublishedversion.

7. Understandingoftheconceptof“risk”maybemorespecificthanthatgiveninthedefinitionunder3.09ofAppendix2tothisAnnexJC.Inthiscaseadiscipline‐specificdefinitionmaybeneeded. The discipline‐specific terms and definitions are differentiated from the coredefinition,e.g.(XXX)risk.

NOTE Theabovecanalsoapplytoanumberofotherdefinitions.

8. Commontermsandcoredefinitionswillbeintegratedintothelistingoftermsanddefinitionsinthediscipline‐specificmanagementsystemstandardconsistentwiththeconceptsystemofthatstandard.


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JC.9.5 Implementation

Followthesequence,highlevelstructure,identicalcoretext,commontermsandcoredefinitionsforanynewmanagementsystemstandardandforanyrevisionstoexistingmanagementsystemstandard.

JC.9.6 Guidance

FindsupportingguidanceinAppendix3tothisAnnexJC.


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Appendix1(normative)

Justificationcriteriaquestions

1. General

ThelistofquestionstobeaddressedinthejustificationstudyisinlinewiththeprincipleslistedinJC.6.This list isnot exhaustive.Additional informationnot coveredby thequestions shouldbeprovidedifitisrelevanttothecase.

EachgeneralprincipleshouldbegivendueconsiderationandideallywhenpreparingtheJS,theproposershouldprovideageneralrationaleforeachprinciple,priortoansweringthequestionsassociatedwiththeprinciple.

TheprinciplestheproposeroftheMSSshouldpaydueattentiontowhenpreparingthejustificationstudyare:

1. Marketrelevance

2. Compatibility

3. Topiccoverage

4. Flexibility

5. Freetrade

6. Applicabilityofconformityassessment

7. Exclusions

NOTE No questions directly refer to the principle 8 "ease of use", but it should guide thedevelopmentofthedeliverable

BasicinformationontheMSSproposal


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1 WhatistheproposedpurposeandscopeoftheMSS?Isthedocumentsupposedtobeaguidancedocumentoradocumentwithrequirements?

2 Does the proposed purpose or scope include product (including service)specifications,producttestmethods,productperformancelevels,orotherformsofguidanceorrequirementsdirectlyrelatedtoproductsproducedorprovidedbytheimplementingorganization?

3 Is there one ormore existing ISO committee or non‐ISO organization that couldlogicallyhaveresponsibilityfortheproposedMSS?Ifso,identify.

4 Have relevant referencematerials been identified, such as existing guidelines orestablishedpractices?

5 Aretheretechnicalexpertsavailabletosupportthestandardizationwork?Arethetechnicalexpertsdirect representativesof theaffectedparties from thedifferentgeographicalregions?

6 Whateffortsareanticipatedasbeingnecessarytodevelopthedocumentintermsofexpertsneededandnumber/durationofmeetings?

7 Is the MSS intended to be a guidance document, contractual specification orregulatoryspecificationforanorganization?

Principle1:marketrelevance

8 Havealltheaffectedpartiesbeenidentified?Forexample:

a) organizations (of various types and sizes): the decision‐makers within anorganizationwhoapproveworktoimplementandachieveconformancetotheMSS;

b) customers/end‐users, i.e. individualsorparties thatpay fororuseaproduct(includingservice)fromanorganization;

c) supplierorganizations,e.g.producer,distributor,retailerorvendorofaproduct,oraproviderofaserviceorinformation;

d) MSS service provider, e.g. MSS certification bodies, accreditation bodies orconsultants;

e) regulatorybodies;

f) non‐governmentalorganizations.

9 WhatistheneedforthisMSS?Doestheneedexistatalocal,national,regionalorgloballevel? Does the need apply to developing countries? Does it apply to developedcountries? What is the added value of having an ISO document (e.g. facilitatingcommunicationbetweenorganizationsindifferentcountries)?


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10 Doestheneedexistforanumberofsectorsandisthusgeneric?Ifso,whichones?Doestheneedexistforsmall,mediumorlargeorganizations?

11 Istheneedimportant?Willtheneedcontinue?Ifyes,willthetargetdateofcompletionfortheproposedMSSsatisfythisneed?Areviablealternativesidentified?

12 Describe how the need and importance were determined. List the affected partiesconsultedandthemajorgeographicaloreconomicalregionsinwhichtheyarelocated.

13 IsthereknownorexpectedsupportfortheproposedMSS?Listthosebodiesthathaveindicatedsupport. Is thereknownorexpectedoppositiontotheproposedMSS?Listthosebodiesthathaveindicatedopposition.

14 What are the expected benefits and costs to organizations, differentiated for small,mediumandlargeorganizationsifapplicable?

Describe how the benefits and the costs were determined. Provide availableinformation on geographic or economic focus, industry sector and size of theorganization.Provideinformationonthesourcesconsultedandtheirbasis(e.g.provenpractices),premises,assumptionsandconditions(e.g.speculativeortheoretical),andotherpertinentinformation.

15 Whataretheexpectedbenefitsandcoststootheraffectedparties(includingdevelopingcountries)?

Describe how the benefits and the costswere determined. Provide any informationregardingtheaffectedpartiesindicated.

16 Whatwillbetheexpectedvaluetosociety?

17 Haveanyotherrisksbeenidentified(e.g.timelinessorunintendedconsequencestoaspecificbusiness)?

Principle2:compatibility

18 Istherepotentialoverlaporconflictwith(orwhatistheaddedvalueinrelationto)other existing or planned ISO or non‐ISO international standards, or those at thenational or regional level? Are there other public or private actions, guidance,requirements and regulations that seek to address the identified need, such astechnicalpapers,provenpractices,academicorprofessionalstudies,oranyotherbodyofknowledge?

