iso/iec jtc 1 information technology date: 1998.03.02 ...iso/iec jtc 1 on information technology....
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ISO/IEC JTC 1Information Technology
ISO/IEC JTC 1 N 5202
DATE: 1998.03.02
REPLACES: JTC 1 N 5170
DOC TYPE:Request for comments
TITLE:Draft 4th Edition of the ISO/IEC JTC 1 Directives
SOURCE:Ad Hoc Meeting on Revision of the JTC 1 Procedures, February 1998 inSan Diego
PROJECT:
STATUS:As per recommendation 1 of the Ad Hoc Meeting on Revision of the JTC 1Procedures, February 1998 in San Diego, this document is circulated toJTC 1 National Bodies and Subcommittees for review and comment with thegoalof approving the document at the June 1998 JTC 1 Plenary in Sendai.
National Body and Subcommittee comments on this document should besubmitted to the JTC 1 Secretariat no later than 4 May 1998. Ifsubstantive comments are received, the Procedures Ad Hoc Grouprecommends that these comments be the focus of a break out group duringthe Sendai Plenary.
ACTION ID: COM
DUE DATE: 1998.05.04
DISTRIBUTION: P and L Members
MEDIUM:
DISKETTE NO.:
NO. OF PAGES: 107
Secretariat, ISO/IEC JTC 1, American National Standards Institute, 11West 42nd Street, New York, NY 10036; Telephone: 1 212 642 4932;Facsimile: 1 212 398 0023; Email: [email protected]_
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Editor’s Note: This draft is the output of the 2/98 JTC 1 Procedures Ad Hoc meeting
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FOREWORD
ISO (the International Organization for Standardization) and IEC (the InternationalElectrotechnical Commission) form the specialized system for worldwide standardization.National Bodies that are members of ISO or IEC participate in the development of InternationalStandards through technical committees established by the respective organization to deal withparticular fields of technical activity. ISO and IEC technical committees collaborate in fields ofmutual interest. Other international organizations, governmental and non-governmental inliaison with ISO and IEC, also take part in the work.
Information technology standardization has some unique requirements as a consequence of thepace of innovation. Therefore, ISO and IEC have established a joint technical committee,ISO/IEC JTC 1, Information Technology. ISO/IEC JTC 1 has accordingly developed andmaintains its own procedures, as well as collaborating with the International TelecommunicationUnion - Telecommunication Standardization Sector (ITU-T) in the maintenance of a guide tocollaboration between ISO/IEC JTC 1 and ITU-T and rules for the drafting and presentation ofcommon ISO/IEC/ITU-T texts.
In view of the dynamic nature of IT standardization, as part of the process of maintenance of itsprocedures, ISO/IEC JTC 1 develops Supplements to the Procedures for the technical work ofISO/IEC JTC 1 on Information Technology. Such Supplements are published by ISO/IEC andare available from the ISO/IEC Information Technology Task Force (ITTF). Such Supplementsmay be incorporated into subsequent editions of the Procedures for the technical work ofISO/IEC JTC 1 on Information Technology.
Editor’s Note: For this draft, the index has not been updated. For the final version, a complete index willbe provided by the editor, similar to that provided in the Third Edition
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TABLE OF CONTENTS
FOREWORD 32TABLE OF CONTENTS 43LIST OF ABBREVIATIONS viiixProcedures for the technical work of ISO/IEC JTC 1 11 Introduction 1
1.1 Scope .............................................................................................................................. 11.2 General Provisions ........................................................................................................... 1
2 Organization 22.1 Establishment, Title and Scope ........................................................................................ 22.2 General ............................................................................................................................ 22.3 JTC 1 Organizations ........................................................................................................ 22.4 Subcommittees (SC) ........................................................................................................ 52.5 Working Group Organizations .......................................................................................... 62.6 Other Organizational Entities ........................................................................................... 8
3 Membership Categories and Obligations 103.1 Participating Membership ................................................................................................. 103.2 Observing Membership .................................................................................................... 103.3 Liaison Membership ......................................................................................................... 103.4 Coordination .................................................................................................................... 13
4 Administration 144.1 Information Technology Task Force (ITTF) ...................................................................... 144.2 JTC 1 Administration ........................................................................................................ 154.3 Subcommittee Administration .......................................................................................... 164.4 Working Group Administration ......................................................................................... 164.5 Non-Permanent Organizational Entity Administration ....................................................... 174.6 Responsibility For Keeping Records ................................................................................. 17
5 Officers 175.1 JTC 1 Chairman ............................................................................................................... 175.2 JTC 1 SWG Conveners ................................................................................................... 185.3 JTC 1 Rapporteurs ........................................................................................................... 185.4 SC Chairmen ................................................................................................................... 185.5 WG Conveners ................................................................................................................ 185.6 Non-Permanent Organizational Entity Officers ................................................................. 195.7 Project Editors ................................................................................................................. 19
6 Programme of Work 196.1 Overall Programme of Work ............................................................................................ 196.2 Additions to the Programme of Work ............................................................................... 20196.3 Target Dates and Priorities ............................................................................................... 236.4 Progress Control and Reporting ....................................................................................... 2423
7 Meetings 257.1 General ............................................................................................................................ 257.2 Meeting Schedule ............................................................................................................ 257.3 Hosting a Meeting ............................................................................................................ 257.4 Funding Mechanisms ....................................................................................................... 267.5 Calling and Canceling Meetings ....................................................................................... 277.6 Meeting Agenda ............................................................................................................... 287.7 Participation At Meetings ................................................................................................. 29287.8 Meeting Documents ......................................................................................................... 297.9 Languages ....................................................................................................................... 307.10 Meeting Resolutions and Reports ................................................................................... 3130
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7.11 Electronic Meetings ........................................................................................................ 318 Document Types, Numbering and Distribution Requirements 32
8.1 Document Types .............................................................................................................. 328.2 Rules for Numbering of JTC 1 Working Documents ......................................................... 338.3 Document Distribution ...................................................................................................... 34
9 Voting 359.1 General ............................................................................................................................ 359.2 Conciliation Panels .......................................................................................................... 369.3 Votes on NPs ................................................................................................................... 369.4 Votes on CDs/PDAMs/PDISPs/PDTRs ............................................................................. 369.5 Combined Voting Procedure ............................................................................................ 369.6 FDIS/DIS/FDAM/FDISP Approval Criteria ........................................................................ 37369.7 Votes on FDIS/FDAMs/FDISPs ........................................................................................ 37 9.8 Votes on Fast-track DISs................................................................................................ 379.9 Discussion during ballot period ......................................................................................... 389.10 Votes on DTRs ............................................................................................................... 389.11 Votes on DCORs ............................................................................................................ 3938
10 Special Considerations 3910.1 Health and Safety Considerations .................................................................................. 3910.2 Copyright ....................................................................................................................... 3910.3 Patents........................................................................................................................... 3910.4 Formal Descriptions (FD) ............................................................................................... 3910.5 Application Portability ..................................................................................................... 4010.6 Standard International (SI) Units .................................................................................... 40
11 Appeals 414011.1 General .......................................................................................................................... 414011.2 Appeal Against an SC Decision ...................................................................................... 4111.3 Appeal Against a JTC 1 Decision ................................................................................... 4111.4 Appeal Against a Decision of the TMB/CAs .................................................................... 4241
12 Preparation and Adoption of International Standards - Normal Processing 4212.1 Stages of Technical Work ............................................................................................. 4212.2 General .......................................................................................................................... 4212.3 Stage 0, Study Period Underway .................................................................................... 4312.4 Stage 1, NP under Consideration ................................................................................... 4312.5 Stage 2, WD under Consideration .................................................................................. 4312.6 Stage 3, CD under Consideration ................................................................................... 454412.7 Stage 4, FDIS under Consideration ................................................................................ 4712.8 Stage 5, IS Preparation for Publication .......................................................................... 4948
13 Preparation and Adoption of International Standards - Fast-Track Processing 4914 Maintenance of International Standards 51
14.1 Revision ......................................................................................................................... 5114.2 Withdrawal ..................................................................................................................... 525114.3 Periodic Review ............................................................................................................. 525114.4 Correction of Defects ..................................................................................................... 5214.5 Amendment ................................................................................................................... 55
15 Preparation and Adoption of Technical Reports 565515.1 General .......................................................................................................................... 565515.2 Types of Technical Reports ............................................................................................ 5615.3 Outline of Procedures .................................................................................................... 5615.4 Maintenance of Technical Reports ................................................................................. 5756
16 International Standardized Profiles and Related Documents 585716.1 International Standardized Profiles (ISP) ........................................................................ 585716.2 Taxonomy of Profiles ..................................................................................................... 5816.3 ISP Preparation and Adoption ........................................................................................ 595816.4 Explanatory Reports ....................................................................................................... 5958
17 Appointment and Operation of Registration Authorities 59
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17.1 Overview ....................................................................................................................... 5917.2 Types of Structures for Registration ............................................................................... 5917.3 Need for Registration and Registration Authorities ......................................................... 5917.4 Standards and Publications ............................................................................................ 605917.5 JTC 1 Registration Authorities ........................................................................................ 60
Annex A: Secretariat Resources and Operational Requirements 61A1 Resources of a Secretariat................................................................................................ 61A2 Qualifications of a Secretary ............................................................................................. 61
Annex B: Stages of Progression of Work Items 62Annex C: JTC 1 Policy on Conformity Assessment 63
C1 Role of JTC 1 in Conformity Assessment.......................................................................... 63C2 Authority and Responsibility.............................................................................................. 63C3 Mutual Recognition ........................................................................................................... 64
Annex E: Registration Definitions and Guidelines for Procedure Standards 2E1 Definitions ........................................................................................................................ 2E2 Guidelines for Procedure Standards ................................................................................. 2
Annex G: Forms 9NP Acceptance Criteria 10
BUSINESS PLAN FOR JTC 1 or JTC 1/SCxx ......................................................................... 103PERIOD COVERED: Beginning date – ending date ................................................................ 103SUBMITTED BY ..................................................................................................................... 103
1. MANAGEMENT SUMMARY 1031.1 JTC 1 and or JTC 1 SCxx STATEMENT OF SCOPE ....................................................... 1031.2 PROJECT REPORT ........................................................................................................ 1031.3 COOPERATION AND COMPETITION............................................................................. 103
2. PERIOD REVIEW 1032.1 MARKET REQUIREMENTS ............................................................................................ 1031042.2 ACHIEVEMENTS ............................................................................................................. 1042.3 RESOURCES .................................................................................................................. 104
3. FOCUS NEXT WORK PERIOD 1043.1 DELIVERABLES .............................................................................................................. 1043.2 STRATEGIES: ................................................................................................................. 1043.3 WORK PROGRAMME PRIORITIES ................................................................................ 104
Annex H: JTC 1 Policy on Electronic Document Distribution Using the World Wide Web 103Annex I: JTC 1 Policy on Interoperability 103ANNEX J Guidelines for API Standardization 103J1 Characteristics and Definition 103
J1.1 Application Program Interface (API) Related Concepts ................................................... 103J1.2 Level of Abstraction........................................................................................................ 103
J2 Methods and Components for JTC 1 API Work 104J2.1 Relation to Other Standards ........................................................................................... 104J2.2 Language-Independent API Specifications and Language Bindings ................................ 104J2.3 Conformance and Testability .......................................................................................... 105J2.4 Relationship to Models ................................................................................................... 105
J3 Considerations in Proposing API Standardization 105J3.1 Placement within JTCI for Standardization of API Specifications .................................... 105J3.2 Coordination ................................................................................................................... 106
Annex K: Collaborative Procedures for ITU-T and JTC 1 Cooperation 103INDEX 105
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Editor’s Note: The references in the list of abbreviations have not been updated for this draft. Each reference will bechecked and updated for the final copy.
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LIST OF ABBREVIATIONS
ABBREVIATION TEXT FIRST CLAUSEREFERENCE
AG Advisory Group 2.4.4AMD Amendment 5.65.7.3ATS Abstract Test SuiteCASCO ISO Committee on Conformity Assessment 2.3.2.2.1CD Committee Draft 4.1.4COR Technical Corrigendum 5.65.7.3CT Collaborative Team 2.6.4.12.5.4.1DAM Draft Amendment 8.1.4DIS Draft International Standard (fast-track) 3.1.1DISP Draft International Standardized Profile 8.1.3DR Defect Report 8.1.5DCOR Draft Technical Corrigendum 8.1.5DTR Draft Technical Report 8.1.2FCD Final Committee Draft 3.4.3.4FD Formal Description 6.2.1.7FDAM Final Draft Amendment 8.1.4FDIS Final Draft International Standard 3.1.1FDISP Final Draft International Standardized Profile 8.1.3FDT Formal Description Technique 6.2.1.7FPDAM Final Proposed Draft Amendment 8.1.4FPDISP Final Proposed Draft International Standardized Profile 8.1.3FTP File Transfer Protocol 8.3.6ICD International Code Designator 17.2IEC International Electrotechnical Commission ForewordIS International Standard 1.1ISO International Organization for Standardization ForewordISP International Standardized Profile 2.5.21.1ITTF Information Technology Task Force ForewordITU-T International Telecommunications Union - Telecommunications
Standardization SectorForeword
JTC 1 ISO/IEC Joint Technical Committee 1 ForewordJTPC ISO/IEC Joint Technical Programming Committee 2.1.1JWG Joint Working Group 2.3.2.2.12.5.3MO Maintenance Organization D2.1NB National Body 2.2.3NP New Work Item Proposal 3.4.3.1OWG Other Working Group 2.2.1PDAM Proposed Draft Amendment 8.1.4PDISP Proposed Draft International Standardized Profile 8.1.3PDTR Proposed Draft Technical Report 8.1.2PICS Protocol Implementation Conformance Statement D7.2PTS Profile Test Suite D2.2RG Rapporteur Group 2.3.3RG-CAI Rapporteur Group on Conformity Assessment and
Interoperability2.3.3
RG-RA Rapporteur Group on Registration Authorities 2.3.3SC Subcommittee 2.2.1
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SG Study Group (ITU-T) 2.5.4.1SGFS Special Group on Functional Standardization 2.2.1SGML Standard Generalized Markup Language 12.8.1Annex ISWG Special Working Group 2.2.1SWG-CA Special Working Group on Conformity Assessment 2.3.2.2SWG-RA Special Working Group on Registration Authorities 2.3.2.1TMB/CA ISO Technical Management Board/IEC Committee of Action 2.1.2TC Technical Committee 2.2.2TR Technical Report 4.6.11.1WD Working Draft 6.2.1.2WG Working Group 2.2.1WP Working Party (ITU-T) 2.5.4.1
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Procedures for the technical work of ISO/IEC JTC 1
1 Introduction
1.1 Scope
The Directives for the technical work of JTC 1 giveinstructions for the procedures to be followed in thepreparation of International Standards (IS),Technical Reports (TR), and InternationalStandardized Profiles (ISP), and for the workingmethods to be used by JTC 1 and its subsidiarybodies.
The purpose of this portion of the Directives is toprovide, together with its annexes and anysupplements, a complete set of procedures coveringthe development, adoption, publication andmaintenance of common ISO/IEC InternationalStandards developed by committee JTC 1 onInformation Technology.
This document replaces the ISO/IEC Directives,Part 1 - Procedures for the technical work, but hasbeen developed to be consistent with them. Anydifferences between this document and the ISO/IECDirectives, Part 1 are dictated by the nature ofinformation technology work and have beenauthorized by the ISO Secretary-General and IECGeneral-Secretary (Secretaries-General) andCouncils of IEC and ISO. Where differencesbetween this document and the ISO/IEC Directivesexist, the provisions of this document shall govern.
The complete set of procedure documents for usewithin ISO/IEC JTC 1 comprise
• Procedures for the technical work ofISO/IEC JTC 1 on Information Technology(this document) and any currentSupplements;
• ISO/IEC Directives - Part 1: Procedures forthe technical work, Annex M, Maintenanceagencies, and Annex Q, Justification ofproposals for the establishment ofstandards;
• ISO/IEC Directives - Part 2: Methodologyfor the development of InternationalStandards;
• ISO/IEC Directives - Part 3: Drafting andpresentation of International Standards;
• Guide for ITU-T and ISO/IEC JTC 1Cooperation (incorporated by reference inAnnex K of this document);.
• ISO/IEC Guide 26: Justification ofProposals for the Establishment ofStandards.
1.2 General Provisions
These Directives shall be complied with in allrespects and no deviations can be made without theconsent of the Secretaries-General.
These Directives are inspired by the principle thatthe objective in the development of InternationalStandards should be the achievement of consensusbetween those concerned rather than a decisionbased on counting votes.
[Note: Consensus is defined as general agreement,characterized by the absence of sustainedopposition to substantial issues by any importantpart of the concerned interests and by a process thatinvolves seeking to take into account the views ofall parties concerned and to reconcile any conflictingarguments. Consensus need not imply unanimity.]
The working methods pay regard to the principlethat the technical aspects of a committee documentfor an International Standard should not bediscussed at more than two levels within JTC 1.
In view of the dynamic nature of IT standardization,as part of the process of maintenance of itsprocedures, ISO/IEC JTC 1 develops Supplementsto the Procedures for the technical work of ISO/IECJTC 1 . Formal Supplements may be publishedbetween editions to cover major new or modifiedprocedures agreed by JTC 1 for either normal use ortrial use for a specified period of time.Supplements are published by ISO/IEC and areavailable from the ISO/IEC Information TechnologyTask Force (ITTF). They may be incorporated intosubsequent editions of the Procedures for thetechnical work of ISO/IEC JTC 1 on InformationTechnology.
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These Directives are expected to be published on anominal twenty-seven (27) month cycle to align withthree Plenary meetings of JTC 1. The JTC 1Secretariat is responsible for the ongoingmaintenance of these Directives.
