12 Preparation and Adoption of
International Standards -
Normal Processing
ISs prepared by JTC 1 are published as double logo ISO/IEC standards
(see Form G19) by ITTF and copies distributed to NBs.
12.1 Stages of
Technical Work
The successive stages of the technical work are referenced 0 to
5. These are defined as follows:
- Stage 0 ( preliminary stage): A study period is underway.
- Stage 1 ( proposal stage): An NP is under consideration.
- Stage 2 ( preparatory stage): A WD is under consideration.
- Stage 3 ( committee stage): A CD/ FCD is under consideration.
- Stage 4 ( approval stage): An FDIS is under consideration.
- Stage 5 ( publication stage): An IS is being prepared for
publication.
Annex B illustrates the stages of progression for work items.
For a project which has not yet reached Stage 3, an SC may suspend the
5-stage process in favour of the fast-track procedure as described in
13 (to be initiated by a P member or a Category A liaison organisation
of JTC 1) provided that:
- The SC agrees that the intended fast-track document is suitable
to satisfy the requirements of the existing project; and
- The SC agrees to the use of the fast-track procedure and so
notifies JTC 1.
12.2 General
12.2.1
The social and
economic long-term benefits of an IS should
justify the total cost of preparing, adopting and maintaining the
standard. The technical consideration should demonstrate that the
proposed standard is technically feasible and timely and that it is not
likely to be made obsolete quickly by advancing technology or to
inhibit the benefits of technology to users.
12.2.2
It is vital for
the success of the technical work, and
thus for the general reputation of ISO and IEC, that ISs be published
without delay. To this end all persons involved shall ensure the
rapid and smooth passage of technical documents from one stage to
another. Consultation shall be maintained between those
responsible for decisions at the different stages.
12.2.3
In the interest of
rapid progress of work, JTC 1 shall
avoid discussion of a document successively at more than two levels --
WG/SC. Discussion at two levels is appropriate and
adequate.
These two levels are the expert level where technical proposals are
discussed and drafts prepared (i.e. WG) and the committee level (i.e.
SC) at which final NB vote on the draft is expressed within JTC
1. If no WG is involved, discussion shall be limited to one
level. Care shall be taken to ensure that all parties and P
members have been involved at those levels, and their views properly
considered.
Except for fast-track processing, stage 3 is the last at which
submission of comments is permissible (including editorial comments and
those of ITTF editors). JTC 1 P members and the ITTF shall try to
input their comments at the earliest possible stage.
12.2.4
In order to
facilitate the examination of successive
versions of CDs at various stages of processing, JTC 1 and its SCs
shall suitably identify all parts of the text which have been changed
since the previous version by issuing the appropriate disposition of
comments report.
12.2.5
Every effort shall
then be made by JTC 1 or the SC to
ensure that the results of its deliberations will achieve the necessary
majority for their publication as ISs. (The provisions concerning
WG experts (see 2.6.1.3) and
coordination (see 3.4) are
particularly
important in this respect.)
12.2.6
Both NBs and any
representatives presenting views at
previous levels shall attempt to avoid confusion and delay that could
result from different positions being declared (see 2.6.1.3) at
different levels. NBs shall fulfil their obligation as P members
to vote (see 3.1.1).
12.2.7 In order to
accelerate the approval process in cases where
an SC already has a draft that it considers to be of suitable maturity,
the SC may choose, by letter ballot or agreement at a meeting, to
accompany an NP with a complete technical specification and initiate
simultaneous NP and CD ballots.
In this event, the SC Secretariat shall so inform the JTC 1 Secretariat
and forward the NP and its related technical specification to the JTC 1
Secretariat for NP ballot in accordance with 6.2. In the case of
an NP originated by an SC, the procedure for NP voting in 9.3.1
applies. The SC Secretariat shall simultaneously circulate a CD ballot
on the technical specification in accordance with 12.6.3.2
bearing the
SC's N number only.
[Note: In this case, the CD ballot is
distributed prior to registration with ITTF and assignment of a project
number. For clarity, the JTC 1 NP and the SC CD should cross
reference each other’s document numbers. Simultaneous NP and FCD
ballots are not permitted.]
12.2.7.1
If the
result of the NP ballot is negative, the
results of the CD ballot are disregarded and the work item is not added
to the JTC 1 programme of work.
12.2.7.2
If the NP is
approved and the CD receives substantial
support, the project is registered in accordance with 12.5.1
and
processing continues with an FCD in accordance with 12.6.1.2.
12.2.7.3
If the NP is
approved and the CD does not receive
substantial support, the project reverts to Stage 2 and processing
continues in accordance with 12.5.