19 IstheMSSortherelatedconformityassessmentactivities(e.g.audits,certifications)likely toadd to, replaceallorpartsof,harmonizeandsimplify,duplicateor repeat,conflictwith,ordetractfromtheexistingactivitiesidentifiedabove?Whatstepsarebeingconsideredtoensurecompatibility,resolveconflictoravoidduplication?

20 IstheproposedMSSlikelytopromoteorstemproliferationofMSSatthenationalorregionallevel,orbyindustrysectors?


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Principle3:topiccoverage

21 IstheMSSforasinglespecificsector?

22 WilltheMSSreferenceorincorporateanexisting,non‐industry‐specificISOMSS(e.g.from the ISO9000 series of quality management standards)? If yes, will thedevelopmentof theMSSconformto the ISO/IECSectorPolicy (see6.8.2of ISO/IECDirectives,Part2),andanyotherrelevantpolicyandguidanceprocedures(e.g.thosethatmaybemadeavailablebyarelevantISOcommittee)?

23 What steps havebeen taken to removeorminimize theneed forparticular sector‐specificdeviationsfromagenericMSS?

Principle4:flexibility

24 WilltheMSSallowanorganizationcompetitivelytoaddto,differentiateorencourageinnovationofitsmanagementsystembeyondthestandard?

Principle5:freetrade

25 HowwouldtheMSSfacilitateorimpactglobaltrade?CouldtheMSScreateorpreventatechnicalbarriertotrade?

26 CouldtheMSScreateorpreventatechnicalbarriertotradeforsmall,mediumorlargeorganizations?

27 Could the MSS create or prevent a technical barrier to trade for developing ordevelopedcountries?

28 IftheproposedMSSisintendedtobeusedingovernmentregulations,isitlikelytoaddto,duplicate,replace,enhanceorsupportexistinggovernmentalregulations?

Principle6:applicabilityofconformity

29 If the intendeduse is forcontractualorregulatorypurposes,whatarethepotentialmethodstodemonstrateconformance(e.g. firstparty,secondpartyorthirdparty)?Does the MSS enable organizations to be flexible in choosing the method ofdemonstrating conformance, and to accommodate for changes in its operations,management,physicallocationsandequipment?

30 Ifthird‐partyregistration/certificationisapotentialoption,whataretheanticipatedbenefitsandcoststotheorganization?WilltheMSSfacilitatejointauditswithotherMSSorpromoteparallelassessments?

Principle7:exclusions

31 Doestheproposedpurposeorscopeincludeproduct(includingservice)specifications,product test methods, product performance levels, or other forms of guidance or


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requirementsdirectlyrelatedtoproductsproducedorprovidedbytheimplementingorganization?


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Appendix2(normative)

Highlevelstructure,identicalcoretext,commontermsandcoredefinitions

NOTE IntheIdenticaltextproposals,XXX=anMSSdisciplinespecificqualifier(e.g.energy,roadtraffic safety, IT security, food safety, societal security, environment, quality) that needs to beinserted.Blueitalicizedtextisgivenasadvisorynotestostandardsdrafters.

Introduction

DRAFTINGINSTRUCTIONSpecifictothediscipline.

1.Scope

DRAFTINGINSTRUCTION Specifictothediscipline.

2.Normativereferences

DRAFTINGINSTRUCTION ClauseTitleshallbeused.Specifictothediscipline.

3.Termsanddefinitions

DRAFTINGINSTRUCTION1 ClauseTitleshallbeused.Termsanddefinitionsmayeitherbewithinthestandardorinaseparatedocument.ToreferenceCommontermsandCoredefinitions+disciplinespecificones.Forthepurposesofthisdocument,thefollowingtermsanddefinitionsapply.DRAFTINGINSTRUCTION2 Thefollowingtermsanddefinitionsconstituteanintegralpartofthe“commontext”formanagementsystemsstandards.Additionaltermsanddefinitionsmaybeaddedasneeded.Notesmaybeaddedormodifiedtoservethepurposeofeachstandard.DRAFTINGINSTRUCTION3 Italicstypeinadefinitionindicatesacross‐referencetoanothertermdefinedinthisclause,andthenumberreferenceforthetermisgiveninparentheses.DRAFTINGINSTRUCTION4 Wherethetext“XXX”appearsthroughoutthisclause,theappropriatereferenceshouldbeinserteddependingonthecontextinwhichthesetermsanddefinitionsarebeingapplied.Forexample:“anXXXobjective”couldbesubstitutedas“aninformationsecurityobjective”.3.01organizationperson or group of people that has its own functions with responsibilities, authorities andrelationshipstoachieveitsobjectives(3.08)Note1toentry:Theconceptoforganizationincludes,butisnotlimitedtosole‐trader,company,corporation,firm,enterprise,authority,partnership,charityorinstitution,orpartorcombinationthereof,whetherincorporatedornot,publicorprivate.3.02interestedparty(preferredterm)stakeholder(admittedterm)personororganization(3.01)thatcanaffect,beaffectedby,orperceiveitselftobeaffectedbyadecisionoractivity3.03requirementneedorexpectationthatisstated,generallyimpliedorobligatory