2 Organization
2.1 Establishment, Title and Scope
2.1.1 JTC 1 was established by unanimousagreement of IEC and ISO Councils on therecommendation of the Joint TechnicalProgramming Committee (JTPC) encompassed inDecision JTPC 24 (January, 1987).
Per JTC 1 Paris Resolution 8 and JTC 1 N 4473.2.1.2 The title of JTC 1 is "Information Technology"and its scope is "International Sstandardization inthe field of information technology". JTC 1 mayrequest a modification of its title or scope, or both.The ISO Technical Management Board and the IECCommittee of Action (TMB/CA) shall decide on suchmodifications.
2.1.3 Information Technology includes thespecification, design and development of systemsand tools dealing with the capture, representation,processing, security, transfer, interchange,presentation, management, organization, storageand retrieval of information.
2.2 General
2.2.1 The work is undertaken by JTC 1 subsidiarybodies, i.e., subcommittees (SC), working groups(WG), other working groups (OWG), the SpecialGroup on Functional Standardization (SGFS) andspecial working groups (SWG), subject to theauthority of JTC 1, acting under the generalauthority of the IEC and ISO Councils. The work isplanned and coordinated by JTC 1 with theassistance of the Chairman and Secretariat.
2.2.2 The primary duty of JTC 1 is the preparationand review of ISs. This work is carried out by themembers of JTC 1 and its subsidiary bodies incollaboration, when appropriate, with other ISO andIEC Technical Committees (TC) and with otherorganizations.
2.2.3 JTC 1 and its subsidiary bodies shall take intoconsideration any contribution supplied by theNational Bodies (NB) and, when relevant, by otherorganizations, and also the work of other ISO andIEC TCs dealing with related subjects.
2.2.4 JTC 1 and its subsidiary bodies shall ensurethat all necessary aspects of a subject are dealt with(as described in the programme of work) and thatduplication of or conflict with the work of other ISOand IEC TCs is avoided.
2.2.5 JTC 1 and its subsidiary bodies shall payparticular attention to the results of the work of ISOand IEC Policy Development Committees andCommittees on General Standardization Principles.
2.3 JTC 1 Organizations
2.3.1 JTC 1
2.3.1.1 Responsibilities
JTC 1 plenary meetings direct the JTC 1 Chairmanand Secretariat in the coordination of SC activities,in the preparation and monitoring of the overallprogramme of work and meeting schedules, and inthe discussion and resolution of inter-subcommitteeproblems and issues.
Issues of concern for JTC 1 plenary meetingsinclude, but are not restricted to:
• assigning responsibilities, e.g., areas ofwork, of SCs;
• coordinating meeting schedules andconsolidating work schedules;
Editor’s Note: The following is added in view of JTC 1N 4478
• Reviewing the business plans of JTC 1 andits SCs;
• identifying interdependencies amongproposed areas of work, problems insequencing target dates and priorities indevelopments; identifying or establishingmeans to ensure that SCs withinterdependent areas of work understandeach other's missions, objectives, andtechnical plans;
• identifying means to ensure theestablishment of liaison among:
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• SCs of JTC 1;
• JTC 1 or its SCs with other TCs orSCs of ISO and IEC;
• JTC 1 or its SCs with relatedinternational groups such as theInternational TelecommunicationsTelecommunication Union -TelecommunicationsTelecommunication StandardizationSector (ITU-T);
• identifying areas where new work might berequired for consistency or for completenessof the JTC 1 programme;
• identifying and discussing technical issuesor problems which affect more than one SCand developing proposals for theirresolution;
• developing procedures addressing commonSC non-technical issues, e.g., proceduresfor maintenance of standards requiring rapidamendment;
• appointing SC/SGFS Chairmen andSecretariats.
2.3.1.2 Membership
There are three types of membership in JTC 1 (see3., Membership Categories and Obligations):
• Participating membership (P-member)having power of vote and defined duties;
• Observing membership (O-member) havingno power of vote, but options to attendmeetings, make contributions and receivedocuments;
• Liaison membership having no power ofvote, and some options to attend meetingsand receive documents. Of the categoriesdefined for liaison membership (see3.3.4.2), two are permitted at the JTC 1level, A and B.
No member may concurrently hold more than onetype of membership in JTC 1 or any of its SCs.However, a member may hold one type of
membership in JTC 1 and any of its SCs andanother type of membership in other JTC 1 SCs.
Application for membership in any category (or forchange in membership category) shall be made tothe JTC 1 Secretariat, with a copy to the ITTF.
Editor’s Note: The Procedures Group added the following totake account of the concept of Technical Directions andmaterial in JTC 1 N 5016
2.3.1.3 Technical Directions
JTC 1 Technical Directions identify a synergisticgrouping of work and are of strategic marketrelevance. . They are not organizational entities;they are a conceptual tool used to identify specificareas of importance for both standardizers andusers. JTC 1 defines Technical Directions andmay create, redefine or eliminate them as externalcircumstances demand. National Bodies and SCsmay propose new Technical Directions or changesto the title or description of existing TechnicalDirections. The work relevant to each TechnicalDirection is accomplished within one or more WGsor SCs. When multiple JTC 1 subgroups are doingwork that falls under a common TechnicalDirection, dialogue is encouraged between them.
2.3.2 JTC 1 Special Working Groups(SWG)
JTC 1 may, at its discretion, establish SWGs toassist it in the performance of its responsibilities.Such SWGs have specific responsibilities andoperate on a continuing basis until dissolved byJTC 1. JTC 1 SWGs operate under the auspices ofJTC 1. The membership in SWGs of JTC 1 is opento all P-members of JTC 1 and any others specifiedby JTC 1 for each SWG.
Per JTC 1 Ottawa Resolution 212.3.2.1 SWG-Registration Authorities(SWG-RA)
2.3.2.1.1 SWG-RA is established to carry out areview for each type of registration in order to avoidinconsistencies within JTC 1 and to assure theinternational integrity of the registration. In addition,the SWG-RA shall consider the suitability of anyorganization(s) proposed for JTC 1 RegistrationAuthorities (see 2.7.2).
2.3.2.1.2 In addition to being open to JTC 1P-members, SWG-RA members shall include a
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representative of the SC requesting the JTC 1Registration Authority.
When reviewing a specific nomination of anorganization for JTC 1 Registration Authority, themeeting of the SWG-RA shall also be attended by:
• a representative of the NB or category Aliaison nominating the JTC 1 RegistrationAuthority candidate
• a representative of the candidate JTC 1Registration Authority
Per JTC 1 Ottawa Resolution 32.3.2.2 SWG-Conformity Assessment(SWG-CA)
2.3.2.2.1 SWG-CA is established with the followingterms of reference:
• To advise and make recommendations tothe JTC 1 Plenary meeting concerningJTC 1's conformity assessment role;
• To advise and make recommendations tothe JTC 1 Plenary meeting concerning theassignment of specific conformityassessment responsibilities to JTC 1subsidiary bodies;
[Note: When making its recommendations,it is expected that SWG-CA will makemaximum use of JTC 1 technical subsidiarybodies to carry out the technical portion ofJTC 1 conformity assessment work.]
• To provide a coordinating function, includingthe ability to initiate, by mutual agreement,the establishment, under a specificSubcommittee, of a Joint Working Group(JWG) with terms of reference proposed bySWG-CA, to undertake a specificconformity assessment activity of interest tomultiple JTC 1 subsidiary bodies;
• To carry out its activity in cooperation withother groups, both internal and external toJTC 1, in particular ITU-T and the ISOCommittee on Conformity Assessment(ISO/CASCO).
2.3.2.2.2 Membership in SWG-CA shall be open toall P-members of JTC 1, and liaison with SWG-CAshall be open to Category A liaison organizations,
Category B liaison organizations and specificallyinvited Category S liaison organizations.
Per JTC 1 Ottawa Resolution 302.3.3 JTC 1 Rapporteur For StrategicPlanning
2.3.3.1 JTC 1 shall appoint a JTC 1 StrategicPlanning Rapporteur. As appropriate, and as part ofthe overall strategic planning function of JTC 1,there shall be a planning function within each SC ofJTC 1 to maintain a plan for the future direction ofits programme within its area of work.
2.3.3.2 P-members of JTC 1 may appoint StrategicPlanning Rapporteurs for JTC 1 activities. JTC 1NB Strategic Planning Rapporteurs serve as focalpoints within their NBs.
2.3.3.3 The JTC 1 Strategic Planning Rapporteur isresponsible for:
• reviewing and updating the JTC 1 StrategicPlan in concert with NB and SC StrategicPlanning Rapporteurs;
• collating and distributing informationrelevant to strategic planning issues to andfrom JTC 1 NB Strategic PlanningRapporteurs, and, where applicable, SCStrategic Planning Rapporteurs;
• corresponding with and calling meetings ofJTC 1 NB Strategic Planning Rapporteurs,and other specialists as appropriate, inresponse to specific direction from JTC 1.
Editor’s Note: The following clause covers the topic ofrapporteur groups. In general, each RG is not named in theDirectives since this necessitates a change to the Directiveseach time JTC 1 creates or disbands an RG. However, theRG-RA and RG-CAI are named below since there arereferences to them in other Directives clauses. The detailsare based on the U.S. contribution in JTC 1 N 5146.
2.3.3 JTC 1 Rapporteur Groups (RGs)
JTC 1 may, at its discretion, establish RGs withdefined membership to carry out certainresponsibilities. Among these shall be a RapporteurGroup on Registration Authorities (RG-RA) and aRapporteur Group on Conformity Assessment andInteroperability (RG-CAI).
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2.3.3.1 Purpose of a Rapporteur Group.
A JTC 1 Rapporteur Group is established to adviseJTC 1 on specific issues or areas as outlined in itsTerms of Reference. Other types of activities suchas writing standards or technical development mustbe authorized by JTC 1 in the Terms of Referenceof the Rapporteur Group, or in response to aspecific request by the Rapporteur Group. Unlessauthorized, a Rapporteur Group may not issueLetter Ballots for JTC 1 or submit New Work Itemproposals. Once established by resolution of JTC 1,a Rapporteur Group must be reconfirmed at eachsubsequent JTC 1 plenary meeting or it ceases toexist.
2.3.3.2 Membership and Participation
2.3.3.2.1 Membership in a Rapporteur Group is byNational Bodies as nominated by those bodies inresponse to a call for members issued by the JTC 1Secretariat. A National Body may have more thanone member on a Rapporteur Group. If desired,JTC 1 may authorize participation by certain JTC 1subgroups.
2.3.3.2.2 Observers are permitted at the discretionof the Rapporteur.
2.3.3.2.3 Liaisons between a Rapporteur Group anda non-JTC 1 entity can be established with theapproval of JTC 1 or by JTC 1 establishing a directliaison between itself and that body and directing theliaison to function as a member of the RapporteurGroup.
2.4 Subcommittees (SC)
2.4.1 Establishment
2.4.1.1 JTC 1 may establish SCs charged with thestudy of particular parts of the programme of workof JTC 1. SCs shall be consecutively numberedbeginning with 1, and shall have the referenceJTC 1/SC .... (where the dots stand for the SCnumber). If an SC is dissolved, its number shall notbe allocated to another SC.
2.4.1.2 An SC shall comprise at least fiveP-members. If active participating membership fallsbelow five, a formal (ballot) review shall take placeon the need for and viability of the SC. JTC 1decides on the dissolution of its SCs.
2.4.1.3 No maximum size is mandated for an SCprovided that its scope is well defined, there iscoherence in its work programme, and there is aneffective internal coordination structure whichensures efficiency and productivity.
2.4.2 Title, Scope And Responsibilities
2.4.2.1 The title, scope and programme of work ofthe SCs are determined by JTC 1. An SC maypropose changes to its title or scope which shall besubmitted to JTC 1 for approval. Any proposedchange to the programme of work shall be approvedby JTC 1 before the SC begins active developmentof a new item. (This does not preclude study ofpotential items in accordance with 6.2.1.3 and6.2.3).
2.4.2.2 An SC shall have a single, descriptive, andself-explanatory title. The scope is a statementprecisely defining the limits of the work of the SCwithin the scope of JTC 1. The scope shall bedrafted as concisely as possible so as to eliminateall superfluous phraseology. Responsibilities whichare automatically assigned to the SC such as"development of standardization requirements" and"creation of new work item proposals", shall not bereferred to in the scope . The definition of the scopeshould begin with the words "Standardization of ..."or "Standardization in the field of ...". Should it benecessary to specify that certain questions areoutside the scope of the SC, these questions shouldbe listed at the end of the definition and beintroduced by the word "Excluded: ...."
Editor’s Note: The following is added in view of JTC 1N 4478
2.4.2.3 Each SC shall develop and maintain abusiness plan for internal use and for reporting toJTC 1 on its programme of work.
2.4.3 Membership
2.4.3.1 Membership of SCs is divided into the samethree categories as for JTC 1: P-member,O-member and liaison member. P- orO-membership of an SC is open only to P- andO-members of JTC 1. When an NB desiresO-membership in JTC 1, but is in a position tocontribute to the work of an SC, P-membership inthe SC may be granted without altering theO-member status in JTC 1.
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Per JTC 1 Ottawa Plenary Resolution 24 and JTC 1 N 5012There are four three categories of liaisonmembership at the SC level, A, B, and C and S (see3.3.4.2). Internal organizations, (e.g., other SCs orother ISO/ or IEC TCs, see 3.3.3) may alsoparticipate in SC meetings. All participants at eachSC meeting must be authorized by their NB orappropriate liaison organization.
2.4.3.2 Members of JTC 1 shall be given theopportunity at the time of the establishment of anSC to advise of their intention of becoming P- orO-members of the SC. They may subsequentlybegin or end their membership in the SC or changetheir membership category by notifying theSecretariat of the SC, the Secretariat of JTC 1, andthe ITTF of the change intended. P- orO-membership in JTC 1 does not automaticallyconfer membership in its SCs.
2.4.3.3 Obligations of P-members of SCs aredefined in 3.1.
2.4.4 SC Advisory Groups (AG)
SCs may establish AGs where appropriate to carryout tasks concerning coordination, planning andsteering of its work or other specific tasks of anadvisory nature. In establishing AGs, the followingcriteria shall be met:
• Membership shall be open to all P-membersof the SC.
• Liaisons may participate at a meeting byinvitation.
• An AG may only make recommendationsfor decision by the parent SC.
• Agendas for AG meetings shall bedistributed to all P-members of the SC.
Per JTC 1 Ottawa Resolution 242.5 Special Group on FunctionalStandardization (SGFS)
2.5.1 JTC 1 has established a SGFS as part of itspermanent structure. SGFS shall operate under andreport directly to JTC 1. Its modes of operation areessentially those of an SC and in all matters SGFSwill have the same relationship with JTC 1 as anSC. The operating procedures for SGFS arecontained in Annex D.
2.5.2 SGFS is charged with the processing ofproposed functional standards (or profiles),submitted by organizations which develop them, forpossible adoption by JTC 1 as ISPs
2.5.3 The membership of SGFS shall be open to allP- and O- members of JTC 1 who wish to have P-or O- membership in SGFS. External organizationsmay establish A, B or S-liaisons (see 3.3.4.2) withSGFS. SGFS may establish WGs and OWGs, andmembership of such groups is open to nominationby P-members and liaison categories A and S ofSGFS. Internal organizations, (e.g., other SCs orother ISO/IEC TCs, see 3.3.3) may also participatein SGFS meetings. All participants at each SGFSmeeting must be authorized by their NB orappropriate liaison organization.
2.6 2.5 Working Group Organizations
2.6.1 2.5.1 Working Groups (WG)
2.6.1.1 2.5.1.1 Where necessary to expeditedevelopment of one or more approved work items, aWG may be established by JTC 1, SGFS or by oneof its SCs. Additional projects may be assigned,where appropriate, to existing WGs.
Per JTC 1 Ottawa Plenary Resolution 24 and JTC 1 N 50122.6.1.2 2.5.1.2 Only NBs that are P-members of theparent body and organizations in liaison Category A,and Category C and, in the case of specific projectsrelated to functional standards, Category S, maynominate experts as members of a WG. Internalorganizations, (e.g., other SCs or other ISO/ or IECTCs, see 3.3.3) may also participate in WGmeetings. All participants at each WG meetingmust be authorized by their NB or appropriateliaison organization.
2.6.1.3 2.5.1.3 WG members shall, wheneverpossible, make contributions in tune with theirrespective NB positions and shall keep their NBsinformed of their verbal and written contributions toWGs. WG members shall indicate whether viewsexpressed reflect NB positions or personal opinions.WGs shall distribute and consider documented NBpositions, individual contributions, and liaisoncontributions relevant to work items entrusted to theWG.
2.6.1.4 2.5.1.4 Parent bodies shall periodicallyreview the performance of their WGs against thefollowing criteria:
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• Are the work items progressing inaccordance with established target dates?
• Are the experts nominated by the NBswhich agreed to participate in thedevelopment of the work item(s) continuingto participate in the work by attendance atmeetings or submission of contributions, orboth? If not, the nominating NB shall beinformed by the Secretariat of thecommittee concerned or WG Convener andasked to take corrective action. Where nowritten explanation is provided, and expertsfail to attend meetings or to participatethrough written contributions, the Secretariatof the committee concerned or WGConvener may remove the member fromthe membership and mailing lists and notifythe NB, or may ask the NB to takecorrective action.