12.3 Stage 0, Study
Period Underway
This stage is usually optional. An SC may approve a study period
when it is too early to identify precise NPs, but agreement exists that
the subject area is likely to need future standardisation (see
6.2.1.3). Under certain
conditions, a study of a new work area
should be undertaken (see 6.2.3.1).
12.4 Stage 1, NP
under Consideration
This stage is described in 6.2.
12.5 Stage 2, WD
under Consideration
12.5.1
Upon approval of
the NP, the project will be assigned to
an SC. In the case of an NP originated by an SC, this will
normally be the originating SC.
12.5.1.1
ITTF shall be
informed of the assignment, shall register
the project in the JTC 1 programme of work and shall advise the
secretariat of the responsible SC, and the secretariat of JTC 1, of the
assigned project number. For this purpose, ITTF shall be informed
of the relationship of the NP to existing JTC 1 standards, i.e. whether
the NP is a completely new project (requiring a new number) or a
revision, extension (new part) or amendment of an existing standard.
12.5.1.2
The number
assigned to a project shall be subject to the
following:
- The number allocated to a project shall remain the same
throughout subsequent reporting stages (WD, CD and DIS) and for the
published IS. No number shall be allocated to a project for a new
standard which has already been used for a DIS or an IS.
- The number allocated to a project shall be a pure registration
and reference number and has no meaning whatsoever in the sense of
classification or chronological order.
- The numbers allocated to withdrawn projects shall not be used
again, unless this is a consequence of restructuring of a multipart
standard.
12.5.1.3
Registration and
numbering of projects at the ITTF is
undertaken on the basis of the following criteria:
- For new standards: ITTF will assign a completely new project
number.
- For revisions to existing standards: The project will carry the
same number as the existing IS. If, however, the scope is
substantially changed, the revision shall require an NP and a new
project number may be assigned.
- For amendments: The project will carry the number of the existing
IS followed by "/PDAM" and the sequential number of the PDAM (e.g.
ISO/IEC 1234/PDAM 1).
- For standards to be published in separate parts: ITTF will
assign a project number which shall be suffixed by a hyphen followed by
the relevant part number (e.g. ISO/IEC 1234-1).
12.5.1.4
When, in the
course of its preparation, the title of a
project is modified, ITTF shall immediately be informed so that the new
title can be registered in the JTC 1 programme of work.
12.5.2
The SC may assign
the project to a WG or develop the
document within the SC itself. For simplicity, the following
sections assume assignment to a WG, but in cases where the SC does the
development, references to the WG should be understood as references to
the SC. Similarly, in rare instances a WG may report directly to
JTC 1 rather than to an SC; in such cases, references to the SC should
be understood as references to JTC 1.
12.5.3
A Project Editor
should be identified (see 5.7).
The
WG develops one or more WDs of the standard. Usually, a WD
undergoes several revisions before the WG recommends that it be
progressed to stage 3. As decisions are made regarding the
content of the WD, the convener should take care to assure consensus,
not only of the individual participating experts, but also of the NBs
represented in the WG. This will enhance the likelihood of
achieving successful CD/FCD and FDIS ballots.
12.5.4
Successive WDs on
the same subject shall be marked "second
working draft," "third working draft," etc., and the original WD number
shall be supplemented by .2, .3, etc. (e.g. WD 1234.2).
12.5.5
In the preparation
of a WD, every effort shall be made to
ensure that it will not require substantial redrafting in JTC 1 or the
SC, in particular by ensuring that from the very beginning the draft is
in conformity with the rules for the presentation of ISs (see ISO/IEC
Directives, Part 2 - Rules for the structure and drafting of
International Standards).
12.5.6
The project editor
shall include an Executive Summary with
information highlighting the content of the standard such that it could
be used, for example, in promotional activities. This Executive
Summary shall be circulated for comment with CD, FCD and FDIS ballots
but shall not affect the outcome of these ballots.
12.5.7
The WD remains in
Stage 2 until all of the following three
conditions are met:
- The main elements have been included in the document;
- It is presented in a form which is essentially that envisaged for
the future IS;
- The SC has decided in a resolution during a meeting or by letter
ballot that the WD be forwarded to the ITTF for registration as a CD.
Optionally, an SC may authorise a WG to decide that a WD should be
forwarded, via the SC Secretariat, for registration as a CD.
In cases where an SC believes that a future WD may receive substantial
technical agreement, the SC may optionally authorise its Secretariat to
issue a combined ballot for CD registration and consideration of the
CD/FCD.