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NOTE 1 to entry: “Generally implied” means that it is custom or common practice for theorganizationandinterestedpartiesthattheneedorexpectationunderconsiderationisimplied.NOTE 2 to entry: A specified requirement is one that is stated, for example in documentedinformation.3.04managementsystemsetofinterrelatedorinteractingelementsofanorganization(3.01)toestablishpolicies(3.07)andobjectives(3.08)andprocesses(3.12)toachievethoseobjectivesNOTE1toentry:Amanagementsystemcanaddressasingledisciplineorseveraldisciplines.NOTE 2 to entry: The system elements include the organization’s structure, roles andresponsibilities,planning,andoperation.NOTE3toentry:Thescopeofamanagementsystemmayincludethewholeoftheorganization,specific and identified functions of the organization, specific and identified sections of theorganization,oroneormorefunctionsacrossagroupoforganizations.3.05topmanagementpersonorgroupofpeoplewhodirectsandcontrolsanorganization(3.01)atthehighestlevelNOTE1toentry: Topmanagementhasthepowertodelegateauthorityandprovideresourceswithintheorganization.NOTE 2 to entry: If the scope of themanagement system (3.04) covers only part of anorganization then top management refers to those who direct and control that part of theorganization.3.06effectivenessextenttowhichplannedactivitiesarerealizedandplannedresultsachieved3.07policyintentionsanddirectionofanorganization(3.01)asformallyexpressedbyitstopmanagement(3.05)3.08objectiveresulttobeachievedNOTE1toentry:Anobjectivecanbestrategic,tactical,oroperational.NOTE2toentry:Objectivescanrelatetodifferentdisciplines(suchasfinancial,healthandsafety,andenvironmentalgoals)andcanapplyatdifferentlevels(suchasstrategic,organization‐wide,project,productandprocess(3.12)).NOTE3 toentry: Anobjectivecanbeexpressed inotherways,e.g.asan intendedoutcome,apurpose,anoperationalcriterion,asanXXXobjectiveorbytheuseofotherwordswithsimilarmeaning(e.g.aim,goal,ortarget).NOTE 4 to entry: In the context of XXXmanagement systems XXX objectives are set by theorganization,consistentwiththeXXXpolicy,toachievespecificresults.3.09riskeffectofuncertaintyNOTE1toentry:Aneffectisadeviationfromtheexpected—positiveornegative.NOTE2 toentry: Uncertainty is thestate,evenpartial,ofdeficiencyof informationrelated to,understandingorknowledgeof,anevent,itsconsequence,orlikelihood.NOTE3toentry:Riskisoftencharacterizedbyreferencetopotential“events”(asdefinedinISOGuide 73:2009, 3.5.1.3) and “consequences” (as defined in ISO Guide 73:2009, 3.6.1.3), or acombinationofthese.


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NOTE4toentry:Riskisoftenexpressedintermsofacombinationoftheconsequencesofanevent(including changes in circumstances) and the associated likelihood (ISO Guide 73, 3.6.1.1) ofoccurrence.3.10competenceabilitytoapplyknowledgeandskillstoachieveintendedresults3.11documentedinformationinformationrequiredtobecontrolledandmaintainedbyanorganization(3.01)andthemediumonwhichitiscontainedNOTE1toentry:Documentedinformationcanbeinanyformatandmediaandfromanysource.NOTE2toentry:Documentedinformationcanreferto–themanagementsystem(3.04),includingrelatedprocesses(3.12);–informationcreatedinorderfortheorganizationtooperate(documentation);–evidenceofresultsachieved(records).3.12processsetofinterrelatedorinteractingactivitieswhichtransformsinputsintooutputs3.13performancemeasurableresultNOTE1toentry:Performancecanrelateeithertoquantitativeorqualitativefindings.NOTE 2 to entry: Performance can relate to themanagement of activities,processes (3.12),products(includingservices),systemsororganizations(3.01).3.14outsource(verb)makeanarrangementwhereanexternalorganization(3.01)performspartofanorganization’sfunctionorprocess(3.12)NOTE1toentry:Anexternalorganizationisoutsidethescopeofthemanagementsystem(3.04),althoughtheoutsourcedfunctionorprocessiswithinthescope.3.15monitoringdeterminingthestatusofasystem,aprocess(3.12)oranactivityNOTE1toentry: Todeterminethestatustheremaybeaneedtocheck,superviseorcriticallyobserve.3.16measurementprocess(3.12)todetermineavalue3.17auditsystematic, independent and documented process (3.12) for obtaining audit evidence andevaluatingitobjectivelytodeterminetheextenttowhichtheauditcriteriaarefulfilledNOTE1toentry:Anauditcanbeaninternalaudit(firstparty)oranexternalaudit(secondpartyorthirdparty),anditcanbeacombinedaudit(combiningtwoormoredisciplines).NOTE2toentry:Aninternalauditisconductedbytheorganizationitself,orbyanexternalpartyonitsbehalfNOTE3toentry:“Auditevidence”and“auditcriteria”aredefinedinISO19011.3.18conformityfulfilmentofarequirement(3.03)


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3.19nonconformitynon‐fulfilmentofarequirement(3.03)3.20correctiveactionactiontoeliminatethecauseofanonconformity(3.19)andtopreventrecurrence3.21continualimprovementrecurringactivitytoenhanceperformance(3.13)