2.6.2 2.5.2 Other Working Groups(OWG)
2.6.2.1 2.5.2.1 JTC 1, SGFS, SCs and WGs mayestablish OWGs to undertake specific tasksbetween meetings of the establishing body. Thesetasks shall be defined at a meeting of theestablishing body. The provisions of thesedirectives which apply to WGs apply to OWGs aswell, except as otherwise noted in the terms ofreference of the OWG (see 2.5.2.3). Since theprovisions of 7.5.2 and 7.6.1 impose minimum leadtimes between meetings, advanced planning of suchmeetings is particularly necessary if work is to becompleted before the next meeting of theestablishing body.
2.6.2.2 2.5.2.2 Participation in these OWGs neednot be restricted to the delegates present at themeeting during which the group is established.However, the Convener should preferably beselected from among the attendees.
2.6.2.3 2.5.2.3 When established, the terms ofreference of each OWG shall be defined by theestablishing body taking into account:
• a definition of the task to be completed bythe group;
• the time frame in which the task is to becompleted;
• the membership of the group;
• the designation of the group's convener;
• appropriate provisions for the administrativesupport of the group;
• meeting arrangements for the first meetingof the group.
2.6.2.4 2.5.2.4 If continuation of the OWG isrequired, it shall be reestablished at each meeting ofthe establishing body.
2.6.2.5 2.5.2.5 The following are examples ofOWGs:
• Ad hoc group• Subgroup Rapporteur group• Drafting group• Editing group• Ballot resolution group
2.6.2.6 2.5.2.6 JTC 1, SGFS or SCs may establishediting groups to ensure the best possible editorialpresentation of drafts in conformity with ISO/IECDirectives, Part 3. An editing group works under theresponsibility of the Secretariat of JTC 1, SGFS orthe SC that established it and provides direction tothe Project Editor (see 5.65.7).
2.6.3 2.5.3 Joint Working Groups (JWG)
In special cases, JTC 1 may authorizeestablishment of a JWG to undertake a specific taskin which more than one SC is strongly interested.For administrative purposes the JWG shall beplaced under one of the parent committees,nominated by mutual agreement. JWGs may alsobe established with other ISO and IEC TCs. JWGsshall follow the procedures defined for WGs.
2.6.4 2.5.4 Collaborative RelationshipWith ITU-T
2.6.4.1 2.5.4.1 Two modes of collaboration withITU-T are defined in "Guide for ITU-T and ISO/IECJTC 1 Cooperation" (which is incorporated byreference as Annex K of these directives):collaborative interchange and collaborative team(CT). A JTC 1 SC, in agreement with thecorresponding ITU-T Study Group, may establisheither of these two modes of collaboration asappropriate. In the case of collaborativeinterchange (see Annex K, 7.1) the terms ofreference shall take into account:
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• The scope of the effort as it relates to eachorganization's programme of work (ITU-TQuestion and JTC 1 project). Wherepossible, it should include identification ofthe Recommendation(s) and InternationalStandard(s) that are to be developedcollaboratively;
• Any start-up provisions to accommodatework in progress.
In the case of collaborative team (see Annex K,8.1), the terms of reference shall take into account:
• The scope of the effort as it relates to eachorganizations' programme of work (ITU-TQuestion and JTC 1 project). Wherepossible, it should include identification ofthe Recommendation(s) and InternationalStandard(s) that are to be developedcollaboratively;
• The parent body in each organization towhich the CT is to directly report (i.e., ITU-TStudy Group or Working Party (SG or WP)and JTC 1 SC or WG);
• Any reporting or tracking provisions beyondthose specified in Annex K, 8.7;
• Any start-up provisions to accommodatework in progress.
2.6.4.2 2.5.4.2 Procedures for the operation of thetwo modes of collaboration are defined in Annex K.These procedures deal primarily with thesynchronization of approval actions by JTC 1 andITU-T and are intended to supplement, not modifyJTC 1 approval requirements.
2.6.4.3 2.5.4.3 A JTC 1 SC may terminate acollaborative interchange or collaborative teammode of collaboration after consultation with thecorresponding ITU-T Study Group.
2.7 2.6 Other Organizational Entities
2.7.1 2.6.1 Workshops
There is occasionally a topic for discussion whichcrosses multiple SCs and which cannot be handledby normal SC to SC liaison. Workshops mayprovide useful vehicles for discussion of such topics,provided that their use is limited. Since Workshops
are considered extraordinary events, theirestablishment shall require approval by JTC 1subject to the following conditions.
• The need for the Workshop shall beendorsed by all concerned SCs.
• Relevant meeting calendars shall beconsulted prior to determining dates forWorkshops and adequate time shall begiven to allow experts to make appropriatearrangements.
• The Workshop shall have an identifiedsponsor, Convener and Secretariat.
• The Workshop shall be self-supporting andany additional ongoing administrativeburdens shall be covered in a financial planwhich shall be submitted to the JTC 1 forreview and, at the discretion of the JTC 1Secretariat, for JTC 1 approval.
• Each occurrence of a Workshop shall beapproved by JTC 1.
• All recommendations from the Workshopshall be processed by the concerned SCsbefore any action can take place on therecommendations. The final disposition ofrecommendations impacting more than oneSC shall be reported to JTC 1.
• Participation in Workshops shall be open toexperts from all NBs and liaison membersof the concerned SCs and others that maybe identified before the Workshop isapproved.
2.7.2 2.6.2 JTC 1 RegistrationAuthorities
In cases where the implementation of an IS requiresthe designation of a registration authority, the rulesin Annex E shall be applied. The following rulesshall apply to JTC 1 Registration Authorities(organizations which perform registration functionsat the international level for JTC 1)
2.7.2.1 2.6.2.1 Appointment
The following procedure shall be followed to obtainappointment of an organization as a JTC 1Registration Authority:
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Editor’s Note: SCs added to the following bullet to beconsistent with the wording of JTC 1 Ottawa Resolution 21,first point, fifth paragraph.
• Only NBs, SCs and Category A liaisons maynominate organizations to be JTC 1Registration Authorities.
• Such nominations shall be subject toendorsement by ballot or plenary resolutionof the SC responsible for the technicalstandard.
Per JTC 1 Ottawa Resolution 21, first point.• The SWG-RA RG-RA shall consider those
nominations receiving endorsement andprovide a recommendation to JTC 1. Inreviewing a specific proposal for anorganization to serve as a JTC 1Registration Authority, the following mayparticipate in the RG-RA review:
• a representative of the NB, SC orcategory A liaison nominating theJTC 1 Registration Authority, and
• a representative of the proposed
JTC 1 Registration Authorityorganization.
• Upon favorable vote, JTC 1 shall submit thenomination to the ITTF for appointment bythe ISO/ and IEC Councils.
2.7.2.2 2.6.2.2 Qualifications
To qualify for designation as a JTC 1 RegistrationAuthority an organization shall demonstrate that:
• it is a legal entity;
• it has been in existence for no less than fiveyears;
• it enjoys a sound financial structure;
• it has employees who are technicallycompetent in the relevant subject of thestandard at issue;
• it agrees to function in its capacity as aJTC 1 Registration Authority for a minimumof ten years;
• it has sufficient equipment resources (e.g.,hardware, software) and communicationfacilities (e.g., postal street address,telephone, telex, facsimile, email);
The following responsibility transfers to the RG-RA;• if it operates with a fee structure, this
structure shall be for the purpose of costrecovery, and agreed withby the SWG-RARG-RA and approved by ISO and IECCouncils;
• it shall require no financial contribution fromISO/ or IEC Central Secretariats or theirmembers.
2.7.2.3 2.6.2.3 Contract
If appointed, the JTC 1 Registration Authority shalloperate under contract with the ITTF. Upon twelve-months notice, either the JTC 1 RegistrationAuthority or the ITTF may terminate the contract.
2.7.2.4 2.6.2.4 Duties
The JTC 1 Registration Authority is responsible forregistering objects in accordance with these rulesand both the technical standard and its associatedprocedure standard.
It shall:
• receive applications;
• review applications;
• assign names when the relevant criteria aremet;
• inform the applicant of the result of JTC 1Registration Authority actions;
• process updates of information associatedwith previously registered names;
• inform requesting parties of the results ofupdates;
• maintain an accurate register;
• follow procedures for publication of aregister if such publication is specified in theprocedure standard;
• safeguard any confidential information;
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• handle all aspects of the registrationprocess in accordance with good businesspractice;
• provide an annual summary report onactivities to the responsible SC, JTC 1 andITTF;
• adhere to the procedure for appeals;
• handle all business in English;
• produce practice and tutorial documentswhen applicable;
• indicate (e.g., on stationery) that it has beendesignated a JTC 1 Registration Authorityby ISO/IEC.
2.7.3 2.6.3 JTC 1 Maintenance Agencies
(See ISO/IEC Directives - Part 1: Procedures forthe technical work, Annex M)
3 Membership Categories andObligations
3.1 Participating Membership
P-members within JTC 1 shall be NBs that areMember Bodies of ISO or National Committees ofIEC, or both. Only one NB per country is eligible formembership in JTC 1. P-members have power ofvote and defined duties.
3.1.1 P-members of JTC 1 and its SCs have anobligation to take an active part in the work of JTC 1or the SC and to attend meetings. P-members ofJTC 1 and its SCs have an obligation to voteapproval, disapproval, or declared abstention withinthe time limits laid down on all questions submittedfor voting (unless 3.1.2 applies) within JTC 1 or theSC. P-members of JTC 1 have an obligation tovote on FDISs prepared by JTC 1 or its SCs as wellas those DISs distributed for fast-track processing.
3.1.2 A P-member may have an interest in the fieldof JTC 1 without having interest or competence inall of the work items which may be dealt with. Insuch an instance, a P-member may inform theJTC 1 Secretariat, the SC Secretariat and the ITTFat the beginning of the work, or at a later stage, thatit will abstain from participation in discussion or
voting on specific items. Such a position,established and recorded by JTC 1, shall entitle theP-member to be absent from meetings and toabstain from voting on the relevant FDISs.
3.1.3 The JTC 1 or SC Secretariat shall notify theSecretaries-General if a P-member of JTC 1 or theSC has been persistently inactive (unless theconditions of 3.1.2. apply) and has failed to make acontribution to two consecutive plenary meetings ofJTC 1 or the SC concerned, either by directparticipation, by correspondence or by a proxyvoting arrangement as provided for in 7.7.7, or hasfailed to vote on questions submitted for votingwithin JTC 1 or the SC. Upon receipt of suchnotification, the Secretaries-General shall remindthe NB of its obligation to take an active part in thework of the committee. In the absence of anacceptable response to this reminder, the membershall automatically have its status changed to that ofO-member. An NB having its status so changedmay, after a period of twelve months, be reinstatedto P-member status on request.
3.2 Observing Membership
Any NB that is a Member Body of ISO or NationalCommittee of IEC, or both, may elect to be anO-member within JTC 1. Correspondent membersof ISO are also eligible to be O-members of JTC 1.O-members have no power of vote, but haveoptions to attend meetings, make contributions andreceive documents. O-members of JTC 1 or itsSCs may be requested (at not less than triennialintervals) by the relevant Secretariat to confirmwhether or not they wish to retain their membershipstatus in that committee.
3.3 Liaison Membership
3.3.1 General
3.3.1.1 Establishment of liaison should be initiatedby a written liaison statement from the requesterand confirmed by the receiver. A liaison statementshould include:
• identification of the requester
• reason for liaison
• type of liaison
• category of liaison (for external liaison)
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• identification of liaison representative(mandatory for technical liaison)
3.3.1.2 Liaison membership has no power of vote,but has some options to attend meetings andreceive documents. Liaison members of JTC 1 orits SCs may be requested (at not less than triennialintervals) by the relevant Secretariat to confirmwhether or not they wish to retain their membershipstatus in that committee.
3.3.1.3 It is emphasized that in order to beeffective, liaison shall operate in both directions,and committee Secretariats should ensure thatreciprocal arrangements are made by thoseorganizations that are liaison members of JTC 1, itsSCs, SWGs or SGFS.
3.3.1.4 JTC 1 should seek the full (and, if possible,formal) backing of the main organizations in liaisonfor each IS, TR or ISP in which the latter areinterested.
3.3.2 Types of Liaison
The following types of liaison apply to both internaland external liaison:
3.3.2.1 Technical liaison
A technical liaison is a specific technical workingrelationship between JTC 1, its SCs or WGs andanother organization to accomplish a specifictechnical coordination purpose. For a technicalliaison, an official liaison representative must beappointed by JTC 1 or an SC. The liaisonrepresentative(s) is responsible for attending themeetings of the outside organization and forpreparing written liaison reports in a timely manner:
• from the parent body to the outsideorganization
• to the parent body following attendance atthe meeting of the outside organization.
All pertinent documentation shall be exchangedbetween the two organizations (see 8.3).
3.3.2.2 Formal liaison
Formal liaison is a formal exchange of documentsbetween two organizations for the purpose ofkeeping each other informed of their work.
3.3.3 Internal Liaison
3.3.3.1 Liaison within JTC 1
3.3.3.1.1 SCs working in related fields shallestablish and maintain liaison.
3.3.3.1.2 The establishment, termination andmaintenance of such liaison is the responsibility ofthe respective SC Secretariats.
3.3.3.1.3 An SC may designate liaisonrepresentatives to follow the work of another SC orseveral of its WGs. Notice of the designation ofsuch representatives shall be given to theSecretariat of the SC concerned, which shall furnishall relevant documents to the representative(s) or tothe Secretariat of that SC, or both (see 8.3).
3.3.3.1.4 Such representatives shall have the rightto participate in the meetings of the SC or WGwhose work they have been designated to follow butshall not have the right to vote. They maycontribute to the discussion in meetings, includingthe submission of written contributions, on matterswithin the competence of their own SC.
3.3.3.2 Liaison with other ISO and IECTechnical Committees
3.3.3.2.1 Arrangements for adequate liaisonbetween JTC 1 and TCs or SCs of ISO and IEC areessential. The JTC 1 and SC Secretariats areresponsible for the establishment and termination ofliaison between their committees and other TCs orSCs of ISO and IEC, but shall inform the ITTF. Asfar as the study of new subjects is concerned, theITTF seeks the agreement of all interested parties inISO and IEC so that the work will go forward withoutoverlap or duplication of effort.
3.3.3.2.2 Liaison representatives designated byJTC 1 or one of its SCs or other ISO or IECcommittees shall have the right to participate in thediscussions of the committee whose work they havebeen designated to follow and may submit writtencontributions. They shall not have the right to vote.
3.3.4 External Liaison
3.3.4.1 General
3.3.4.1.1 The desirability of liaison between JTC 1and its SCs and international or broadly based
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regional organizations and specialized organizationsworking or interested in similar or related fieldsshould be taken into account at an early stage of thework.
3.3.4.1.2 The Secretaries-General are responsiblefor establishing and terminating the appropriateliaisons with other organizations in consultation withthe Secretariat of JTC 1 or SCs concerned.
3.3.4.1.3 Within JTC 1 there are four categories ofliaison membership. There are two categories ofliaison membership at the JTC 1 plenary grouplevel.
3.3.4.2 Liaison Categories
Per JTC 1 Ottawa Plenary Resolution 24 and JTC 1 N 5012Classification of liaison organizations shall beestablished separately for JTC 1, and for each of itsSCs, and for SGFS, and is recorded at the ITTF.Four Three categories of liaison with externalorganizations have been established:
Category A
Organizations which make an effective contributionto and participate actively in the work of JTC 1 or itsSCs for most of the questions dealt with by thecommittee.
• If an organization requesting Category Aliaison does not currently have Category Aliaison with JTC 1, the request will beforwarded to the JTC 1 Secretariat by theITTF, along with appropriate documentation(i.e., information about the requester and itsinterest in the work of JTC 1). In the case ofliaison with an SC, the JTC 1 Secretariat willask the appropriate SC Secretariat for arecommendation on the establishment ofthe proposed liaison. The JTC 1 Secretariatwill forward the request (and the SCSecretariat recommendation in the case ofliaison with a subcommittee) to JTC 1 forapproval either by letter ballot or by a voteat a meeting.
• If a requesting organization currently hasCategory A liaison with JTC 1, a request forestablishing a new liaison will be forwardedby the ITTF to the Secretariat of thecommittee with which liaison is sought,along with the documentation mentionedabove. The Secretariat will forward the
request to the committee for approval eitherby letter ballot or by vote at a meeting. TheJTC 1 Secretariat shall be copied on allcorrespondence.
Category B
Organizations which have indicated a wish to bekept informed of the work of JTC 1 or any of itsSCs.
Category C
Organizations which make an effective technicalcontribution and participate actively at the WG orproject level of JTC 1 or its SCs.
• Category C liaisons are proposed by JTC 1to the ITTF after receiving arecommendation from the appropriateJTC 1 subsidiary body, i.e., an SC (or WGreporting directly to JTC 1).
• Each request for liaison status forwarded toJTC 1 from an appropriate JTC 1 subsidiarybody must contain a statement of expectedbenefits and responsibilities accepted byboth the JTC 1 organization and theorganization requesting liaison status.
• The liaison group must agree to pay anymeeting and documentation expenses thatother participants are required to pay.
• The JTC 1 subsidiary body shall review theliaison activity on a two-year cycle to ensurethat the liaison group is, in fact, activelyparticipating and there is appropriate NBparticipation. The result of this review shallbe forwarded to ITTF for further action.
• The ITTF must reaffirm the liaison status ofthe organization if there is continuedevidence of active participation in the workof the WG or project and appropriate NBparticipation exists.
If a request for liaison is considered by JTC 1 in thefirst instance, and category C liaison is thought to beapplicable, JTC 1 may request the appropriateJTC 1 subsidiary body or bodies to consider therequest and apply the above procedure.
Per JTC 1 Ottawa Plenary Resolution 24 and JTC 1 N 5012Category S
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Specialized organizations involved in the work offunctional standardization. Category S liaisonapplies to SGFS. It also applies to SCs withinJTC 1 for specific projects related to functionalstandardization, at the request of SCs and bymutual agreement between the SC and thespecialized organization. Category S liaison withSGFS is a prerequisite for participation in JTC 1SCs.
