Standards Development: A Primer for RIMS Members

Sponsored by RIMS Standards and Practices Committee

Outline

What are standards?Standards developmentNational standards institutes– ANSI

International organizations– International Standards Organization

(ISO)

How RIMS is influencing standards development

11-Feb-102

What Are Standards?A standard is a document, established by consensus that provides rules, guidelines or characteristics for activities or their results. (ISO/IEC Guide 2:2004)May specify performance of products or personnelMay define terms to alleviate as much misunderstanding as possibleExamples:– Ensure that light bulbs fit into sockets– Ensure film fits into cameras that can be purchased

anywhere in the world– Provide an international definition of “risk”

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What Standards Are Not

Mandated regulationsControlsNecessarily “how to” documentsCertifications (nor require that an organization be certified to use a standard)

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Standards DevelopmentStandards development is a method of documenting processes, principles, or technical requirements and recommendations that are established by authority, custom, or consentOrganizations who develop standards are called standards-setting organizations (SSOs) or standards-development organizations (SDOs)– Standards can be either regional, national, or

international.

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Standards Development

Products of standards development can be– Informal

- Are often referred to as “specifications”- Usually do not involve participation by a significant part of any

industry, profession, or pertinent stakeholders- May not use a formal process during development - Over time may be accepted by stakeholders and then become the “de

facto” standard, or may be submitted for formal standardization

– Formal- Often referred to as “standards”- Based on a formal process- Usually consensus based incorporating viewpoints of several

stakeholders- ISO 31000:2009 Risk Management-Principles and Guidelines is an

example

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Bottom Up

Independent Standards Development Organizations (SDO)

drive standardization activities

Bottom Up

Independent Standards Development Organizations (SDO)

drive standardization activities

Standards bodies coordinate standardization

activities

Standards bodies coordinate standardization

activities

Approach in many

economies

Approachin the United

States

Two Primary Approaches to Standards

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National Standards Institutes

Many countries have a national standards institute that represents the country in international and regional standards activitiesExamples include

AFNOR (France) ANSI (US) BSI (UK) DIN (Germany) GOST R (Russia) IRAM (Argentina) JISC (Japan) KEBS (Kenya) SA (Australia) SAC (China) SASO (Saudi Arabia) CSA (Canada) SNZ (New Zealand) DGN (Mexico)

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National Standards Institutes

Example: American National Standards Institute (ANSI)

Leading U.S. organization for coordinating and promoting voluntary consensus standards – U.S. representative in non-treaty international and

regional standards-setting activities– Entity that provides accreditation for US SDOs

ANSI Essential Requirements outline rules of engagement

– RIMS has applied to become an ANSI member

[www.ansi.org]

9

ANSI Structure: Standards Development View

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ANSI Membership

Board of Directors

Executive Committee

Policy Committees

National Policy Committee (NPC)

Board of Standards Review (BSR)

Executive Standards Council

ANSI ISO Council (AIC)

ANSI ISO FORUM Technical Management Committee

US National Committee IEC Council (USNC)

International organizations usually considered to be those with country membership, e.g.,– International Organization for Standardization

(ISO)– European Committee for Standardization– International Electrotechnical Commission (IEC)– International Telecommunications Union (ITU)

International Non-Governmental Organizations

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ISODeveloper of International Standards– Central coordination in Geneva, Switzerland– Network of national standards institutes of

162 countries, with one member per country ANSI is the US representative to ISO

– Involved with standardization of various technical areas, including risk management principles and processes

Risk management standards being developed in various technical committees and working groups, including

– ISO Technical Committee 223 (TC 223), Societal Security– Technical Management Board (TMB) Working Group on

risk management

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ISO structure: Standards Development View

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GENERAL ASSEMBLY

Principal OfficersDelegates of:

Member bodies Correspondent members

Subscriber members

COUNCIL

CENTRAL SECRETARIAT

TECHNICAL MANAGEMENT BOARD (TMB)

Strategic and technical advisory groups and Committee on reference material (REMCO)

Technical committees (TCs)

Policy development committees

Committees on Conformity assessment (CASCO) Consumer policy (COPOLCO) Developing country matters (DEVCO)

Technical subcommittees (SCs)

Technical working groups (WGs)

ISO standards development

Three main phases– Need communicated to national member body

who proposes the new work item to ISO. Technical scope defined in appropriate working group.

– Draft international standard developed in working group, then elevated to the relevant technical committee for approval. The draft international standard (DIS) is then circulated to the countries through the national bodies for comments.

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ISO standards development

– Requirements for formal approval of the final draft international standard (FDIS):

Approval by two-thirds of the ISO members that participated actively in the standards development

Approval by 75% of all members that vote.

– Following approval, the document is published as an International Standard (IS).

[www.iso.org]

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Standards Hierarchy

TOOLS

GUIDELINES

REQUIREMENTS

TERMINOLOGY

FRAMEWORK

RISK QUALITY TECHNOLOGY ENVIRONMENTAL

ISO GUIDE 73

ISO 14001

ISO/IEC 27001

ISO/IEC 15408

OHSAS 18001

ISO 31010

NFPA 101

NFPA 75ANSI/ASHRAE 62

HB 436

AS/NZS 4360

ISO 9001

ISO GUIDE 14050

ISO/IEC 27002ISO 10005

SAFETY

CSA Q850

SAQ ONR 49001

AFNOR CN FD_X50-252

ISO 31000 PRINCIPLES

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How RIMS Is Influencing Standards Development

– Collaborating with existing SDOs who submit standards to ISO for adoption

– Developing liaison relationships with ISO technical committees

– Submitting comments through ANSI technical advisory groups (TAGs) to ISO technical committees that are in the process of developing standards

– Educating RIMS Members

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Presentation Developed By:

Yvette Ho SangRisk Management AnalystIEEE Standards Association

Member of RIMS Standards and Practices Committeey.hosang@ieee.org

With contributions from members of RIMS Standards and Practices Committee

If you have questions, please contact Nathan Bacchus at nbacchus@rims.org.

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ISO 31000: 2009 Risk Management – Principles and Guidelines

AS/NZS 4360:2004 Risk Management Australian/New Zealand Standard

ISO GUIDE 73:2009 Risk Management – Vocabulary

HB 436:2004 Risk Management Guidelines: a Companion to AS/NZS 4360:2004

ISO 31010:2009 Risk Management – Risk Assessment

NFPA 101:2009 Life Safety Code®

ANSI/ASHRAE 62.1-2007 Standard on Ventilation for Acceptable Indoor Air Quality

OHSAS 18001:2007 Occupational Health and Safety

ISO 9001:2008 Quality Management Systems – Requirements

NFPA 75:2009 Standard for the Protection of Information Technology Equipment

ISO/IEC 27001:2005 Information Security Management Systems – Requirements

ISO/IEC 27002:2005 Information Technology – Code of Practice

ISO/IEC 15408:2005/2008 (3 parts) Evaluation Criteria for IT Security

ISO 14001:2004 Environmental Management Systems - Requirements

ISO 14050:2009 Environmental - Vocabulary

CSA Q850-10 Risk Management – Implementation of CAN/CSA-ISO 31000

ISO 10005:2005 Quality Management Systems – Guidelines for Quality Plans

ISO 28000:2007 Security Management Systems for the Supply Chain

ANSI / ASIS SPC.1:2009 Organizational Resilience: Security Preparedness, and Continuity Management Systems – Requirements with Guidance for Use

Referenced Standards