4.Contextoftheorganization

4.1Understandingtheorganizationanditscontext

Theorganizationshalldetermineexternalandinternalissuesthatarerelevanttoitspurposeandthataffectitsabilitytoachievetheintendedoutcome(s)ofitsXXXmanagementsystem.4.2UnderstandingtheneedsandexpectationsofinterestedpartiesTheorganizationshalldetermine— theinterestedpartiesthatarerelevanttotheXXXmanagementsystem;— therelevantrequirementsoftheseinterestedparties.4.3DeterminingthescopeoftheXXXmanagementsystemTheorganizationshalldeterminetheboundariesandapplicabilityoftheXXXmanagementsystemtoestablishitsscope.Whendeterminingthisscope,theorganizationshallconsider— theexternalandinternalissuesreferredtoin4.1,— therequirementsreferredtoin4.2.Thescopeshallbeavailableasdocumentedinformation.4.4XXXmanagementsystemThe organization shall establish, implement, maintain and continually improve an XXXmanagementsystem,includingtheprocessesneededandtheirinteractions,inaccordancewiththerequirementsofthisInternationalStandard/thispartofISOXXXX/thisTechnicalSpecification

5.Leadership

5.1LeadershipandcommitmentTop management shall demonstrate leadership and commitment with respect to the XXXmanagementsystemby— ensuringthattheXXXpolicyandXXXobjectivesareestablishedandarecompatiblewiththe

strategicdirectionoftheorganization— ensuringtheintegrationoftheXXXmanagementsystemrequirementsintotheorganization’s

businessprocesses— ensuringthattheresourcesneededfortheXXXmanagementsystemareavailable— communicating the importanceofeffectiveXXXmanagementandofconforming to theXXX

managementsystemrequirements— ensuringthattheXXXmanagementsystemachievesitsintendedoutcome(s)


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— directingandsupportingpersonstocontributetotheeffectivenessoftheXXXmanagementsystem

— promotingcontinualimprovement— supportingotherrelevantmanagementrolestodemonstratetheirleadershipasitappliesto

theirareasofresponsibility.NOTEReferenceto“business”inthisInternationalStandard/thispartofISOXXXX/thisTechnicalSpecification can should be interpreted broadly to mean those activities that are core to thepurposesoftheorganization’sexistence.5.2PolicyTopmanagementshallestablishaXXXpolicythat— a)isappropriatetothepurposeoftheorganization;— b)providesaframeworkforsettingXXXobjectives;— c)includesacommitmenttosatisfyapplicablerequirements;— d)includesacommitmenttocontinualimprovementoftheXXXmanagementsystem.TheXXXpolicyshall— beavailableasdocumentedinformation— becommunicatedwithintheorganization— beavailabletointerestedparties,asappropriate.5.3Organizationalroles,responsibilitiesandauthoritiesTop management shall ensure that the responsibilities and authorities for relevant roles areassignedandcommunicatedwithintheorganization.Topmanagementshallassigntheresponsibilityandauthorityfor:a) ensuringthattheXXXmanagementsystemconformstotherequirementsofthisInternational

Standard/thispartofISOXXXX/thisTechnicalSpecification:andb) reportingontheperformanceoftheXXXmanagementsystemtotopmanagement.

6.Planning

6.1ActionstoaddressrisksandopportunitiesWhenplanningfortheXXXmanagementsystem,theorganizationshallconsidertheissuesreferredtoin4.1andtherequirementsreferredtoin4.2anddeterminetherisksandopportunitiesthatneedtobeaddressedto— giveassurancethattheXXXmanagementsystemcanachieveitsintendedoutcome(s)— prevent,orreduce,undesiredeffects— achievecontinualimprovement.Theorganizationshallplan:a) actionstoaddresstheserisksandopportunities,

b) howto

— integrateandimplementtheactionsintoitsXXXmanagementsystemprocesses— evaluatetheeffectivenessoftheseactions.6.2XXXobjectivesandplanningtoachievethem


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TheorganizationshallestablishXXXobjectivesatrelevantfunctionsandlevels.TheXXXobjectivesshall— a)beconsistentwiththeXXXpolicy— b)bemeasurable(ifpracticable)— c)takeintoaccountapplicablerequirements— d)bemonitored— e)becommunicated,and— f)beupdatedasappropriate.

TheorganizationshallretaindocumentedinformationontheXXXobjectives.

WhenplanninghowtoachieveitsXXXobjectives,theorganizationshalldetermine

— whatwillbedone— whatresourceswillberequired— whowillberesponsible— whenitwillbecompleted— howtheresultswillbeevaluated.

7.Support

7.1ResourcesThe organization shall determine and provide the resources needed for the establishment,implementation,maintenanceandcontinualimprovementoftheXXXmanagementsystem.7.2Competence

Theorganizationshall

— determinethenecessarycompetenceofperson(s)doingworkunderitscontrolthataffectsitsXXXperformance;

— ensurethatthesepersonsarecompetentonthebasisofappropriateeducation,training,orexperience;

— where applicable, take actions to acquire the necessary competence, and evaluate theeffectivenessoftheactionstaken;

— retainappropriatedocumentedinformationasevidenceofcompetence.NOTEApplicableactionscaninclude,forexample,theprovisionoftrainingto,thementoringof,orthe re‐assignment of currently employed persons; or the hiring or contracting of competentpersons.7.3AwarenessPersonsdoingworkundertheorganization’scontrolshallbeawareof— theXXXpolicy— theircontributiontotheeffectivenessoftheXXXmanagementsystem,includingthebenefits

ofimprovedXXXperformance— theimplicationsofnotconformingwiththeXXXmanagementsystemrequirements.7.4Communication

Theorganizationshalldeterminethe internalandexternalcommunicationsrelevanttotheXXXmanagementsystemincluding

— onwhatitwillcommunicate;


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— whentocommunicate;— withwhomtocommunicate;— howtocommunicate.7.5Documentedinformation7.5.1 GeneralTheorganization’sXXXmanagementsystemshallinclude— a)documentedinformationrequiredbythisInternationalStandard/thispartofISOXXXX/this

TechnicalSpecification;— b) documented information determined by the organization as being necessary for the

effectivenessoftheXXXmanagementsystem.NOTETheextentofdocumentedinformationforaXXXmanagementsystemcandifferfromoneorganizationtoanotherdueto

— thesizeoforganizationanditstypeofactivities,processes,productsandservices;— thecomplexityofprocessesandtheirinteractions;— thecompetenceofpersons.