3.3.4.3 Liaison with ITU-T
Each SC shall approve a comprehensive listing ofits representatives authorized to conduct liaison onbehalf of the SC (indeed, on behalf of JTC 1 andISO/IEC in the area delegated to that SC). Thosewho deal with ITU-T shall be responsible for liaisonon one or more specific Study Groups andQuestions. In regard to those activities, the SCliaison representative speaks for ISO and IEC.
All contributions to ITU-T should be subject to ITU-TResolution 1Recommendations A.1 and A.2, andother ITU-T requirements as may be imposed.Specifically,
• each contribution should identify which, ifany, prior contributions it supersedes;
• each contribution should be addressed toonly one Study Group. However, otherStudy Groups which may be interested inthe contribution may also be identified.
[Note: In addition to liaison between JTC 1 andITU-T, two methods for collaboration on work ofmutual interest are defined (see 2.6.4 2.5.4 andAnnex K, particularly Clause 4, Modes ofCooperation.)]
3.3.4.4 Liaison Coordinator
If an external liaison organization deals with morethan one SC, a coordination officer shall beidentified by JTC 1. The task of this officer is toreceive all contributions going to this external liaisonto ensure coherence of the JTC 1 position. If thecoordination officer detects any contradictions, thecoordination officer is responsible for reporting thisto the JTC 1 Chairman and the ITTF. It is the JTC 1Chairman's duty to coordinate the position with theSC Chairmen involved.
3.4 Coordination
3.4.1 General
3.4.1.1 With the great number of ISO and IECtechnical bodies engaged in the preparation ofInternational Standards, coordination is essential inorder to avoid difficulties and harmful effects on thetechnical work of ISO and IEC.
3.4.1.2 The JTC 1 and SC Secretariats shall makeevery effort to encourage their members to considerISO, IEC and JTC 1 as a whole and the interests ofother TCs working in related fields, and to avoid therisk of the committee working in isolation.
3.4.1.3 To facilitate coordination at the internationallevel, members of the relevant committees shouldtake all possible steps to achieve coordination at thenational level, so as to reach a single national view-point before taking firm positions in the separateinternational discussions.
3.4.2 Responsibilities for Coordination
3.4.2.1 The primary responsibility for achievinggood coordination both within JTC 1 and with thework of other TCs resides with the committeeSecretariats. The JTC 1 Secretariat (with theassistance of the JTC 1 Chairman and the ITTF)shall make every effort to ensure coordination of thework of JTC 1 and its SCs with the other ISO andIEC TCs.
3.4.2.2 The ITTF is responsible for overallcoordination of the technical work of ISO and IEC inthe field of information technology and for providingany assistance in its power which the JTC 1Secretariat may request for the solution of aparticular problem. The ITTF may, if necessary,request the assistance of the TMB/CA.
3.4.2.3 The Secretariats of JTC 1 and its SCs shallkeep their P-members informed of current orpotential problems of coordination of work and,where appropriate, request their assistance,including possible actions that could be taken at thenational level, in finding solutions to these problems.
3.4.3 Procedure for Coordination andResolution of Difficulties
3.4.3.1 The JTC 1 Secretariat shall, in cooperationwith the JTC 1 Chairman, ensure that liaisons are
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established and maintained with other TCs and SCsworking in related fields (see also 3.3.2 and 3.3.3).The practical operation of these liaisons includesexchange of relevant documents (e.g., NPs andproposed drafts for standards at their earliest stage),exchange of liaison representatives at meetings andappointment of liaison officers if needed. Specialattention of the technical body liaison should bedrawn to specific matters or particular documents onwhich its agreement or opinion is required.Secretariats of the technical bodies in liaison shallmaintain day-to-day contacts in important cases andmay arrange ad hoc meetings.
3.4.3.2 In all cases of unsatisfactory coordination,contradictions or discrepancies, the Secretariatsconcerned shall, in consultation as appropriate withthe committee Chairmen and the ITTF, make everyattempt to resolve the difficulty. The Secretaries-General may, if necessary, call an ad hoc meetingof the interests directly involved.
3.4.3.3 In cases where the procedures indicatedabove fail to resolve the difficulties, the Secretaries-General may refer the matter to the TMB/CA fordecision after obtaining, if required, the opinion ofan advisory body. If necessary the TMB/CA maymake recommendations on the subject to Councils.
Per JTC 1 N 4523:3.4.3.4 There may be a few exceptional caseswhere the problem concerning some differences,real or apparent, may remain unresolved in spite ofall efforts. In all such cases, the Secretariatrequiring that such a difference be maintained in aDIS an FCD shall submit a full report of all theattempts made to remove the difference, giving thejustification for the final decision, as part of thefinalexplanatory report (see 12.7.4.112.6.3.9).
3.4.4 Basic or Coordinating Standards
3.4.4.1 In addition to the standards of TCs workingin related fields, JTC 1 should comply with basic orcoordinating standards and pay attention to suchother standards of ISO and IEC which affect theirwork. It is the duty of the JTC 1 and SCSecretariats to bring the contents of the relevantstandards to the notice of members of JTC 1, SCsand WGs. Coordinating standards for specific fieldsshall be identified and furnished to the technicalbodies concerned.
3.4.4.2 Attention should similarly be drawn to ISOand IEC policies concerning standards for referencematerials required for end products.
4 Administration
4.1 Information Technology Task Force(ITTF)
4.1.1 The ITTF is responsible for the day-to-dayplanning and coordination of the technical work ofJTC 1 relative to IEC and ISO, and supervises theapplication of the ISO and IEC Statutes and Rulesof Procedure. The ITTF shall satisfy itself thatparticular investigations are followed up and that thetime limits are complied with. To be in a position tokeep Councils and NBs informed as to the technicalwork envisaged, in progress and completed, theITTF must always be fully informed regarding thework of JTC 1.
4.1.2 The ITTF shall advise the JTC 1 Secretariatsand Secretaries on any point of procedure, assist inthe technical coordination and harmonization ofwork and in seeking solutions to any problems whichhave not been resolved between JTC 1 and otherTCs of ISO and IEC directly. If necessary, the ITTFmay convene ad hoc technical coordinationmeetings.
4.1.3 The Secretaries General endeavour to sendtheir representative to meetings of JTC 1 when anew Secretariat is appointed, and to any meetingswhere such presence is desirable for solvingproblems, but the ITTF cannot assist theSecretariat, on a permanent or semi-permanentbasis, in carrying out its duties.
Per JTC 1 N 45234.1.4 The ITTF performs the following tasks withrespect to ISs:
• registration of CDs and, if necessary,advising on titles;
• checking and editing of DISs FCDs (units,equivalence of English and French versions,drawings, tables, etc.);
Editor’s Note: Wording in N 4523 modified below since ITTFdoes not distribute FCDs (as stated in N 4523) but onlynotifies and makes FCDs available upon request.
• photocopying and distribution notification ofavailability of DISs FCDs to NBs for
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approval and to organizations in liaison forinformation and comments;
• distribution of FDISs and DISs to NBs forapproval and to organizations in liaison forinformation and comments;
• administering the voting of NBs on FDISsand DISs;
• communicating the voting results andrelated comments to the appropriateSecretariats (see 12.7.2.2);
• advising JTC 1 NBs of the acceptance ofrevised texts ofFDISs and DISs forpublication, and distribution of the finalreport (see 12.7.4.412.7.2.3);
• printing, distribution and sale of ISs.
In addition the ITTF has certain other specificduties:
• maintaining up-to-date records showing theparticipation categories (P- and O-) of NBsin JTC 1 and each SC;
• maintaining up-to-date records of theliaisons established for JTC 1 and each SC;
• coordinating the meetings of JTC 1 and SCsrelative to other ISO and IEC TCs;
• convening meetings of JTC 1 and SCs;
• dealing with questions concerning relationswith organizations (invitations to meetingsof JTC 1 and its SCs, ISO or IEC technicalrepresentation to meetings of suchorganizations, establishment of newliaisons, etc.);
• maintaining up-to-date records showingproject information and NB memberships.
4.2 JTC 1 Administration
4.2.1 Allocation of the JTC 1 Secretariat
4.2.1.1 The TMB/CA appoint the Secretariat ofJTC 1 from among their JTC 1 P-members. TheTMB/CA decide on the transfer of the Secretariat ofJTC 1 from one NB to another.
4.2.1.2 An NB (P-member) may offer to undertakethe Secretariat of JTC 1. Before doing so, the NBshall have investigated its national situation andsatisfied itself that adequate resources exist to carryout the responsibility involved (see Annex A) withoutundue delay in the processing of JTC 1 work.
4.2.1.3 If an NB wishes to relinquish the Secretariatof JTC 1, the NB shall immediately inform the ITTF,giving a minimum of twelve months' notice.
4.2.1.4 If the Secretariat of JTC 1 persistently failsto comply with the requirements of these directives,the Secretaries-General or an NB may have thematter placed before the TMB/CA who may reviewthe allocation of the Secretariat with a view torecommending its transfer to another NB.
4.2.2 Responsibilities and Duties of theJTC 1 Secretariat
4.2.2.1 The JTC 1 Secretariat is responsible to theCouncils and to the members of JTC 1 for all theactivities of JTC 1, including its subsidiary bodies.The JTC 1 Secretariat shall work in closecooperation with the Chairman of JTC 1.
4.2.2.2 The JTC 1 Secretariat shall act in allrespects as an international Secretariat and shall notbe influenced by national considerations in thepursuit of its work. Working as Secretariat, a NBshall maintain strict neutrality and distinguishsharply between proposals it makes as a NB andproposals made in its capacity as Secretariat.
4.2.2.3 The JTC 1 Secretariat shall maintain andprovide the ITTF with up-to-date records of themembership of JTC 1, its SCs and WGs andliaisons with other TCs and organizations.
4.2.3 JTC 1 Special Working GroupAdministration
With the exception of the SWG-RA, tThe allocationof a JTC 1 SWG Secretariat shall be in accordancewith the provisions of 4.3.1 for SC Secretariats. TheJTC 1 Secretariat shall serve as the Secretariat ofthe SWG-RA due to the need for the JTC 1Secretariat to work very closely with this group. Theresponsibilities of a JTC 1 SWG Secretariat shall bein accordance with 4.3.2.1 and 4.3.2.2.
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Note: The following is based on the U.S. contribution inJTC 1 N 5146
4.2.4 JTC 1 Rapporteur GroupAdministration
The Rapporteur appointed by JTC 1 is responsiblefor administration of the Rapporteur Group, e.g.distribution of internal documents, establishmentand administration of web sites, meetingarrangements and other administrative support.
4.3 Subcommittee Administration
4.3.1 Allocation of SC Secretariats
4.3.1.1 The Secretariat of an SC is appointed byJTC 1 from among the P-members of that SC. If noNB acceptable to JTC 1 is willing to undertake theSecretariat responsibilities, the SC shall bedisbanded. Before indicating a willingness toundertake SC Secretariat responsibilities, the NBshall have investigated its national situation andsatisfied itself that adequate resources exist to carryout the responsibility involved (see Annex A) withoutundue delay in the processing of the work.
4.3.1.2 In the case of a new SC, an enquiry is madeby the JTC 1 Secretariat to obtain offers forundertaking the Secretariat of the new SC. If two ormore P-members offer to undertake the Secretariatof the same SC and maintain their candidacy inspite of other offers, JTC 1 decides on theappointment of the SC Secretariat.
4.3.1.3 If an NB wishes to relinquish the Secretariatof an SC, the NB shall immediately inform theSecretariat of JTC 1 giving a minimum of twelvemonths' notice.
4.3.1.4 If the Secretariat of an SC persistently failsto comply with the requirements of these directives,or for any other reason, JTC 1 may, by a majorityvote of the P-members, decide to reallocate theSecretariat to another NB. In this case, an enquiryis made by the JTC 1 Secretariat to obtain offersfrom other P-members of the SC to undertake theSecretariat. If two or more P-members offer toundertake the Secretariat of the same SC, JTC 1decides on the reallocation of the SC Secretariat.
4.3.1.5 The procedure for reallocation is the sameas that set out in 4.3.1.1 and 4.3.1.2.
4.3.2 Duties of an SC Secretariat
4.3.2.1 The SC Secretariat is responsible to JTC 1and to the members of the SC for all the activities ofthe SC, including its subsidiary bodies. It shall workin close cooperation with the JTC 1 Secretariat. Inparticular, for the maintenance of lists of membersand liaisons, the Secretariats of SCs shall ensurethat the JTC 1 Secretariat receives the necessaryinformation.
4.3.2.2 The SC Secretariat shall act in all respectsas an international Secretariat and shall not beinfluenced by national considerations in the pursuitof its work. Working as Secretariat, an NB shallmaintain strict neutrality and distinguish sharplybetween proposals it makes as an NB and proposalsmade in its capacity as Secretariat.
4.3.2.3 The SC Secretariat shall work in closecooperation with the SC Chairman appointed byJTC 1, if any.
4.4 Working Group Administration
4.4.1 Allocation of WG AdministrationResponsibilities
4.4.1.1 The parent body shall assign responsibilityfor the administration of a WG to a Convener, ifnecessary supported by a Secretariat. AnySecretariat shall be either an NB or an organizationendorsed by the NB. The NB must confirm inwriting its consent to the arrangement before it canbe effected.
4.4.1.2 The ITTF and JTC 1 shall be informed ofany such arrangements and be advised of thename, address, telephone, and faxfacsimile, andtelex numbers, and email address of the person(s)responsible for the administration of the WG.
4.4.2 Administrative Responsibilities forWGs
The administrative responsibilities include:
• maintenance of a document distribution list;
• maintenance of lists of members andliaisons - the Conveners or Secretariats ofWGs shall ensure that the JTC 1 Secretariatreceives the necessary information;
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• maintenance of a document register;
• preparations for the WG meetings inconsultation with the hosts;
• timely distribution of documents;
• preparation and distribution of meetingagendas in accordance with the guidelinesof 7.6.1;
• preparation of meeting reports which shallinclude the following:
• list of attendees, including their nominatingorganization (NB or liaison organization )and employer;
• actions taken relative to assigned projects;
• problems and issues highlighted;
• target date updates;
• resolutions;
• forwarding the meeting report andresolutions to the parent body Secretariatfor distribution to the parent body for actionas appropriate;
• maintenance of progress reports (includesupdates to JTC 1 database).
4.5 Non-Permanent OrganizationalEntity Administration
Administrative arrangements for non-permanentorganizational entities (e.g., OWGs, workshops)should be defined by the establishing group at thetime each organizational entity is created. Suchadministrative arrangements should take intoaccount the nature of the organizational entity andshould generally align with the requirements definedin 4.4 for WGs.
4.6 Responsibility For Keeping Records
4.6.1 The responsibility for keeping recordsconcerning JTC 1 work and the background to thepublication of ISs is divided between the JTC 1Secretariat and the ITTF. The maintenance of suchrecords is of particular importance in the context ofany possible future changes of Secretariatresponsibility from one NB to another. It is also
important that information on key decisions andimportant correspondence pertaining to thepreparation of ISs or TRs should be readilyretrievable in the event of any dispute arising out ofthe provenance of the technical content of thepublications.
4.6.2 The Secretariats of JTC 1 and its SCs shallestablish and maintain records of all officialtransactions concerning their committees, inparticular reference copies of approved minutes ofmeetings and resolutions. Copies of workingdocuments, results of letter ballots, etc., shall bekept at least until such time as the publications towhich they refer have been revised or havecompleted their next periodic review, but in anycase for a minimum of five years after thepublication of the related ISs or TRs.
4.6.3 The ITTF shall keep reference copies of allISs, TRs, etc., including withdrawn editions, andshall keep up-to-date records of NB votes in respectof these publications. Copies of final FCDs, FDISsand DISs issued for NB voting, final reports andfinal proofs shall be kept at least until such time asthe publications to which they refer have beenrevised or have completed their next periodicreview, but in any case for a minimum of five yearsafter publication.
5 Officers
5.1 JTC 1 Chairman
5.1.1 Appointment and Term of Office
A candidate for the Chairmanship of JTC 1 shall beevaluated on the basis of the individual's abilitiesand resources to perform the job effectively. TheChairman shall be nominated by the JTC 1Secretariat and appointed by JTC 1 at its plenarymeeting, subject to approval by ISO/ and IECCouncils. The individual shall serve for a nominalterm of three years ending at the next JTC 1 plenarysession following the three year term. TheChairman may be reappointed, normally for oneadditional three year term. Exceptionally, aChairman's term may be extended due to specialcircumstances.
5.1.2 Responsibilities
5.1.2.1 The Chairman of JTC 1 is responsible forconducting each meeting with a view to reaching
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agreement on the progression of items in itsprogramme of work. In carrying out the duties of theoffice, the Chairman shall act in a purelyinternational capacity, divested of any national pointof view. Thus, a Chairman cannot serveconcurrently as a delegate of an NB.
5.1.2.2 The Chairman of JTC 1 shall be capable ofworking in at least one of the official ISO/IEClanguages (see 7.9.1).
5.1.2.3 The JTC 1 Chairman shall guide the JTC 1Secretariat in carrying out its duties, including thatof advising Councils on matters relating to JTC 1.The Chairman may also meet with appropriate SCChairmen to review important issues.
5.2 JTC 1 SWG Conveners
The Convener of a JTC 1 SWG shall be nominatedby the Secretariat of the SWG subject toendorsement by the individual's NB, and appointedby JTC 1. The Convener shall serve for a nominalterm of three years ending at the next JTC 1 plenarysession following the three-year term. TheConvener may be reappointed, normally for oneadditional three year term. Exceptionally, aConvener's term may be extended due to specialcircumstances.