12.5.8
If a work item has
not progressed to Stage 3 by the
second anniversary of project initiation (NP approval or project
subdivision), the SC is required to take action as specified in 6.4.1.5.
12.6 Stage 3, CD
under Consideration
12.6.1
Registration of CD
12.6.1.1
The SC
Secretariat forwards a copy of the WD in question
to the ITTF which registers it as a CD. The ITTF shall confirm
the registration to the JTC 1 Secretariat.
12.6.1.2
The project
editor, after consultation with the SC
secretariat and, if necessary, the SC chairman, shall indicate if it is
the case that the proposed CD is intended to be the final CD (FCD) on
this subject. If so, the cover letter of the FCD shall explicitly
indicate this intention and consideration of the FCD shall be by letter
ballot. If the criteria for finalisation of the FCD are satisfied
(see 12.6.3), the FCD progresses to Stage
4. In other
circumstances, a further CD or FCD ballot may be required.
A similar indication shall also be made if a particular PDAM ballot is
intended to be the final PDAM (FPDAM) ballot. In this case, the
cover letter of the FPDAM ballot shall explicitly indicate this
intention.
[Note: NBs wishing to conduct
an enquiry may find the FCD ballot period an appropriate time for this
purpose.]
12.6.1.3
Successive CDs on the same subject shall be
marked "second committee draft," "third committee draft," etc., (see
Form G8) and the original CD number shall be supplemented by .2, .3,
etc. (e.g. CD 1234.2).
12.6.1.4
When, in the
course of its preparation, the title of a
CD is modified, this information shall immediately be submitted to the
ITTF for amendment to the project records.
12.6.2
Distribution of CDs
12.6.2.1
The SC
Secretariat distributes the CD (see Form
G5). For an FCD (see Form G7), the Secretariat also forwards the
FCD to ITTF for notification of availability to other NBs and
organisations in liaison for information and comments, as
well as editorial review.
Any comments received from ISO editors shall be considered together with National
Body comments received on the FCD ballot. The
introductory note should indicate, as appropriate, the sources used as
a basis for the proposal and the background and aim of the
proposal. The note should include among other things:
- The date when the work item was introduced into the programme of
work;
- Edentification of the original proposer; and
- Extent of liaison with other internal and external organisations.
12.6.2.2
The CD may be
distributed for discussion at an SC
meeting, for comment by correspondence or for letter ballot.
Frequently it will be dealt with in more than one of these ways in the
course of reaching agreement.
12.6.2.3
Organisations
which can make an effective contribution
to the application of ISs in a given area should be expressly invited
to comment on all relevant CDs.
12.6.2.4
Any editorial
comments from the ITTF should be made
during the FCD ballot (see 12.2.3).
12.6.3
Finalisation of CDs
12.6.3.1
The Secretariat
of the SC responsible for the CD shall
ensure that the CD fully embodies the decisions reached by the majority
vote either at meetings or by correspondence.
12.6.3.2
If the
consideration of a CD is dealt with by
correspondence, P members and TCs and organisations in liaison are
asked to submit their comments (and P members their votes, see 9.1.5)
by a specified date (see Form G8). In the case of CDs, this date
should be no less than three months from the date of notification of
issue. For an FCD, the ballot period shall be no less than four
months. The SC may extend the ballot period in instances when the
complexity of the text requires additional time for review or to allow
additional time for enquiry, as long as the total ballot period does
not exceed six months. Comments and votes shall be sent to the
Secretariat of the SC within the period specified, and shall be
summarised by the Secretariat and distributed in accordance with
8.3. The Secretariat shall also distribute a report clearly
indicating the action taken as a result of the comments received and
shall distribute, if necessary, a further CD. Abstention by an NB
on a CD ballot does not bar the NB from voting on subsequent versions
of the document (see 3.1.1).
12.6.3.3
If a CD is
considered at a meeting, the Secretariat
shall distribute (in accordance with 8.3)
a revised CD, prepared in
accordance with the decisions taken at the meeting, for consideration
either by correspondence or at a subsequent meeting.
12.6.3.4
The Secretariat
of the committee responsible for the
draft shall decide whether to continue consideration of successive CDs
by correspondence or by convening a meeting, according to the nature of
the comments received. If at least three P members disagree with
the proposal of the Secretariat, and so notify the Secretariat within
four weeks, the CD shall be discussed at a meeting.
12.6.3.5
Consideration of
successive CDs shall continue until the
substantial support of the P members of the committee has been obtained
for an FCD or a decision to abandon or defer the project has been
reached.