7.5.2 CreatingandupdatingWhencreatingandupdatingdocumentedinformationtheorganizationshallensureappropriate— identificationanddescription(e.g.atitle,date,author,orreferencenumber)— format(e.g.language,softwareversion,graphics)andmedia(e.g.paper,electronic)— reviewandapprovalforsuitabilityandadequacy.7.5.3 ControlofdocumentedinformationDocumented information required by the XXX management system and by this InternationalStandard/thispartofISOXXXX/thisTechnicalSpecificationshallbecontrolledtoensure— a)itisavailableandsuitableforuse,whereandwhenitisneeded— b)itisadequatelyprotected(e.g.fromlossofconfidentiality,improperuse,orlossofintegrity).

Forthecontrolofdocumentedinformation,theorganizationshalladdressthefollowingactivities,asapplicable

— distribution,access,retrievalanduse,— storageandpreservation,includingpreservationoflegibility— controlofchanges(e.g.versioncontrol)— retentionanddisposition

Documentedinformationofexternalorigindeterminedbytheorganizationtobenecessaryfortheplanning and operation of the XXXmanagement system shall be identified as appropriate, andcontrolled.

NOTEAccesscanimplyadecisionregardingthepermissiontoviewthedocumentedinformationonly,orthepermissionandauthoritytoviewandchangethedocumentedinformation.

8.Operation

8.1OperationalplanningandcontrolTheorganizationshallplan,implementandcontroltheprocessesneededtomeetrequirements,andtoimplementtheactionsdeterminedin6.1,by


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— establishingcriteriafortheprocesses— implementingcontroloftheprocessesinaccordancewiththecriteria— keepingdocumentedinformationtotheextentnecessarytohaveconfidencethattheprocesses

havebeencarriedoutasplanned.The organization shall control planned changes and review the consequences of unintendedchanges,takingactiontomitigateanyadverseeffects,asnecessary.Theorganizationshallensurethatoutsourcedprocessesarecontrolled.

9.Performanceevaluation

9.1Monitoring,measurement,analysisandevaluation

Theorganizationshalldetermine

— whatneedstobemonitoredandmeasured— themethodsformonitoring,measurement,analysisandevaluation,asapplicable,toensure

validresults— whenthemonitoringandmeasuringshallbeperformed— whentheresultsfrommonitoringandmeasurementshallbeanalysedandevaluated.

Theorganizationshallretainappropriatedocumentedinformationasevidenceoftheresults.

TheorganizationshallevaluatetheXXXperformanceandtheeffectivenessoftheXXXmanagementsystem.

9.2Internalaudit

9.2.1TheorganizationshallconductinternalauditsatplannedintervalstoprovideinformationonwhethertheXXXmanagementsystem;

a) conformstotheorganization’sownrequirementsforitsXXXmanagementsystemtherequirementsofthisInternationalStandard/thispartofISOXXXX/thisTechnicalSpecification;b) iseffectivelyimplementedandmaintained.9.2.2Theorganizationshall:a) plan,establish,implementandmaintainanauditprogramme(s),includingthefrequency,methods,responsibilities,planningrequirementsandreporting,shalltakeintoconsiderationtheimportanceoftheprocessesconcernedandtheresultsofpreviousaudits;b) definetheauditcriteriaandscopeforeachaudit;c) select auditors and conduct audits to ensure objectivity and the impartiality of the auditprocess;d) ensurethattheresultsoftheauditsarereportedtorelevantmanagement;e) retaindocumentedinformationasevidenceoftheimplementationoftheauditprogrammeandtheauditresults.

9.3Managementreview

Topmanagementshallreviewtheorganization'sXXXmanagementsystem,atplannedintervals,toensureitscontinuingsuitability,adequacyandeffectiveness.


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Themanagementreviewshallincludeconsiderationof:

a) thestatusofactionsfrompreviousmanagementreviews;b) changesinexternalandinternalissuesthatarerelevanttotheXXXmanagementsystem;c) informationontheXXXperformance,includingtrendsin:

nonconformitiesandcorrectiveactions;monitoringandmeasurementresults;auditresults;

d) opportunitiesforcontinualimprovement.TheoutputsofthemanagementreviewshallincludedecisionsrelatedtocontinualimprovementopportunitiesandanyneedforchangestotheXXXmanagementsystem.Theorganizationshallretaindocumentedinformationasevidenceoftheresultsofmanagementreviews.

10.Improvement

10.1Nonconformityandcorrectiveaction

Whennonconformityoccurs,theorganizationshall:a)reacttothenonconformity,andasapplicable

— takeactiontocontrolandcorrectit;— dealwiththeconsequences;

b) evaluatetheneedforactiontoeliminatethecausesofthenonconformity,inorderthatitdoesnotrecuroroccurelsewhere,by

— reviewingthenonconformity— determiningthecausesofthenonconformity;— determiningifsimilarnonconformitiesexist,orcouldpotentiallyoccur;

c) implementanyactionneeded;d) reviewtheeffectivenessofanycorrectiveactiontaken;e) makechangestotheXXXmanagementsystem,ifnecessary.Correctiveactionsshallbeappropriatetotheeffectsofthenonconformitiesencountered.Theorganizationshallretaindocumentedinformationasevidenceof— thenatureofthenonconformitiesandanysubsequentactionstaken,and— theresultsofanycorrectiveaction.