Note: The following is based on the U.S. contribution inJTC 1 N 5146
5.3 JTC 1 Rapporteurs
5.3.1 The Rapporteur is appointed by JTC 1 at thetime the Rapporteur Group is established, subject toendorsement by the individual’s NB. A Rapporteurmay represent his or her National Body if he or sheis the only member on the Rapporteur Group fromthat National Body.
5.3.2 The rapporteur shall report periodically toJTC 1 on the progress of the RG.
5.35.4 SC Chairmen
5.35.4.1 Appointment and Term ofOffice of a Subcommittee Chairman
5.35.4.1.1 The Chairman of an SC shall benominated by the Secretariat of the SC subject toendorsement by the individual's NB, endorsed bythe SC, and appointed by JTC 1 at its plenary
meeting. The Chairman shall serve for a nominalterm of three years ending at the next SC plenarysession following the three year term. TheChairman may be reappointed, normally for oneadditional three year term. Exceptionally, aChairman's term may be extended due to specialcircumstances.
5.35.4.1.2 If a meeting of an SC is held at a timewhen that SC does not have an appointedChairman, or if the appointed Chairman is notpresent at a meeting of the SC, then the Secretariatshall nominate an Acting Chairman for the meeting,whose appointment shall be subject to endorsementby the P-members present at the meeting.
5.35.4.2 Responsibilities of aSubcommittee Chairman
5.35.4.2.1 The Chairman of a JTC 1 SC isresponsible for conducting each meeting with a viewto reaching agreement on the progression of itemsin its programme of work. In carrying out the dutiesof the office, the Chairman shall act in a purelyinternational capacity, divested of any national pointof view. Thus, a Chairman cannot serveconcurrently as a delegate of an NB.
5.35.4.2.2 An SC Chairman shall assist the SCSecretariat in reporting to JTC 1. The Chairmanshall ensure ongoing coordination/liaison betweenthe SC and other relevant SCs and externalorganizations. See also 6.4.
5.35.4.2.3 The Chairman of a JTC 1 SC shall becapable of working in at least one of the officialISO/IEC languages (see 7.9.1).
5.45.5 WG Conveners
WG Conveners shall be selected and appointed bythe parent body in accordance with the followingprocedures:
• The Convener selected, if possible, shouldbe an active member of the parent bodyand have experience in the operation ofJTC 1 and its SCs and WGs. Where anexperienced individual is not chosen, it isthe responsibility of the Convener's NB tobe sure that the Convener is briefed andeducated on all the necessary proceduresgoverning JTC 1 operations.
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• Before appointment or reappointment, thenomination of a Convener shall be endorsedby the Convener's NB and the NB shallconfirm to the parent body, with a copy toJTC 1, if JTC 1 is not the parent body, thatthe nominee has the necessary resourcesand administrative support to carry out theresponsibilities assigned to a Convener.
• All WG Convenerships shall be for nominalthree year terms ending at the next plenarysession of the parent body following thethree year term. The Convener may bereappointed for additional three year terms.
The Secretariat of the parent body shall notify theJTC 1 Secretariat and the ITTF of the names andaddresses of appointed Conveners. The Conveneris responsible for reporting to the parent body on theprogress of the work items assigned to the WG.
The Convener of a WG is responsible for the properconduct of the work, where practicable with the helpof a Secretary, under the authority of a P-member ofthe parent body. The Convener shall reportperiodically to the parent body on the progress ofthe WG.
5.55.6 Non-Permanent OrganizationalEntity Officers
Conveners of non-permanent organizational entities(e.g., OWGs and Workshops) shall be selected andappointed by the establishing body subject toendorsement by the individual's NB in accordancewith the following procedures:
• The Convener selected, if possible, shouldbe an active member of the establishingbody and have experience in the operationof JTC 1 and its SCs and WGs. Where anexperienced individual is not chosen, it isthe responsibility of the Convener's NB tobe sure that the Convener is briefed andeducated on all the necessary proceduresgoverning JTC 1 operations.
• The Convener shall be familiar with theissue(s) that are referred to theorganizational entity being created and shallhave participated in the establishing bodydiscussions which led to the creation of thegroup if possible.
5.65.7 Project Editors
5.65.7.1 A Project Editor should be identified asearly as possible for each standard or otherdocument under development. The Project Editor isappointed by the SC and shall follow the editinginstructions given by the working body.
Per JTC 1 N 4523 (with editing)5.65.7.2 It is the responsibility of the Project Editorto maintain the document throughout the stages oftechnical work, i.e., until publication. The ProjectEditor shall ensure that the Foreword of the final textof the standard indicates the JTC 1 SC responsiblefor the standard.
5.65.7.3 After publication, the Project Editor shouldmaintain an updated document incorporating allapproved CORs and AMDs so that a revision maybe published with minimum delay when appropriate(see 14.5.4). The Foreword of the revision shall listall AMDs and CORs incorporated therein.
6 Programme of Work
6.1 Overall Programme of Work
6.1.1 Within the overall strategic business plan (see2.3.3), JTC 1 shall establish and maintain aprogramme of work. The programme of work, whichmust be within the scope agreed by the Councils,shall consist of a detailed list of all work items underdevelopment and for study. The selection of itemsshall be subject to close scrutiny in accordance withthe policy objectives and resources of ISO/IEC andshould be governed by economic, social andtechnical considerations (see ISO Guide 26 ISO/IECDirectives, Part 1, Annex Q).
6.1.2 Each item in the programme of work shall begiven a project number and shall be retained in theprogramme of work under that project number untilthe work on that item is completed or its deletionhas been agreed upon. A work item may besubdivided, or two or more work items merged, if itis subsequently found necessary, and new projectnumbers, related to the original(s) issued.
6.1.3 The list of work items shall indicate, whereappropriate, the SC or WG to which each item isallocated.
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Deleted by the Procedures Group as no longer applicable.See 6.4.2.1.
6.1.4 The agreed programme of work of JTC 1 shallbe submitted to the ITTF for approval by theTMB/CA. The programme as approved shall bedistributed by the JTC 1 Secretariat in accordancewith the instructions in 8.3.
6.2 Additions to the Programme of Work
6.2.1 New Work Item Proposals (NP)
6.2.1.1 An NP may be submitted by an NB, JTC 1or one of its SCs, another TC or SC, organizationswith category A-liaison status to JTC 1 , the ITTF,TMB/CA, ISO or IEC Councils, Policy DevelopmentCommittees or Committees on GeneralStandardization Principles, or one or both of theSecretaries-General. Those NPs submitted by otherorganizations in liaison with ISO or IEC will bereferred to JTC 1 for consideration. [Note:Organizations in liaison with JTC 1 subsidiarybodies are expected to work through these bodies.]
The following is added in view of JTC 1 N 4477.6.2.1.2 Any proposal to add a new item to theprogramme of work shall be made using an NP form(see Form 3), obtainable from the ITTF, and shallbe fully justified (see ISO Guide 26 ISO/IECDirectives, Part 1, Annex Q) by the proposer. Thisjustification shall include a non-technical statementof users' functional requirements which need to besatisfied by the NP. The NP form shall beaccompanied by the NP Project Acceptance Criteriaform (see Annex G). In responding to an NP ballot,NBs should comment on the statement of userrequirements and are encouraged to consult widelywithin the user community for input.
The proposer is encouraged to append a workingdraft (WD) or an outline, if available, in order to helpNBs understand the proposal more clearly and toexpedite the subsequent standardization process.
Editor’s note: The following wording addition is intended toavoid situations where NP ballots fail due to lack of sufficientparticipation.
6.2.1.3 It is the responsibility of NBs to review eachNP to ensure proper coordination among standardsdevelopment activities and avoidance of duplicationof efforts. In this regard, NBs should take particularnote of related standardization activities identified inthe proposal and are encouraged to seek input fromthe national counterparts to these organizationswhen developing a position since direct input from
the international organizations identified may or maynot be possible within the time frame of the ballot.Each proposal shall be voted on by letter ballot (seeForm 4), even if it has appeared on the agenda of ameeting. In order to be approved, the proposal shallbe supported by a majority of all P-members ofJTC 1 with at least five P-members of the SC towhich the project will be assigned committed toactive participation (see Form 5). If the NP issubmitted by an SC, the SC should first assure thatat least five of its P-members will participate. Thisdoes not prevent initiation of discussion of technicaldocuments pertaining to a proposed new item,pending approval of the item by NP letter ballot ofthe JTC 1 P-members or the SC approval of a studyperiod. If the result of the JTC 1 NP letter ballot isnegative, discussion of the proposal shall beabandoned.
6.2.1.4 Active participation for NPs includesinvolvement by NBs in more than one of thefollowing:
• attendance at meetings (see also 7.11);
• contributing to the development of the WD;
• performing substantial review on a CD andsubsequent stages;
• submitting detailed comment with ballots.
6.2.1.5 The procedure of distributing Form 3 forvoting is not required in the case of revision of apublished IS. Such revisions should, however, berecorded in JTC 1's programme of work as items atStage 2 (see 12.1) and should have target dates andpriorities assigned as for other work items.
The following additions are in view of JTC 1 N 4477.6.2.1.6 When proposing a new work item, theelements to be clarified are:
•• Title The title should indicate the subjectmatter of the proposed new standard.
•• Scope (and field of application) Thescope should give a clear indication of thecoverage of the proposed new work itemand, if necessary for clarity, exclusions.
•• Purpose and justification Details basedon a critical study of the following elementsshould be given whenever practicable:
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• The specific aims and reason for thestandardization activity, with particularemphasis on the aspects ofstandardization to be covered, theproblems it is expected to solve or thedifficulties it is intended to overcome,and the business requirements for it.
• The main interests that might benefitfrom or be affected by the activity,such as industry, consumers, trade,governments, distributors.
• Feasibility of the activity: Are therefactors that could hinder thesuccessful establishment or generalapplication of the standard(s)?
• Timeliness of the standards to beproduced: Is the technologyreasonably stabilized? If not, howmuch time is likely to be availablebefore advances in technology mayrender the proposed standardsoutdated? Are the proposedstandards required as a basis for thefuture development of the technologyin question?
• Urgency of the activity, consideringthe needs of other fields ororganizations.
• Related work in other areas ofstandardization, includingcommitments for cooperation orcollaboration with organizationsexternal to JTC 1
• The benefits to be gained by theimplementation of the proposedstandards(s); alternatively, the loss ordisadvantage(s) if no standards is areestablished within a reasonable time.Publicly available industry data Datasuch as product volume or value oftrade should be included andquantified.can be useful in this regard,but care should be taken to avoidpresenting or discussing informationwhere such action could be interpretedas violating national competition oranti-trust legislation.
• The status of the technology (mature,anticipatory, etc.).
• If the standardization activity is or islikely to be the subject of regulationsor to require the harmonization ofexisting regulations, this should beindicated.
If a series of new work items is proposed thepurpose and the justification of which iscommon, a common proposal may bedrafted including all elements to be clarifiedand enumerating the titles and scopes ofeach individual item.
•• Programme of work Target date(s)should be indicated and, when a series ofstandards is proposed, priorities should besuggested.
•• Relevant documents Any knownrelevant documents (such as standards andregulations) should be listed, regardless oftheir source. When the proposer considersthat an existing well-established documentmay be acceptable as a standard (with orwithout amendments) this should beindicated with appropriate justification and acopy attached to the proposal.
•• Cooperation and liaison Relevantorganizations or bodies with whichcooperation and liaison should exist, shouldbe listed.
•• Preparatory work The proposer shouldindicate whether he or his organization isprepared to undertake the preparatory workrequired for the new work item.
If the JTC 1 Secretariat finds that an NP is short ofthe above elements, the JTC 1 Secretariat mayrefer the NP back to the proposer to add morecomplete explanations.
6.2.1.7 An NP for a standard which utilizes aFormal Description (FD) shall identify the FormalDescription Technique (FDT) to be used and includeappropriate references. See 10.4. Justificationshall be included for use of an FDT not alreadystandardized or in the process of beingstandardized. If subsequent to the approval of theNP, an SC decides to include an FD, this shall behandled in accordance with this clause, or 6.2.2.1,as applicable.
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6.2.1.8 All proposals for standardizing new FDTsshall be subject to the NP voting procedure. Foracceptance of an NP on an FDT, the followingcriteria shall be met at the time of submission of theNP (see 6.2.1.2):
• the need for the FDT shall be demonstrated;
• evidence that it is based on a significantlydifferent model from that of an existing FDTshall be provided; and
• the usefulness and capabilities of the FDTshall be demonstrated.
6.2.1.9 Where a new JTC 1 Registration Authorityis deemed necessary (see 17.3), the technical groupresponsible for the technical standard shall ifpossible identify this need in the NP together withappropriate justification. If this necessity isrecognized later in the course of the standard'sdevelopment, an NP is required for the companionprocedure standard (see 17.4).
6.2.1.10 Comments received with NP ballotresponses need to be addressed in an appropriatemanner and the NP proposal modified, if necessary,to accommodate the comments. If the commentsdeal with a potential overlap between the proposaland the work of other organizations, representativesof the other organizations should be invited topresent their advice concerning the disposition ofcomments.
6.2.2 Subdivisions
6.2.2.1 To avoid undue delays in authorizingsubdivisions of projects or minor enhancements ofexisting work, where the changes are not outside thescope of the original item, the SC may proceed withsuch work if approved by a vote of its P-members.The change(s), however, must be submitted toJTC 1 for endorsement and, if JTC 1 does notapprove, the work must cease.
6.2.2.2 Following its plenary meeting, an SC shallsubmit to the JTC 1 Secretariat as a singledocument the SC's modified programme of work,including all proposed subdivisions of projects andminor enhancements of existing work, exclusive ofproposals for new work. This document shall bedistributed by the JTC 1 Secretariat to the JTC 1NBs. Unless the JTC 1 Secretariat receivesnotification within 75 days of why a proposed
change should not be approved, the modifiedprogramme of work will be accepted.
6.2.3 New Work Areas
6.2.3.1 Applicability
As a part of measures to improve the overallplanning and management of the JTC 1 workprogramme, it is considered as important that stepsare taken to ensure that the level of preparation ofnew work areas is adequate, and that there isadequate time for study of, and comment on, suchnew work areas by NBs, liaison organizations andother SCs before they are submitted for formalballot. New work areas require the production of aclear plan setting out the technical activity andresource estimates. The new work area proceduresshould be applied when the following two conditionsexist:
• An area of technical activity will require asignificant amount of expertise over anextended period in order to produce therequired standards.
• A requirement exists for two or moreinterrelated work items to produce therequired standards.
6.2.3.2 Procedures
The following provisions should be considered in thepreparation of proposals for new work areas:
6.2.3.2.1 An NP for a new work area should be theoutput of a study period in the SC concerned duringwhich NBs, liaison organizations and other SCs thatmay be concerned have been able to review andcomment on drafts for the NP. The final draftshould be subject to the formal approval of the SCresponsible before submission to JTC 1.
6.2.3.2.2 The study should address:
• the requirements, involving possible userswhere this is relevant;
• the relationships with other work, thetechnical approach and technical feasibilityof the NP, including identification ofreference material on technical issues andinitial material if available;
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• the preparation of a detailed plan of workcovering the timetable, resourcerequirements and resource availability(technical and administrative).
6.2.3.2.3 The timetable should propose a start datefor the work and should have justification in terms ofthe resource requirement and resource availability,time to research, prepare and review text - withadequate allowance for the time to resolveconflicting views.
6.2.3.2.4 The resource availability should be clearlyspecified in terms of:
• Rapporteur;
• Editor(s);
• major contributors (possibly indicating areasof major activity);
• review contributors;
• Secretariat (SC and WG support forConveners).
6.2.3.2.5 The timetable and resource statementsshould show clearly the plans for necessary liaisonsin terms of resources commitment and plans for anynecessary joint meetings.
6.2.3.2.6 JTC 1 shall be notified as soon aspossible if the new work area is of a cross-overnature. A topic is considered a cross-over onewhen:
• it falls within the scope of more than onebody inside JTC 1 or even ISO or IEC, andthese bodies can make valuablecontributions to the achievement of thework.
• the cooperation of several bodies isconsidered essential to obtain a satisfactorycompletion of the work, and therefore, hasto be monitored during the work period.
When JTC 1 is notified that a work area is of across-over nature, it shall decide upon theprogression and allocation of the work.
6.2.3.3 Processing NPs for New WorkAreas
6.2.3.3.1 The NP itself should contain a realisticestimate of the overall workload involved in thedevelopment of the new work area.
6.2.3.3.2 The NP should indicate a proposed startdate for the project if it is approved. This dateshould not simply be the end of the NP ballot period,but should represent a realistic target, based on theworkload and priorities of the SC in which the workwill be carried out.
6.2.3.3.3 SCs should be encouraged to establishclear milestones and then to conduct realistic andregular reviews of their workload, to prioritize theirwork items in order of importance and to suspend ordelete those items that are not being activelypursued.
6.2.3.3.4 NBs, when indicating on the NP ballotform whether they will participate or not in theproject, should base their response on whether theycan support the level of activity described in the NP.
6.3 Target Dates and Priorities
6.3.1 Target dates
Per JTC 1 N 45236.3.1.1 For each item of the programme of work,JTC 1 shall establish target dates for:
• registration of the first CD (and subsequentCDs);
• submission of text for DIS FDIS processing;
• finalization of DIS text for publication;
• publication.
6.3.1.2 The target dates shall be recorded at theITTF; they shall be kept under periodic review byJTC 1 and amended as necessary. Particularattention should be given to target dates which havebeen established on formal request by anintergovernmental organization.