12.6.3.6
It is the
responsibility of the SC Secretariat, if
necessary in consultation with the ITTF, to judge when substantial
support has been obtained. In this connection attention should be
given not only to the numerical voting results but also to the attempts
made to resolve negative votes and the nature of success or failure to
do so.
So that comments accompanying votes on a CD may be properly considered,
the relevant Secretariat is instructed to refer all such comments to
the SC. For an FCD, the SC shall also consider any comments
received from ISO member bodies and IEC national committees. The
SC shall review the comments and make a recommendation to the relevant
Secretariat before further processing. Within an SC,
responsibility for the preparation of a revised CD text, disposition of
comments report, and a recommendation on further processing may be
delegated to a WG, OWG (see 2.6.2),
or Project Editor who reports back
to the SC.
The proposed or approved disposition of comments report, or both,
should be produced within three months of the close of the CD or FCD
ballot. When exceptional circumstances warrant a longer time
frame for the preparation of the disposition of comments report, these
circumstances shall be communicated to the JTC 1 Secretariat.
12.6.3.7
Substantial
support for an FCD shall be obtained by
correspondence; this may be either on the FCD as it was distributed or,
more usually, subject to the necessary corrections being made. In
the latter case, the SC may instruct its Secretariat or the Project
Editor to modify the FCD. The revised FCD shall be submitted
directly to the ITTF by the Secretariat of the appropriate committee
(usually the SC).
12.6.3.8
Whenever
appropriate, SCs entrusting tasks to WGs or
OWGs should empower them to produce on behalf of the SCs the CD, FCD or
FDIS text for direct submission to ITTF via the SC Secretariat.
12.6.3.9
An FCD shall be
advanced to FDIS only if the text has
been stabilised, consensus has been demonstrated, and the substantial
support of the P members of the SC has been obtained. The SC
Secretariat shall submit the following within a maximum of three months
to the ITTF for FDIS registration:
- The final electronic text, including figures and graphics, of the
FCD for distribution as an FDIS, in accordance with the ITSIG guide;
- An explanatory report (see Form G11).
The explanatory report shall contain:
- A brief history of the draft;
- A record of the voting on the FCD listing those P members who
voted in favour, those who voted against and those who did not vote;
- A brief statement of all technical objections which have not been
resolved and the reasons why it has not been possible to resolve them;
in the case of a revision of an existing IS, a summary of the main
changes in the previous edition of the IS now proposed for technical
revision and the reasons therefore.
12.6.3.10
In the event
that no negative votes are received at the
FCD enquiry stage, the SC Secretariat may submit the document to ITTF
for publication as a standard.
12.6.3.11
If a work item
has not progressed to Stage 4 by the
third anniversary of the first CD, the SC is required to take action as
specified in 6.4.1.6.
12.7 Stage 4,
FDIS under Consideration
12.7.1
Registration and Distribution of FDIS
12.7.1.1 The ITTF shall register the FCD as
an FDIS.
12.7.1.2
The ITTF shall
distribute the FDIS (see Form G9)
together with the explanatory report to all NBs for a two-month letter
ballot (see Form G10). The ITTF shall at the same time send it to
all other TCs and organisations in liaison with JTC 1 or the SC
responsible for preparing the draft.
At this stage, the ITTF shall make no changes to the text of the FDIS,
which shall be distributed as presented. If the explanatory
report lacks necessary information, the ITTF shall request the relevant
Secretariat to appropriately modify the explanatory report prior to
distribution.
12.7.2
Processing of FDIS ballots
12.7.2.1
The ITTF shall
implement the combined voting procedure
(see 9.5).
12.7.2.2
When an FDIS
ballot closes, the ITTF shall inform the
JTC 1 and SC Secretariat accordingly and communicate to the SC
Secretariat the results of voting. At the same time, the ITTF
shall transmit the results of voting to the NBs.
12.7.2.3
If the FDIS has
been approved in accordance with 9.6,
the SC Secretariat shall take into consideration any minor corrections
(see 9.7) and promptly forward the
document to ITTF for
publication. ITTF shall inform all NBs that the FDIS has been
accepted for publication. The document is now at stage 5.
12.7.2.4
If the FDIS has
not been approved, the document reverts
to Stage 2 (12.5.2) and is referred back to the
appropriate SC for
consideration and recommendation for further processing.
12.7.2.5
In the absence
of the necessary approval, JTC 1 may
decide at any stage to request the publication of the draft as a TR, if
the majority of the P members agree (see 16).
12.8 Stage 5, IS
Publication
The final electronic text shall be sent to the ITTF in an acceptable
form for publication (see Form G19).