10.2Continualimprovement

Theorganizationshallcontinuallyimprovethesuitability,adequacyandeffectivenessoftheXXXmanagementsystem.


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Appendix3(informative)

Guidanceonhighlevelstructure,identicalcoretext,commontermsandcore

definitions

Guidanceon thehigh level structure, identical core text, common terms and coredefinitions isprovided at the following URL: Annex SL Guidance documents(http://isotc.iso.org/livelink/livelink?func=ll&objId=16347818&objAction=browse&viewType=1).


©ISO/IEC2016 148

AnnexJD(normative)

JD.1IntroductiontotheHarmonizedStageCode

Thestandardizationprocesshasanumberofdefinitestepsorstageswhichcanbeusedbothtodescribetheprocessandto indicatewhere in theprocessanyone itemhasreached. Ingeneraltermsthemethodsusedtodevelopandpublishstandardsviatheformalstandardizationprocessoperatedbyinternational,regionalandnationalstandardsbodiesareverysimilarnomatterwhichbodyisoverseeingtheprocess.Thus,atahighlevel,itispossibletohaveacommonviewofthestandardizationprocessandwith itacommonsetofstages.Therearedifferencesbetweentheprocessesof individual bodies,however, and thishas led to thedevelopmentof different stagesystemsforeachbody.

This Harmonized Stage Code (HSC) system is used in ISO’s databases for tracking standardsdevelopmentprojects.Itspurposeistoprovideacommonframeworkforthetransferofcoredata.Thesystemallowstrackingofthedevelopmentofagivenproject inthesamewayindatabasesbeingusedatinternational,regionalandnationallevelsandthematrixissoconstructedthatitcaneasilybeadaptedtonewrequirements.

JD.2Designofthestagecodematrix

Aseriesof“stages”representingproceduralsequencescommontodifferentorganizationshasbeenestablished.Theserepresentthemainstagesofstandardsdevelopment.

Aseriesof“sub‐stages”hasbeenestablishedwithineachstage,usingaconsistentlogicalsystemofconcepts.Theterms“stage”and“sub‐stage”arehenceusedtodesignatetherespectiveaxesoftheresultingmatrix.

Principalstagesandsub‐stagesareeachcodedbyatwo‐digitnumberfrom00to90,inincrementsof10.Individualcellswithinthegenericmatrixarecodedbyafour‐digitnumbermadeupofitsstageandsub‐stagecoordinates.Forvisualpresentation(althoughnotnecessarilyforthepurposesofdatabaseoperations),thepairofcoordinatesareseparatedbyapoint(e.g.10.20forstage10,sub‐stage20).

Allunusedstagecodesarereservedforfutureuse,toallowforinterpolationofadditionalphasesthatmightbeidentified,e.g.stagecodes10,30,40,50and80.

JD.3Basicguidelinesforusingthesystem

—Other informationconcerning, forexample,documentsourceordocument type,shouldberecordedinseparatedatabasefieldsandshouldnotbereflectedinstagecodes.

— There is no sub‐code to indicate that a project is dormant at any particular stage. It isrecommendedtouseanotherdatabasefieldtoaddressthisissue.

—TheHSCsystemallowsforthecyclicalnatureofthestandardsprocessandfortherepeatingofeitherthecurrentphaseoranearlierphase.Eventsthatmayberepeated inthe lifeofaprojectarerecordablebyrepetitionofthesamestagecodes.


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—Freezingaprojectatanypointispossiblebyusingthecodetheprojecthasreached.Projectsthathavebeensuspendedshouldhavethisinformationrecordedinaseparatedatabasefield.

—TheHSCsystemisnotconcernedwithrecordingeithertargetoractualdatesforachievingstages.

Matrixpresentationofprojectstages

STAGE

SUB‐STAGE

00 20 60 90Decision

Registration Startofmainaction

Completionofmainaction

92Repeatanearlierphase

93Repeat

currentphase

98Abandon

99Proceed

00Preliminary

stage

00.00 00.20 00.60 00.98 00.99Proposalfornewprojectreceived

Proposalfornewprojectunderreview

Closeofreview

Proposalfornewprojectabandoned

Approvaltoballot

proposalfornewproject

10Proposalstage

10.00 10.20 10.60 10.92 10.98 10.99Proposalfornewprojectregistered

Newprojectballotinitiated

Closeofvoting

Proposalreturnedtosubmitterfor

furtherdefinition

Newprojectrejected

ApprovaltoNewprojectapproved

20Preparatory

stage

20.00 20.20 20.60 20.98 20.99NewprojectregisteredinTC/SCworkprogramme

Workingdraft(WD)studyinitiated

Closeofcommentperiod

Projectdeleted

WDapprovedforregistration

asCD

30Committeestage

30.00 30.20 30.60 30.92 30.98 30.99Committeedraft(CD)registered

CDstudy/ballotinitiated

Closeofvoting/commentperiod

CDreferredbacktoWorkingGroup

Projectdeleted

CDapprovedforregistration

asDIS

40Enquirystage

40.00 40.20 40.60 40.92 40.93 40.98 40.99DIS

registeredDISballotinitiated:5months

Closeofvoting

Fullreportcirculated:DISreferredbacktoTCorSC

Fullreportcirculated:decisionfornewDISballot

Projectdeleted

Fullreportcirculated:

DISapprovedforregistration

asFDIS

50Approvalstage

50.00 50.20 50.60 50.92 50.98 50.99FDIS

registeredforformalapproval

FDISballotinitiated:8weeks.