6.3.1.3 It is required that each SC establishpriorities and, based on these priorities, establishtimetables for the target dates for all work itemsassigned to the SC.
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6.3.2 Priorities
6.3.2.1 If the whole programme of work cannot bestudied at the same time, JTC 1 determines inconsultation with each SC to which work itemspriority shall be given.
6.3.2.2 The allocation of priority to a work itemmeans that the said item will receive specialattention in the ISO/IEC procedure for thepreparation of an IS.
6.4 Progress Control and Reporting
6.4.1 Progress Control
6.4.1.1 JTC 1 shall ensure that the plannedprogramme is pursued and that, as far as possible,established target dates are met. Control shall beexercised over each separate work item for eachstage in the procedure. Periodic progress reports toJTC 1 by its subsidiary bodies, and meetingsbetween the Secretariats of JTC 1 and its subsidiarybodies, will assist in controlling the progress.
6.4.1.2 The ITTF shall follow the progress of workin JTC 1 and report periodically to the TMB/CA.
6.4.1.3 Each SC shall review its progress againstthe target dates at regular intervals and amendtarget dates where necessary. Justification shall beprovided to JTC 1 for such amendments and, wheretarget dates have repeatedly not been met, aproposal shall be made to JTC 1 to delete orredefine the work items.
To enable the NBs of JTC 1 to evaluate thesepriorities and target dates against the overall workprogramme of JTC 1, a written report containing theabove information shall be submitted at leastannually by the SC.
The following was deleted by the Procedures Group as nolonger applicable
[Note: A central ITTF on-line database is plannedand JTC 1 intends to maintain readily accessible up-to-date records for access at any time via ITTFservices.]
6.4.1.4 JTC 1 requires SC Chairmen to assumeresponsibility for the management of workprogrammes under their jurisdiction. To this endeach SC Chairman is required to prepare a
management report business plan for inclusion inpart 1 of the report to JTC 1 (see 6.4.2.2).
Editor’s Note: The following is to clarify how progress controlcriteria apply to subdivided projects. (see also 12.5.8)
6.4.1.5 Except for work items having a specificallynotified late start date, if a work item has notprogressed to Stage 3 (see 12.6) by the thirdanniversary of project initiation (NP approval orproject subdivision), the SC shall consider, either byletter ballot or plenary vote, whether the project shallbe retained (giving specific justification) and advisethe JTC 1 Secretariat of the results. If the SC failsto act, then the project shall automatically becanceled by the JTC 1 Secretariat.
6.4.1.6 When the JTC 1 programme of workincludes an item which has not progressed to Stage4 (see 12.7) by the fourth anniversary of theissuance of the first CD, the SC shall consider,either by letter ballot or plenary vote, whether theproject should be retained (giving specificjustification) and advise the JTC 1 Secretariat of theresults. If the SC fails to act, the JTC 1 Secretariatshall submit the item to the P-members of JTC 1 forconfirmation by correspondence. Depending on thenature of the comments received, the Secretariatshall decide whether this work item should beeliminated or should continue to remain on theprogramme of work.
6.4.2 Reporting
6.4.2.1 In light of the requirement for SCs to submitreports to JTC 1 on a periodic basis (see 6.4.2.2),the requirement for preparation of a JTC 1 annualreport to ISO/IEC has been waived by the ITTF.
6.4.2.2 Reports to JTC 1 shall be prepared by theSC Secretariats and Chairmen and shall comprisetwo parts, each separately submitted. Theinformation in Part 1 shall be provided by the SCChairman within four weeks of the conclusion of anSC plenary meeting, and updated prior to eachplenary meeting of JTC 1. Part 2 shall be providedby the SC Secretariat prior to each plenary meetingof JTC 1.
Editor’s Note: In accordance with JTC 1 N 4478, theBusiness Plan replaces the Management Report.
Part 1 shall be a management report and shall:
• evaluate the performance of each SCagainst its target dates;
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• delineate the problem areas;
• identify the actions being taken to addressthe problems;
• provide information about the achievementsof the last reporting period, in particular:
• work items published in the period,
• work items which progressed to thenext stage (see 12.1) in the period;
• identify interrelated projects within theprogramme of work;
• evaluate the effectiveness of liaisons.
Part 1 shall be a Business Plan in accordance withthe template in Annex G.
Part 2 shall be a statistical report and shall:
• contain an up-to-date list of the P- andO-members and liaisons with otherinternational organizations;
• describe the work of the SC and WGs (i.e.,provide SC area of work and WG terms ofreference);
• contain in full the latest version of the SC'sprogramme of work together withinformation as to the development stage ofthe various work items. For all projects thelast available reference document, whetheror not a WD, should be identified;
• provide target dates for appropriate stagesof development (e.g., registration of the firstCD, subsequent CDs and FCDs andsubmission of text for DIS FDISprocessing);
• provide the full name, address, telephone,fax and telex and facsimile numbers andemail address for the SC Chairman andSecretariat, WG Convener(s) andSecretariat(s) and all Project Editors.
7 Meetings
7.1 General
JTC 1 and its subsidiary bodies should work asmuch as possible by correspondence. JTC 1 and itssubsidiary body Secretariats, or Conveners in theabsence of Secretariats, are responsible for allarrangements for their own meetings, assisted bythe host NB.
7.2 Meeting Schedule
7.2.1 The JTC 1 Secretariat should look ahead witha view to drawing up, in consultation with the ITTF,a planned minimum two-year programme ofmeetings of JTC 1 and its SCs which takes accountof the need for progress in the work. Meetings ofJTC 1 shall be convened by the JTC 1 Secretariat atnominal nine-month intervals and shall be ofadequate duration to resolve all agenda items.
7.2.2 SCs are permitted to determine theirscheduling practices (e.g., at twelve- or eighteen-month intervals) wherever possible avoiding conflictof dates with SCs working in related fields. A five-year meeting plan is viewed as a help to NBs inbudgeting. Whenever possible, each meeting shallfix the date of the next meeting. No SC shall meetsimultaneously with a JTC 1 plenary meeting.
In planning meetings, account should be taken ofthe possible advantage of grouping meetings of SCsand WGs dealing with related subjects in order tolimit the burden of attendance at meetings bydelegates who participate in several differentcommittees.
7.2.3 The Convener shall convene meetings of theWG if questions cannot be solved bycorrespondence (see 7.3.6 and 7.5.2).
7.3 Hosting a Meeting
7.3.1 Date and place of meetings shall be subject toan agreement between the host and the Secretariatof the committee concerned or WG Convener. TheJTC 1 Secretariat and the ITTF shall be notified.
7.3.2 NBs may express their wish to act as host fora particular meeting. Such invitations should beaddressed to the committee Secretariat with copiesto the JTC 1 Secretariat and ITTF.
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Following deleted by Procedures Group as unnecessary7.3.3 When an offer is made at a meeting by anational delegation to host a specific meeting, thisoffer shall be confirmed within two months in writingby the NB of the country where the meeting is to beheld. This is intended to eliminate the confusioncaused by arrangements which are made verballywith heads of delegations or experts from theconcerned NB.
7.3.4 Any NB wishing to issue an invitation to JTC 1or one of its subsidiary bodies to hold a meetingwithin its territorial boundaries shall first ascertainthat there are no restrictions imposed by its countryto the entry of representatives of all existingP-members of the committee for the purpose ofattending the meeting. If restrictions exist, suchinformation shall be submitted to the Secretaries-General who, after consultation with the P-membersinvolved, shall determine whether or not themeeting shall be held in the country issuing theinvitation.
7.3.5 The host NB is responsible for providingsecretarial support and services for meetings unlessalternative arrangements have been agreed with theresponsible committee Secretariat.
7.3.6 For WG meetings, the meeting date andvenue shall be subject to an understanding with theSecretariat of the parent body and with the NB ofthe country in which the meeting is held.
7.4 Funding Mechanisms
7.4.1 General
7.4.1.1 Under ISO/IEC policy the practice ofoffering accommodation and meals packages todelegates is acceptable provided that delegateshave the option of making other arrangements and,if they elect to do this, are then not liable for anyother costs as a condition of participation in themeetings. Costs incurred in hosting a meeting ofJTC 1 or one of its subsidiary bodies (e.g., paymentfor meeting rooms, photocopying facilities, etc.)should be borne by the host NB (which, of course,has the option of seeking sponsors to help cover thecosts). An arrangement fee which may include thecost of accommodation, refreshments, meetingrooms, copying facilities and other items directlyincurred in hosting a meeting may be chargedprovided that there is no obligation for delegates touse this arrangement.
7.4.1.2 The following terms and definitions havebeen adopted. It is recommended that they be usedconsistently by hosting organizations whenassessing the need for charging fees and inreporting fees to cover meeting arrangements.
• Lodging cost: covers the delegates personalroom.
• Meal cost: covers normal meals, exclusiveof banquets, receptions, and entertainment.
• Facilities fee: covers expenses associatedwith renting meeting rooms, duplicatingdocuments, translation services, rentingaudio-visual equipment, providing lightrefreshments during the meeting, etc.
• Events fee: covers expenses associatedwith social events such as banquets,receptions, and entertainment that are heldduring the period of the meeting.
7.4.1.3 Because of special package arrangements,terms may be combined but should be explicitlyretained, such as in "lodging and meals costs".("Accommodation" fee has not been used because itcan mean just lodging, or lodging and meals.)
7.4.1.4 Terms like "meeting fee", "registration fee",or "delegates fee" should be avoided in order not tosuggest payment is a requirement for participationor to suggest that paying such a fee in itself entitlesone to participate.
7.4.2 Guidelines
7.4.2.1 The expenses of hosting standardsmeetings should normally be covered by the hostNB, which has the option of seeking sponsors.
7.4.2.2 It is recognized that under exceptionalcircumstances the host NB may not be able toobtain full financial support for the funding of aninternational standards meeting (thesecircumstances might include the size and durationof the meetings, conflicts which do not permit use ofthe host NB's facilities, etc.). Under theseexceptional circumstances fees may be levied todefray expenses not covered by the host NB.
7.4.2.3 The following guidelines are applicable forany JTC 1 group where fees are being levied.
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7.4.2.3.1 Accredited delegates shall be able toattend the JTC 1 meetings without having to pay afee as a condition of participation, although theymay be encouraged to do so.
7.4.2.3.2 If fees are to be levied, communicationshall be made at the time the invitation is extendedand details of the fee structure shall be provided nolater than the circulation of the meetingannouncement (i.e., four months prior to themeeting).
7.4.2.3.3 Fees should be collected and dispersedon a meeting-by-meeting basis by the hostingorganization, with no provisions for maintainingstanding accounts for carrying funds from onemeeting to another or for sharing funds among hostNBs.
7.4.2.3.4 Delegates who choose not to pay lodgingor meal costs or events fees are not entitled to thearrangements provided for by these fees, butdelegates who choose not to pay a facilities feecannot be denied participation, copies, use ofmeeting facilities, etc., associated with this fee.
7.4.2.3.5 Lodging cost, meal cost and the facilitiesfee should be shown separately. However, it isrecognized that it may sometimes be moreadvantageous to offer a package to delegates whichcombines these elements, such as "lodging andmeals costs" or "lodging cost and facilities fee".
7.4.2.3.6 When the facilities fee is separatelyassessed, it may be a fixed amount for meetings ofa few days and should be on a proportional scale forlonger meetings.
7.4.2.3.7 The hosting organization should waive thefacilities fee for liaison participants who are onlypresent during a short period, e.g., to present aliaison report.
7.4.2.3.8 Social events are not a mandatory part ofan international standards meeting. However, if anevent is scheduled and it becomes necessary tocharge an events fee to cover some or all of theexpense, that fee shall always be payableseparately from other fees and at the option of thedelegate.
7.4.2.3.9 Fees collected from participants shouldonly make up the difference between expensesbudgeted and paid by the hosting organization andthe total expenses incurred, (i.e., fees collected
should not result in a profit or reduced commitmentfor the hosting organization). If funds shouldremain, every effort should be made to return theseto the participants, particularly if they are significant.
7.4.2.3.10 An accounting report detailing feescollected and expenses covered by these feesshould be submitted by the host NB to the group'sSecretariat or Convener as appropriate. Theaccounting report should be attached to the meetingreport (which shall be circulated no later than twomonths after the conclusion of the meeting per theJTC 1 Directives). The accounting report should becirculated to the meeting participants, the group'sparent organization and to the JTC 1 Secretariat.Accounting reports are required only when facilitiesand/or events fees are levied.
The accounting report should include:
• Size, duration and average attendance atthe meeting
• Details of fee structure (i.e., fixed orproportional components)
• Fees collected (total amount andpercentage of delegates paying)
• Expenses detailed in accordance with theterminology defined in clause 7.4.1
• Explanation of what was done with surplusfunds should fees collected exceedexpenses
• Hosting organization's general evaluation ofthis funding mechanism. One purpose ofthis accounting report is to serve as input fora JTC 1 review.
7.5 Calling and Canceling Meetings
Editor’s Note: In view of the TMB discussions ondecentralized functions, does JTC 1 wish to take over thefunction of distributing meeting notices from ITTF?
7.5.1 Within the framework of the meeting plan, theITTF issues a calling notice for a JTC 1 or SCplenary meeting on instruction from the Secretariatof the committee concerned when the Secretariatconsiders this necessary for the proper progress ofthe work or whenever a meeting is requested bymore than one third of the P-members (see 7.6.1).A meeting should not be convened unless the
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agenda will include matters of sufficient substanceto justify the attendance of the delegates.
7.5.2 WG Conveners shall convene meetings of theWG if questions cannot be solved bycorrespondence and decisions reached shall beincorporated in resolutions (see 7.10.3). Either theWG Convener or the Secretariat shall issue thecalling notice. The period of notification of ameeting should normally not be less than fourmonths (however, see 7.6.1).
7.5.3 Every effort shall be made to avoidcancellation or postponement of meetings once anagenda has been issued. If circumstances justifythe cancellation of a meeting, the ITTF shall beinformed at the earliest possible moment in order togive adequate notice to all those concerned.
Per JTC 1 N 5211 from the Ad Hoc on Implementing IT7.5.4 The calling notice shall include a declarationby meeting hosts of the IT facilities to be provided(e.g., diskettes, LAN, etc.) together with anyexpectations by committee officers/hosts ofattendees’ IT capabilities.
7.6 Meeting Agenda
Editor’s Note: In view of the TMB discussions ondecentralized functions, does JTC 1 wish to take over thefunction of distributing meeting notices from ITTF?
7.6.1 For JTC 1 and SCs, the draft agenda isprepared by the committee Secretariat and shall besent to the ITTF, whenever possible in both Englishand French, four months in advance of the meeting,and simultaneously to the members of thecommittee. The ITTF shall distribute the formalnotice for the meeting not less than three months inadvance. WG agendas shall be distributed by theConvener or Secretariat (not ITTF) preferably fourmonths, but no less than three months in advance.WG agendas shall be distributed to the members ofthe WG and to the parent body.
7.6.2 Any comments on the agenda or proposals forthe addition of NPs should be sent to the committeeSecretariat by the members not later than twomonths before the meeting. The Secretariatdistributes such comments or proposals immediatelyin order to permit adequate preparation bydelegates.
7.6.3 JTC 1 and SC agendas should be compiledso as to encourage NBs to send a balanced, fulldelegation with the greatest possible ability to
negotiate final agreement on justified points thatarrive late or during the meeting. NBs areresponsible for keeping their delegates fullyinformed and supplied with all meeting documents.Also NBs shall be reminded that contributions shallbe received by the Secretariat two months before ameeting (see 7.8).
7.6.4 Guidelines for Agenda Preparation:
A. Identify the group which is meeting. If theSecretariat of the group is not an NB,identify the name and address of theSecretariat or Convener in case of inquiriesconcerning the meeting.
B. Specify the dates, time and precise locationof the meeting. This shall include the nameof the contact person (including telephone,telex, and faxfacsimile numbers, and emailaddress if available) at the host location inorder to permit documents to be sent.
C. Identify by project number and title thespecific items to be addressed.
D. Identify all relevant documents to bediscussed under each agenda item.
E. Include a separate item for each of thefollowing:
• Opening of the meeting• Roll call of delegates• Election of the Chairman (if
applicable)• Adoption of the agenda• Appointment of the drafting committee
(if applicable)• Report of the Secretariat (if
applicable)• Liaison reports• Review of Business Plans• Review of priorities and target dates• Documents for periodic review (if
applicable)• Work items on which no progress is
being made - Status and action to betaken
• Items for future work• Review of Project Editor and liaison
assignments• Review of recent JTC 1 decisions
affecting the group• Approval of resolutions
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• Subsequent meeting requirements• Any other business
7.7 Participation At Meetings
7.7.1 Only delegates officially nominated by theNBs and the representatives of other TCs andorganizations in liaison may attend meetings. As ageneral policy, any group operating under the aegisof JTC 1 shall not limit the number of authorized NBrepresentatives. Exceptions must be approved byconsensus of the parent committee.
7.7.2 Chairmen of SCs and the SGFS andConveners of SWGs and WGs reporting directly toJTC 1 have the right to attend meetings of JTC 1(and must attend where there are agenda itemsrelevant to their committees) and to participate inthe discussion, but do not have the right to vote.
7.7.3 The Secretaries-General or theirrepresentative shall have the privilege of taking partin all meetings. They shall have no vote.
7.7.4 Each P-member has the right to berepresented at the meeting by one or moredelegates, but has only one vote. O-members andother TCs and organizations in liaison maynominate representatives who have the right toattend meetings and to participate in the discussion,but do not have the right to vote.