Proofsenttosecretariat

Closeofvoting.

Proofreturnedbysecretariat

FDISreferredbacktoTCorSC

Projectdeleted

FDISapprovedforpublication

60Publication

stage

60.00 60.60 InternationalStandardunder

publication

InternationalStandardpublished

90Reviewstage

90.20 90.60 90.92 90.93 90.99 International

Standardunder

periodicalreview

Closeofreview

InternationalStandardtobe

revised

InternationalStandardconfirmed

WithdrawalofInternationalStandard

proposedbyTCorSC


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95Withdrawal

stage

95.20 95.60 95.92 95.99


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AnnexJE(normative)

Proceduresforthestandardizationofgraphicalsymbols

JE.1 Introduction

Thisannexdescribestheprocedurestobeadoptedinthesubmissionandsubsequentapprovalandregistration,whenappropriate,ofallgraphicalsymbolsappearinginISOdocuments.

Within ISO the responsibility for thecoordinationof thedevelopmentofgraphicalsymbolshasbeensubdividedintotwoprincipalareas,allocatedtotwoISOtechnicalcommittees:

— ISO/TC145–allgraphicalsymbols(exceptthoseforuseintechnicalproductdocumentation)(seeISO/TC145website);

— ISO/TC10 – graphical symbols for technical product documentation (tpd) (see ISO/TC10website).

In addition there is coordination with IEC/TC3 (Information structures, documentation andgraphicalsymbols)andwithIEC/TC3/SC3C(Graphicalsymbolsforuseonequipment).

Thebasicobjectivesofthestandardizationofgraphicalsymbolsareto:

— meettheneedsofusers;

— ensurethattheinterestsofallconcernedISOcommitteesaretakenintoaccount;

— ensure that graphical symbols are unambiguous and conform to consistent sets of designcriteria;

— ensurethatthereisnoduplicationorunnecessaryproliferationofgraphicalsymbols.

Thebasicstepsinthestandardizationofanewgraphicalsymbolare:

— identificationofneed;

— elaboration;

— evaluation;

— approval,whenappropriate;

— registration;

— publication.


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Allstepsshouldbecarriedoutbyelectronicmeans.

— Proposals fornewor revised graphical symbolsmay be submittedby an ISO committee, aliaisonmemberofanISOcommitteeoranyISOmemberorganization(hereafterjointlycalledthe“proposer”).

— Each approved graphical symbol will be allocated a unique number to facilitate itsmanagement and identification through a register that provides information that can beretrievedinanelectronicformat.

— Conflictswiththerelevantrequirementsandguidelinesforgraphicalsymbolsshallberesolvedby liaison and dialogue between ISO/TC145 or ISO/TC10 and the product committeeconcernedattheearliestpossiblestage.

JE.2 Allgraphicalsymbolsexceptthoseforuseintechnicalproductdocumentation

JE.2.1 General

ISO/TC145isresponsiblewithinISOfortheoverallcoordinationofstandardizationinthefieldofgraphicalsymbols(exceptfortpd).Thisresponsibilityincludes:

— standardizationinthefieldofgraphicalsymbolsaswellasofcoloursandshapes,whenevertheseelementsformpartofthemessagethatasymbolisintendedtoconvey,e.g.asafetysign;

— establishing principles for preparation, coordination and application of graphical symbols:general responsibility for the review and the coordination of those already existing, thoseunderstudy,andthosetobeestablished.

Thestandardizationofletters,numerals,punctuationmarks,mathematicalsignsandsymbols,andsymbolsforquantitiesandunitsisexcluded.However,suchelementsmaybeusedascomponentsofagraphicalsymbol.

The review and co‐ordination role of ISO/TC145 applies to all committees that undertake theresponsibilityforcreationandstandardizationofgraphicalsymbolswithintheirownparticularfields.

ISO/TC145hasallocatedtheseresponsibilitiesasfollows:

— ISO/TC145/SC1:Publicinformationsymbols;

— ISO/TC145/SC2:Safetyidentification,signs,shapes,symbolsandcolours;

— ISO/TC145/SC3:Graphicalsymbolsforuseonequipment.

ThereisalsoliaisonwithISO/TC10andwithIEC,inparticularwithIEC/SC3C,Graphicalsymbolsforuseonequipment.

TableJE.1showsthecategoriesofgraphicalsymbolscoveredbyeachcoordinatingcommittee.


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TableJE.1—Categoriesofgraphicalsymbols

Basicmessage Location TargetaudienceDesign

principlesOverview

Responsiblecommittee

Publicinformationsymbols

Locationofserviceorfacility

Inpublicareas Generalpublic ISO22727 ISO7001 ISO/TC145/SC1

Safetysigns(symbols)

Relatedtosafetyandhealthofpersons

Inworkplacesandpublicareas

a)Generalpublic

or

b)authorizedandtrainedpersons

ISO3864‐1

ISO3864‐3ISO7010 ISO/TC145/SC2

Productsafetylabels

Relatedtosafetyandhealthofpersons

Onproducts

c)Generalpublic

or

d)authorizedandtrainedpersons

ISO3864‐2

ISO3864‐3― ISO/TC145/SC2

Graphicalsymbolsforuseonequipment

Relatedtoequipment Onequipment

e)Generalpublic

or

f)authorizedandtrainedpersons

IEC80416‐1

ISO80416‐2

IEC80416‐3

ISO7000

IEC60417

ISO/TC145/SC3

IEC/TC3/SC3C

tpdsymbols(Productrepresentation)

Technicalproductdocumentation(drawings,diagrams,etc.)

Trainedpersons ISO81714‐1ISO14617

IEC60617

ISO/TC10/SC10

IEC/TC3


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TableJE.2—Examplesofdifferenttypesofgraphicalsymbolsshownintheircontextofuse

Publicinformationsymbols

TelephoneISO7001–008

AircraftISO7001–022

SportingactivitiesISO7001–029

GasolinestationISO7001–009

DirectionISO7001–001

Safetysigns(symbols)

Meansofescapeandemergencyequipmentsigns:E001–Emergencyexit(lefthand)

Firesafetysigns:F001–Fireextinguisher

Mandatoryactionsigns:M001–Generalmandatoryactionsign

Prohibitionsigns:P002–Nosmoking

Warningsigns:W002–Warning;Explosivematerial

Productsafetylabels

Graphicalsymbolsforuseonequipment

Ventilatingfan:Air‐circulatingfanISO7000–0089

ParkingBrakeISO7000–0238

WeightISO7000–0430

Lamp;lighting;illuminationIEC60417–5012

Brightness/ContrastIEC60417–5435

tpdsymbols

Two‐wayvalveISO14617‐8–2101

SurfacetexturewithspecialcharacteristicsISO1302,Figure4


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JE.2.2 Submissionofproposals

ProposersshallsubmittheirproposalsontherelevantapplicationformassoonaspossibletothesecretariatoftheappropriateISO/TC145subcommitteeinordertoallowfortimelyreviewandcomment.ItisstronglyrecommendedthatthissubmissionbemadebyproposersattheCDstage,butitshallbenolaterthanthefirstenquirystage(i.e.DISorDAM)inthecaseofanInternationalStandard.

Priortosubmittingagraphicalsymbolproposal,theproposershould:

— beabletodemonstratetheneedfortheproposedgraphicalsymbol;

— havereviewedtherelevantISOand/orIECstandardsofgraphicalsymbols,inordertoavoidambiguity and/or overlap with existing standardized graphical symbols, and to check forconsistency with any related graphical symbol or family of graphical symbols alreadystandardized;

— create the proposed graphical symbol in accordance with the relevant standards andinstructions;theseincludedesignprinciplesandcriteriaofacceptance.

JE.2.3 Standardizationprocedureforproposedgraphicalsymbols

Uponreceiptofaproposal,theISO/TC145sub‐committeeconcernedshallreviewtheapplicationform,within8weeks,tocheckwhetherithasbeencorrectlycompletedandtherelevantgraphicsfile(s) has been correctly provided. If necessary, the proposer will be invited to modify theapplication,andtore‐submitit.

Upon receipt of a correctly completed application form, a formal review process shall becommenced to review the proposal for consistency with standardized graphical symbols, therelevantdesignprinciplesandcriteriaofacceptance.

When this formal review process has been completed, the results shall be transmitted to theproposer,togetherwithanyrecommendations.Theproposerwill,whereappropriate,beinvitedtomodifytheproposal,andtore‐submititforafurtherreview.

TheproceduresoutlinedontherelevantISO/TC145sub‐committeewebsiteshallbefollowed:

— ISO/TC145/SC1:Publicinformationsymbols(www.iso.org/tc145/sc1);

— ISO/TC145/SC2: Safety identification, signs, shapes, symbols and colours(www.iso.org/tc145/sc2);

— ISO/TC145/SC3:Graphicalsymbolsforuseonequipment(www.iso.org/tc145/sc3).

Thesewebsitesalsoprovideapplicationformsforthesubmissionofproposals.

GraphicalsymbolsapprovedbyISO/TC145shallbeassignedadefinitiveregistrationnumberandincludedintherelevantISO/TC145standard.

NOTE In exceptional cases, unregistered symbolsmay be included in ISO standards subject to TMBapproval.


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JE.3 Graphicalsymbolsforuseintechnicalproductdocumentation(tpd)(ISO/TC10)

ISO/TC10isresponsiblefortheoverallresponsibilityforstandardizationinthefieldofgraphicalsymbolsfortechnicalproductdocumentation(tpd).Thisresponsibilityincludes

— maintenance of ISO81714‐1: Design of graphical symbols for use in the technicaldocumentationofproducts–Part1:Basicrules,inco‐operationwithIEC;

— standardization of graphical symbols to be used in technical product documentation, co‐ordinatedwithIEC;

— establishing and maintaining a database for graphical symbols including management ofregistrationnumbers.

Includedisthestandardizationofsymbolsforuseindiagramsandpictorialdrawings.

ISO/TC10 has allocated these responsibilities to ISO/TC10/SC10. The Secretariat ofISO/TC10/SC10issupportedbyamaintenancegroup.

Anycommitteeidentifyingtheneedforneworrevisedgraphicalsymbolsfortpdshallassoonaspossible submit their proposal to the secretariat of ISO/TC 10/SC 10 for review and— onceapproved—allocationofaregistrationnumber.


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Referencedocuments

InJTC1,theISOproceduresfortwinningaresupported.

— GuidanceontwinninginISOstandardsdevelopmentactivities.(http://www.iso.org/iso/guidance_twinning_ld.pdf)