7.7.5 Within one month of receipt of the notice of ameeting, P- and O-members shall inform theSecretariat of the committee concerned and the NBacting as host whether they intend to be representedat the meeting, indicating the approximate size oftheir delegation. Each P-, O- and liaison membershall send to the Secretariat of the committeeconcerned and to the NB acting as host, at least onemonth before the opening of the meeting, a listshowing the names and employers of theirrepresentatives and also the name of the head ofdelegation.
7.7.6 A P-member which has given appropriatenotification that it will abstain from participation inspecific work items (see 3.1.2) is entitled to beabsent from meetings related to these work items.
7.7.7 Each P-member should be represented atmeetings whenever possible (see 3.1.1). Whencircumstances prevent such representation, aP-member may arrange for another memberattending the meeting to present its views. In the
course of the meeting, a P-member may informanother P-member of its views on the subject matterof the agenda, with such instruction as it may findnecessary. The committee Secretariat shall benotified of any proxy arrangements in advance ofthe meeting. No P-member may represent morethan one other P-member.
7.7.8 Members unable to attend a meeting maysubmit written statements. Under the appropriateagenda item or items the Secretariat shall makereference to written statements submitted bymembers unable to attend . P-members unable toattend a meeting may express their vote by letter,facsimile, telegram email or proxy (see 9.1.1).
7.7.9 A preliminary list of those participating in themeeting showing names ofdelegates/representatives and their businessaddresses, and indicating the heads of delegation,shall be communicated by the committeeSecretariat to the participants not later than theopening of the meeting. A definitive list shall bedistributed as soon as possible thereafter.
7.8 Meeting Documents
In order for discussions in the JTC 1 plenarymeeting and in SC meetings to reflect as fully aspossible the NB positions and concerns, thereshould be adequate notice of issues to be discussedat meetings and clear guidelines for the submissionof documents for consideration.
The following changes take account of the Australiancontribution in NTC 1 N 4823
7.8.1 Contributions.
• Contributions may be submitted to JTC 1 orits subsidiary bodies by any member, or byany directly reporting subsidiary body ;
• Documents for any JTC 1 or SC meeting,particularly those raising new issues orthose for which a final agreement at themeeting is desired, shall be delivered to theSecretariat in time for them to be posted tothe JTC 1 or SC Web server (asappropriate) four weeks prior to the meeting.The following exceptions are permitted:
• Comments on posted documentsprovided they are received by theSecretariat in a form suitable for
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immediate posting, not later than oneweek prior to the meeting.
• Reports from SCs to JTC 1 where themeeting is held inside the four weekdeadline. Reports should in these casesbe posted not more than two days afterthe end of the SC meeting and onlyreports will be received. Substantivematters arising from such meetingsshall not be considered at the JTC 1meeting, unless agreed by JTC 1. Thisshould be borne in mind when settingdates for SC meetings.
• A proposed document revision from aproject editor, which incorporatescomments received prior to the meetingand which is intended to be developedfurther at the meeting, may be postedup to one week prior to the meeting.
• Contributions which introduce new agendaitems shall be submitted to the Secretariatin time for inclusion in, and distribution with,the revised agenda, i.e., two months prior tothe meeting;
• CDs for discussion at a meeting shall bedistributed not less than three months inadvance of the meeting for which they areintended. Other documents shall reach NBsnot less than two months in advance of themeeting;
• Contributions addressing establishedagenda items may be submitted to theSecretariat for distribution or may bedistributed directly to the members with acopy to the Secretariat, to arrive as soon aspossible before the meeting.
• Any comments on CDs and workingdocuments shall be submitted directly to thecommittee Secretariat sufficiently inadvance of the meeting to permit the latterto duplicate and distribute them and fordelegates to study them prior to the openingof the meeting. Comments not madeavailable as described above may,however, be considered if JTC 1 or asubsidiary body so decides.
• When an NB submits a late contribution, itshould present to the Secretariat prior to themeeting a sufficient number of copiesappropriate for the size of the meeting.
These should be numbered in accordancewith the number issued by the Secretariatprior to distribution. When delegates do notbring sufficient copies of an NB contribution,they should have them copied, at their ownexpense.
• Rules for the referencing and numbering ofworking documents and correspondencerelating to the technical work are given in8.2.
• Where new issues arise which are not ableto be posted to the Web server at least fourweeks prior to the meeting, any decisionmade at the meeting may need to beconfirmed by a NB ballot after the meeting.Such items must be posted to the Web assoon as possible and prior to the meeting sothat they are available to NBs as well asdelegates. Although paper copies may bedistributed at the meeting, arrangementsmust be made to allow delegates to themeeting to obtain electronic copies inaccordance with the JTC 1 policies onelectronic document distribution.
7.8.2 Urgent Business.
Advance distribution of contributions may not bepossible, for example, where new issues are notidentified until it is too late for distribution. Inaddition, discussion at a meeting may identify newissues needing immediate action. JTC 1 or itssubsidiary bodies may, at the discretion of theChairman or Convener and members present,consider working documents distributed in less thanthe prescribed advance period.
7.9 Languages
7.9.1 The languages of JTC 1 are English, Frenchand Russian. In general, the work of JTC 1 and itssubsidiary bodies may be in any one or more of theabove-mentioned languages. However, meetingsare conducted in any one of these. The Chairmanor Convener is entitled to authorize participants tospeak in a language other than that in which themeeting is conducted. The NB for the RussianFederation provides all interpretation and translationinto or from the Russian language into or fromanother official language.
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7.9.2 When at a meeting of JTC 1 or one of itssubsidiary bodies a participant wishes, in view ofexceptional circumstances, to speak in any otherlanguage, the Chairman or Convener of the sessionshall be entitled to authorize this, for the sessiononly, provided that a means of interpretation hasbeen secured.
7.10 Meeting Resolutions and Reports
7.10.1 Resolutions adopted at meetings arenormally limited to matters directly concerned withthe conduct of the work or the approval ofdocuments. The resolutions should be numberedconsecutively and identified either by reference tothe meeting or to the year. When the draftresolutions can be prepared in more than one of theofficial languages before voting, then:
• the language of the original resolution shallbe identified;
• approval of the resolution shall take place inthe original language version, and thosecountries reading the other languageversion shall verify that the other languageversion is identical.
[Note: Preparation of two (or more) languageversions can aid in clarification of the text.]
7.10.2 Where practical, by the end of each day of ameeting (session) of JTC 1 or its subsidiary bodies,the Secretariat or Convener, normally with the aid ofan ad hoc drafting committee, prepares drafts forthe complete text of the resolutions consideredduring the day for their formal adoption at the end ofthe meeting. At the end of the meeting, allresolutions shall be available in written form. Whenthe text of the approved resolution is available inmore than one of the official languages, publicationshall be made in each available language.
7.10.3 No meeting of JTC 1 or any of its subsidiarybodies shall be adjourned before all resolutionsconsidered during the meeting have been presentedin writing and formally acted upon so as to ensureaccurate recording of the decisions taken. Theseresolutions shall be distributed to the committeemembership as soon as possible after the meeting.
7.10.4 After the meeting, the committee Secretariator Convener shall prepare a report of the meetingcomprising a list of delegates, a reference to thesessions held (including those of ad hoc groups), a
summary of the discussions and, as a discrete andimportant document, the complete text of theresolutions adopted during the meeting. This shallbe sent within two months to the members and otherbodies represented at the meeting.
7.10.5 The report of the meeting and theresolutions shall be distributed as set out in 8.3.
7.11 Electronic Meetings
7.11.1 Use of Voice Teleconferencing
JTC 1, having considered the topic of voiceteleconferencing, does not endorse the regular useof voice teleconferencing as a means of conductingwork. However, JTC 1 recognizes that in certainspecial circumstances the use of voiceteleconferencing may be viable. In these specificinstances the following criteria shall apply:
• Use should be limited to OWGs such as adhoc groups, rapporteur groups, editinggroups, and other such groups establishedto undertake specific tasks. Properevaluation shall be given to:
a) time zone differences for meetingparticipants;
b) the diversity of the participants'meeting language skills and thepossible importance of visual contact;
c) difficulty in managing a teleconferencemeeting of more than a small numberof participants; and
d) possible requirement for alternatemeeting arrangements (e.g., seebelow).
• Unanimous consent of the interestedparticipants shall be required (includinginterested participants not present when themeeting was proposed).
• Participants should have some recourse,e.g., postponement of the meeting, if accessto teleconference facilities is unexpectedlyunavailable at the scheduled time or if thequality of the communication link isobjectionable.
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• Participants should have some recourse,e.g., postponement of agenda items, ifposted documents are not available to themon the same basis as all other participants.
• Use shall not lessen document distributionand meeting reporting requirements.
Editor’s note: The following changes are in view of the workof the Ad Hoc on Implementing IT that has been approved byJTC 1
7.11.2 Use of Electronic Messaging
7.11.2.1 JTC 1, recognizing the requirement thatcommittees work as much as possible bycorrespondence, endorses the use of electronicmessaging as a very useful tool in internationalcommunication. However, JTC 1 recognizes that,because required technology may not be commonlyavailable for widespread implementation withinJTC 1, only trial operations are possible at this time.
7.11.2.2 JTC 1 and encourages broader use ofelectronic messaging within its committees.,especially as availability of the technology andexposure to electronic messaging increases.
7.11.2.3 In those instances where electronicmessaging is a viable means of conductingbusiness, the following criteria shall apply:
• Consensus of the interested participants(including interested participants not presentwhen the use of electronic messaging wasproposed) shall be required whendetermining the document interchangestandards or specifications to be used.
• The Convener or Secretariat, asappropriate, shall give special attention to,and be responsible for, ensuring thatelectronic messages that are formalcontributions, significant project documents,etc. are properly identified (i.e., assignedunique document number), distributed to themembership, and archived.
• The Convener or Secretariat, asappropriate, shall be responsible forensuring that participants without electronicmessage system access receive informationon a timely basis, e.g., through the use offacsimile distribution, express mail, etc.
• The Convener or Secretariat, asappropriate, shall ensure that properdocumentation of consensus approval ismaintained.
• Any documents submitted for balloting, aswell as meeting notices and agendas,document registers, voting summaries anddisposition of comments reports, shall alsobe distributed in printed form in accordancewith the requirements of these Directives.
Editor’s Note: The following assumes that full implementationof the JTC 1 web policy will be in effect when theseDirectives are adopted
7.11.3 Electronic Document Distribution
Document distribution within JTC 1 shall be done tothe maximum extent possible using the World WideWeb. The details of this policy are contained inAnnex H.
8 Document Types, Numbering andDistribution Requirements
8.1 Document Types
The following types of documents are produced byJTC 1. Further details can be found in clauses 12-16. See also Annex B.
8.1.1 International Standards
The following terms shall be used for successivedocuments drawn up on a single subject. .
• New Work Item Proposal (NP), see proposalstage, 6.2.1.
• Working Draft (WD), see preparatory stage,12.1; 12.5.
• Committee Draft (CD/FCD), see committeestage, 12.1; 12.6.
• Draft International Standard (DIS/FDIS), seeapproval stage, 12.1; 12.7.
• International Standard (IS), see publicationstage, 12.1; 12.8.
8.1.2 Technical Reports
The following terms, when applicable, shall be usedfor successive documents drawn up on a singlesubject. See 15.3.
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• New Work Item Proposal (NP)• Working Draft (WD)• Proposed Draft Technical Report (PDTR)• Draft Technical Report (DTR)• Technical Report (TR)
There are three types of Technical Reports (see15.2).
8.1.3 International Standardized Profiles
The following terms shall be used for successivedocuments drawn up on a single subject. See 16.
Editor’s Note: NP and WD have been added here since ISPprocessing is to be identical with IS processing.
• New Work Item Proposal (NP)• Working Draft (WD)• Proposed Draft International Standardized
Profile (PDISP/FPDISP)• Draft International Standardized Profile
(DISP/FDISP)• International Standardized Profile (ISP)
8.1.4 Amendments
The following terms, when applicable, shall be usedfor successive documents drawn up on a singlesubject. See 14.5.
• New Work Item Proposal (NP)• Working Draft (WD)• Proposed Draft Amendment
(PDAM/FPDAM)• Draft Amendment (DAM/FDAM)• Amendment (AMD)
8.1.5 Corrigenda
The following terms shall be used for successivedocuments drawn up on a single subject.
• Defect Report (DR), see 14.4.5.• Draft Technical Corrigendum (DCOR), see
14.4.9.4.• Technical Corrigendum (COR), see 14.4.2.
8.2 Rules for Numbering of JTC 1Working Documents
[Note: Working documents might or might not alsobe CD/FCD or FDIS texts and, therefore, can haveboth a CD number and a document number.]
8.2.1 Each document relating to the work of JTC 1,its SCs or its WGs which is distributed, shall bear atthe top right-hand corner of the first page areference number made up according to the rulesset out below. Further, the first page of thedocument shall bear, immediately under thereference number, the date, written in accordancewith ISO 8601 (CCYY-MM-DD), on which thedocument was compiled.
8.2.2 A reference number used for a certainworking document shall not be used again for adocument with differing wording, different contents,or both (e.g., "N 346 Revised" is not permitted). If adocument replaces an earlier one, the newdocument shall bear, on the first page, immediatelyunder its reference number, the referencenumber(s) of the document(s) it replaces (e.g.,"Replaces N 346").
8.2.3 The reference number is made up of twoparts separated by the letter N:
• JTC 1 and, when applicable, the SC or WGto which the working document belongs;
• an overall serial number.
Thus, for a working document pertaining to JTC 1,the reference number is made up as follows:
ISO/IEC JTC 1 N nDate
and for a working document pertaining to an SC, itis made up as follows:
ISO/IEC JTC 1/SC a N nDate
where a stands for the number of the SC and n forthe overall serial number.
For a working document pertaining to a WG, it ismade up as follows:
ISO/IEC JTC 1/SC a/WG b N nDate
where a and b stand for the numbers of the SC andWG respectively and n for the overall serial number.
[Note on originator: Reference within the numberitself to the party originating the document(Secretariat, NB, etc.) is not required; it is howeverrecommended that the originator of the document
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be indicated underneath the title of the documentwhere this is not otherwise apparent.]
8.2.4 The overall serial number is assigned by theJTC 1 for all the working documents bearing thereference of JTC 1, by the Secretariat of an SC forall the documents bearing the reference of this SC,and by the WG Convener or Secretariat for all thedocuments bearing the reference of this WG. Onthe first page of a working document, it isrecommended that the overall serial number bemade to stand out, giving the figures a height of 6mm to 10 mm.
EXAMPLES:
ISO/IEC JTC 1 N 14ISO/IEC JTC 1/SC 3 N 25
8.2.5 When enumerating documents of JTC 1 orthe same SC, it is not necessary to repeat thenumber of the committee.
EXAMPLES:
documents 1 N 17, 18, 21documents 1/13 N 51, 60
8.3 Document Distribution
Editor’s Note: In view of the TMB discussions ondecentralized functions, does JTC 1 wish to take over thefunction of distributing meeting notices from ITTF?
8.3.1 ITTF is responsible for the preparation ofcalling notices for meetings of JTC 1 and forpreparation of final texts for publication. Someduties may be delegated. (See also 7.5.1, 7.6.1 and12.7.1.2)
8.3.2 NBs are responsible for the distribution of ISsin their respective countries. The ITTF isresponsible for distribution of ISs to organizations inliaison.
8.3.3 Normally, and with the above exceptions, theSecretariat of JTC 1 or an SC or the Convener orSecretariat of a WG is responsible for thedistribution of CDs and all other documents relatingto its work. Instructions are given below.
Editor’s note: The following changes are in view of the workof the Ad Hoc on Implementing IT that has been approved byJTC 1
8.3.4 One reproducible copy, in English or inFrench, or in both languages if available, ofdocuments relating to JTC 1 (including CDs,working documents, reports of meetings, minutes,resolutions, etc.) shall be sent posted to the JTC 1web site in an acceptable document format asspecified in Annex H by the JTC 1 Secretariat, byairmail, with e-mail and, if necessary, passwordnotification to:
• P-members of JTC 1;
• Secretariats of other TCs in liaison (or theSecretariats of their SCs, or both) and/orobservers designated by other TCs inliaison;
• Category A liaisons;
• ITTF.
A more selective distribution of documentsnotification of document and password availabilityshall be made to O-members and other liaisonmembers in accordance with individual agreementsreached between the Secretariat and theO-members and liaison members.
8.3.5 One reproducible copy, in English or inFrench, or in both languages if available, ofdocuments relating to the SC (including CDs,working documents, reports of meetings, minutes,resolutions, etc.) shall be sent posted to the SC website in an acceptable document format as specifiedby Annex H by the SC Secretariat, by airmail, withe-mail and, if necessary, password notification to:
• P-members of the SC;
• Secretariats of other TCs in liaison (or theSecretariats of their relevant SCs, or both)and/or observers designated by other TCs inliaison;
• Secretariats of JTC 1 SCs in liaison;
• Category A liaisons;
• JTC 1 Secretariat;
• ITTF.
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A more selective distribution of documentsnotification of document and password availabilityshall be made to O-members and other liaisonmembers in accordance with individual agreementsreached between the Secretariat and theO-members and liaison members.
8.3.6 One reproducible copy, in English or inFrench, or in both languages if available, ofdocuments relating to the SGFS (including drafts,working documents, reports of meetings, minutes,resolutions, etc.) shall be sent by the SGSecretariat, by airmail, to:
• members of the SGFS;
• Secretariats of other TCs in liaison (or theSecretariats of their relevant SCs, or both)and/or observers designated by other TCs inliaison;
• Secretariats of JTC 1 SCs in liaison;
• Category A liaisons and Category S liaisons,where applicable;
• JTC 1 Secretariat;
• ITTF.
A more selective distribution of documents shall bemade to O-members and other liaison members inaccordance with individual agreements reachedbetween the Secretariat and the O-members andliaison members.
8.3.7 8.3.6 One reproducible copy, in English or inFrench, or in both languages if available, ofdocuments relating to the WG shall be sent by theConvener or Secretariat, by airmail, to:
• members of the WG;
• JTC 1 Secretariat;
• Secretariat of the parent body (if not JTC 1);
• ITTF;
Per JTC 1 Ottawa Plenary Resolution 24 and JTC 1 N 5012• NBs, Category A liaisons, and Category C
liaisons, and Category S liaisons whereapplicable, which nominated individualmembers, on request.
Alternatively, the WG may distribute documents viaemail, FTP site or posting to the World Wide Webwith email notification (see Annex H regardingdocument types and access restrictions).
In the case of very large WGs, other arrangementsfor document distribution may be made by theparent body (e.g., a limited number of WG experts,plus all NBs and liaisons, may be designated toreceive documents).
9 Voting
9.1 General
9.1.1 All P-members have an obligation to vote(see 3.1). Decisions of JTC 1 and its SCs are madeeither by meeting or by correspondence, asappropriate. Each P-member has one vote which,for meeting votes, may also be cast by telegram,telefax,email, facsimile or letter, or by proxy grantedto another P-member (see 7.7.7 and 7.7.8). Votesby P-members in attendance may be cast only bythe head of that delegation or an individualdesignated by the head of delegation. Proxy votingis valid only if the committee Secretariat has beeninformed in writing in advance of the voting by theP-member granting the proxy. A P-member maynot cast a proxy vote on behalf of more than oneother P-member (see also 7.7.7 and 7.7.8).
9.1.2 A P-member which has given appropriatenotification that it will abstain from participation inspecific work items (see 3.1.2) is entitled to abstainfrom voting on these work items.
9.1.3 The Chairman has no vote and questions onwhich the vote is equally divided shall be subject tofurther discussion.
9.1.4 In a meeting, except as otherwise specified inthese directives, questions are decided by a majorityof the votes cast at the meeting by P-membersexpressing either approval or disapproval.
Editor’s note: The following is view of the Ad Hoc inImplementing IT
9.1.5 For votes by correspondence (letter ballots) inJTC 1 and its SCs, except as specified elsewhere inthese directives, questions are decided by a majorityof the votes cast by P-members expressing eitherapproval or disapproval. Letter ballots may be castby web based balloting,returned by mail e-mail,telegram, or telefax facsimile or, if absolutely
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necessary, by mail. Due account shall be taken ofminority views.
9.1.6 JTC 1 and its SCs shall pay special attentionto negative votes by P-members and shall attemptas far as possible to resolve the underlyingdifferences and achieve the maximum level ofapproval.
Editor’s note: The following change is based on JTC 1 ParisPlenary resolution 24. Also, in view of the current webbased document distribution, the Procedures Group haseliminated the additional fourteen days from all ballot periodsthroughout this document.
9.1.7 JTC 1 instructs its Secretariats to close allletter ballots on the declared closure date. Latevotes and comments shall not be accepted. JTC 1allows actions to be taken between JTC 1 plenarymeetings by 60-day letter ballots within JTC 1.Actions for approval may be proposed by the JTC 1chairman, JTC 1 SCs or JTC 1 SWGs (if any).Otherwise, no No letter ballot period shall close inless than three months from the fourteenth day aftermailing the date of notification of issue.
9.1.8 If a P-member of JTC 1 fails to vote on aDIS/FDIS prepared by JTC 1, the Secretaries-General shall remind the NB of its obligation to vote(unless the conditions of 9.1.2 apply). In theabsence of a response to this reminder, the NB shallautomatically have its status changed to that ofO-member. An NB having its status so changedmay, after a period of twelve months, be reinstatedto P-member status on request.
9.2 Conciliation Panels
JTC 1 may be given the help of a conciliation panelto resolve differences particularly when polarizedpositions appear to have developed. Ad hocconciliation panels are formed by the chairmen ofthe ISO and IEC Presidents when needed. Councilsmay also be used for this purpose.
9.3 Votes on NPs
Editor’s Note: The following modification is to clarify that thisrequirement applies to JTC 1 and not necessarily to SCs
9.3.1 Each NP shall be voted on by JTC 1 letterballot (see Form 4), even if it has appeared on theagenda of a meeting. The normal ballot period foran NP shall be three months and fourteen days fromthe date of distribution notification of issue (see6.2.1.3).
9.3.2 In order to be approved, the NP shall besupported by a majority of all P-members of JTC 1with at least five P-members of the SC to which theproject will be assigned committed to activeparticipation (see Form 5).
9.4 Votes onCDs/PDAMs/PDISPs/PDTRs
Editor’s note: Additions below made for consistency with12.6.3.2, and to add PDISPs.
9.4.1 If the consideration of aCD/PDAM/PDISP/PDTR is dealt with bycorrespondence, P-members and TCs andorganizations in liaison are asked to submit theircomments (and P-members their votes, see 9.1.5)by a specified date (see Form 9). In the case ofCDs/PDAMs/PDISPs /PDTRs, this date should beno less than three months and fourteen days fromthe date of distribution notification of issue. For anFCD/FPDAM/FPDISP, the ballot period shall be noless than four months. JTC 1 or the SC may extendthe CDs/PDAMs/PDTRs ballot period up to sixmonths and fourteen days in instances when thecomplexity of the text requires additional time forreview or to allow additional time for enquiry, aslong as the total ballot period does not exceed sixmonths.
9.4.2 Abstention by an NB on aCD/PDAM/PDISP/PDTR ballot does not bar the NBfrom voting on subsequent versions of thedocument at the same or later stages (see 9.1.2).
9.4.3 Consideration of successiveCDs/PDAMs/PDISPs/PDTRs (types 2 and 3) shallcontinue until the substantial support of theP-members of the committee has been obtained ora decision to abandon or defer the project has beenreached.
9.4.4 CDs/PDAMs/PDISPs/PDTRs produced by aJWG should be balloted by all P-members of allSCs formally involved in the joint work. Each NBshall have only one vote.
9.5 Combined Voting Procedure
The submission of FDISs and DISs for simultaneousvoting (one vote per country) by the P-members ofJTC 1 and by all ISO member bodies and IECnational committees is called the combined votingprocedure. It should be used whenever possible.Care shall be taken, however, in cases where thecombined voting procedure may be the first
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occasion on which the P-members of JTC 1 havebeen formally consulted on a draft.
Per JTC 1 N 4523 but with DAM changed to FDAM forconsistency (per suggestion from Japan)
9.6 Votes onDISs/DAMsFDIS/DIS/FDAM/FDISPApproval Criteria
9.6.3 For a FDIS/DIS/FDAM/FDISP to beapproved, the count taken by ITTF shall meet thefollowing criteria:
• at least two-thirds of the P-members votingshall have approved, with or withoutcomments;
• not more than one-quarter of the totalnumber of votes cast are negative.
A P-member which has given appropriatenotification that it will abstain from participation inspecific work items (see 3.1.2) shall not be countedas a P-member when counting votes for draftsrelating to such items.
Abstentions are excluded from the count.
If these criteria are not met initially, but aresubsequently met at the conclusion of ballotresolution in accordance with 12.7.2.5, the DIS/DAMis approved.
[Note: If more than 50% of the P-members havenot voted, the FDIS/DIS/FDAM/FDISP will havefailed. Late votes shall not be counted. Noextensions shall be granted].
Per JTC 1 N 4523, but with DAM changed to FDAM forconsistency (as suggested by Japan).
9.6 9.7 Votes onDISs/DAMsFDIS/FDAMs/FDISPs
9.6.1 The normal ballot period for a DIS/DAMFDIS/FDAM/FDISP shall be fourtwo months. JTC 1(or the responsible SC via the JTC 1 Secretariat)may request to extend the DIS/DAM ballot period upto two months (i.e., for a total of six months) ininstances where the complexity of the text requiresadditional time for review. A fast-track DIS ballotperiod shall be six months. Following the failure ofa DIS/DAM ballot, the ballot period for subsequentballots is normally reduced to three months (see9.6.4).
9.6.2 NBs may reply in one of the following ways:
• approval of the technical content of theDIS/DAM FDIS/FDAM/FDISP as presented(editorial or other comments may beappended);
• disapproval of the DIS/DAMFDIS/FDAM/FDISPfor technical reasons tobe stated, with proposals for changes thatwould make the DIS/DAM acceptable(acceptance of these proposals shall bereferred to the NB concerned forconfirmation that the vote can be changedto approval);
• abstention (see 9.1.2).
[Note: Conditional approval should be submitted asa disapproval vote.]If the FDIS/FDAM/FDISP is approved, only minorcorrections as judged by ITTF will be taken intoconsideration as modifications to theFDIS/FDAM/FDISP ballot text. Technical andeditorial comments will not be considered.
Per JTC 1 N 45239.6 9.8 Votes on Fast-track DISs/DAMs
9.6.1 The normal ballot period for a DIS/DAM shallbe four months. JTC 1 (or the responsible SC viathe JTC 1 Secretariat) may request to extend theDIS/DAM ballot period up to two months (i.e., for atotal of six months) in instances where thecomplexity of the text requires additional time forreview. A fast-track DIS ballot period shall be sixmonths. Following the failure of a DIS/DAM ballot,the ballot period for subsequent ballots is normallyreduced to three months (see 9.6.4).
9.6.2 NBs may reply in one of the following ways:
• approval of the technical content of theDIS/DAM as presented (editorial or othercomments may be appended);
• disapproval of the DIS/DAM for technicalreasons to be stated, with proposals forchanges that would make the DIS/DAMacceptable (acceptance of these proposalsshall be referred to the NB concerned forconfirmation that the vote can be changedto approval);
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• abstention (see 9.1.2).
[Note: Conditional approval should be submitted asa disapproval vote.]
9.6.3 For a DIS/DAM to be approved, the counttaken by ITTF shall meet the following criteria:
• at least two-thirds of the P-members votingshall have approved, with or withoutcomments;
• not more than one-quarter of the totalnumber of votes cast are negative.
A P-member which has given appropriatenotification that it will abstain from participation inspecific work items (see 3.1.2) shall not be countedas a P-member when counting votes for draftsrelating to such items.
Abstentions are excluded from the count.
The criteria for approval are given in 9.6. If thesecriteria are not met initially, but are subsequentlymet at the conclusion of ballot resolution inaccordance with 12.7.2.5 13.9, the DIS/DAM isapproved.
[Note: If more than 50% of the P-members havenot voted, the DIS/DAM will have failed. Late votesshall not be counted. No extensions shall begranted].
9.6.4 If following the review of commentsaccompanying votes on a DIS/DAM (see 12.7.2.4)the criteria in 9.6.3 are not met or the criteria in12.7.3.1 apply, or both, the DIS/DAM cannot goforward and the matter is referred back to the SCSecretariat. A new draft may be prepared forsubmission to the NBs; the procedure to be followedis as in 12.7 et seq. with the exception that the timelimit for NB voting is reduced to three months butmay be extended to six months at the request ofone or more of the P-members.
Per JTC 1 N 45239.9 Discussion during ballot period
9.6.5 When a document is out for DIS/DAM ballotat stage 3 or higher, NB/Liaison organizations arefree to circulate their comments to other NBsprovided they do not use the formal SC or JTC 1documentation distribution system. Formaldistribution is prohibited because it could create
confusion as to the status of the DIS/DAM ballot.Documents out for DIS/DAM ballot at stage 3 orhigher are not to be subject to formal discussion atany working level of JTC 1 during the ballotingperiod. Therefore, NB positions on the DIS/DAMdocument under ballot are not to be formallydiscussed at any working level.
Circulation of such comments shall have no formalstatus within JTC 1 or its SCs, i.e., they shall notbear any document number nor shall they beconsidered in any DIS/DAM ballot resolutionmeeting unless they were formally submitted toITTF as comments accompanying the DIS/DAMballot.
[Note: NBs may inform the appropriate Secretariatif they believe an error has been made in theproduction of the DIS/DAM document under ballot.]
9.7 Votes on DISPs
JTC 1 Ottawa Resolution 24 and JTC 1 N 5012. N 5012specifies that the procedures for ISP approval are the sameas for IS approval. Note that N 4523 had previously said thatprocedures for DISP ballot are the same as those for fast-track DIS, with certain exceptions. The editor interpretsOttawa Res 24 as superceding N 4523 and changing the ISPprocessing to be identical to IS processing (for ISPsdeveloped within JTC 1). This clause has therefore beeneliminated and the ISP stages have been incorporated intothe clauses for CDs and DISs (9.4, 9.6, 9.7). TheProcedures Group agreed with this interpretation.
The procedures for DISP ballot are the same asthose described for DIS processing (see 9.6) withthe following exceptions:
• The ballot period for the first and anynecessary subsequent DISP ballots shall befour months with no extensions;
• The practice following ballot terminationshall include specific provisions for ballotresolution meetings to be held, and to beattended, amongst others, by the submittingorganization. These provisions aredescribed in Annex D and apply especiallywhen the circumstances of 9.6.4 or 12.7.3.1of these directives apply.
9.8 9.10 Votes on DTRs
9.8.1 9.10.1 The decision to publish a TR (type 1, 2,or 3) is taken by JTC 1 ballot on a DTR.P-members and TCs and organizations in liaison are
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asked to submit their comments (and P-memberstheir votes, see 9.1.5) by a specified date. This dateshould be no less than three months and fourteendays from the date of distribution notification ofissue. JTC 1 may extend the DTR ballot period upto six months and fourteen days in instances whenthe complexity of the text requires additional timefor review., as long as the total ballot period doesnot exceed six months.
9.8.2 9.10.2 Abstention by an NB on a DTR ballotdoes not bar the NB from voting on subsequentversions of the document.
9.8.3 9.10.3 Publication is accepted if approved bya majority of P-members of JTC 1.
9.9 9.11 Votes on DCORs
9.9.1 9.11.1 Consideration of a DCOR is dealt withby correspondence, SC P-members and TCs andorganizations in liaison are asked to submit theircomments (and SC P-members their votes, see9.1.5) by a specified date. Simultaneously,P-members of JTC 1 that are not P-members of theSC are asked to submit their comments to the SCSecretariat by the same specified date. In the caseof DCORs, this date that should be no less thanthree months and fourteen days from the date ofdistribution.
9.9.2 9.11.2 Consideration of successive DCORsshall continue until the substantial support of theP-members of the committee has been obtained ora decision to abandon or defer the project has beenreached.
10 Special Considerations
10.1 Health and Safety Considerations
The Secretaries-General may intervene in theprocessing of a DIS document at any stage if theyare notified of any serious health, safety or otherrisk likely to arise from the implementation of thestandard and are prima facie satisfied of the need tohave the matter investigated. If the matter cannotbe satisfactorily resolved in consultation with theJTC 1 Secretariat, the Secretaries-General shallrefer the draft to Councils for decision (see 11).
10.2 Copyright
The copyright for DIS/FDISs, ISs, DAM/FDAMs,Amendments, DISP/FDISPs, ISPs, TechnicalCorrigenda and TRs belongs to ISO and IEC.
For those registrations requiring it, a register shallbe published. The copyright on the register belongsto ITTF, which may release the copyright to theJTC 1 Registration Authority for as long as itfunctions in this capacity.
10.3 Patents
(See ISO/IEC Directives - Part 2: Methodology forthe development of International Standards, AnnexA)
10.4 Formal Descriptions (FD)
10.4.1 The following rules apply to the developmentand acceptance of an FD:
• Normally, standard FDTs or FDTs in theprocess of being standardized should beused in FDs of standards. (For exceptionssee 6.2.1.7)
• The development of an FD of any particularstandard is a decision of the SC (see2.4.2.1). If an FD is to be developed for anew standard, the FD should be progressed,as far as possible, according to the sametimetable as the rest of the standard.
10.4.2 For the evolutionary introduction of an FDinto standards, three phases can be identified . It isthe responsibility of the SC to decide which phaseinitially applies to each FD and the possibleevolution of the FD toward another phase. It is notmandatory for an FD to go through the three phasesdescribed and, more generally, it is not mandatoryfor an FD to evolve.
10.4.2.1 Phase 1:
This phase is characterized by the fact thatwidespread knowledge of FDTs, and experience inFDs, are lacking; there may not be sufficientresources in the NBs to produce or review FDs. Thedevelopment of standards has to be based onconventional natural language approaches, leadingto standards where the natural language descriptionis the definitive standard.
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SCs are encouraged to develop FDs of theirstandards since these efforts may contribute to thequality of the standards by detecting defects, mayprovide additional understanding to readers, and willsupport the evolutionary introduction of FDTs.
An FD produced by an SC that can be considered torepresent faithfully a significant part of the standardor the complete standard should be published as aTR type 2 in order to preserve the work done andmake this information available to NBs and liaisonorganizations. Meanwhile SCs should develop andprovide educational material for the FDTs to supporttheir widespread introduction in the NBs and liaisonorganizations.
10.4.2.2 Phase 2:
In this phase, knowledge of FDTs and experience informal descriptions is more widely available; NBscan provide enough resources to support theproduction of FDs. However, it cannot be assuredthat enough NBs can review FDs in order to enablethem to cast a ballot on a proposed formallydescribed standard.
The development of standards should still be basedon conventional language approaches, leading tostandards where the natural language description isthe definitive standard. However, thesedevelopments should be accompanied andsupported by the development of FDs of thesestandards with the object of improving andsupporting the structure, consistency, andcorrectness of the natural language description.
An FD, produced by an SC, that is considered torepresent faithfully a significant part of the standardor the complete standard would be published as aninformative annex to the standard. Meanwhile,educational work should continue.
10.4.2.3 Phase 3:
In this phase a widespread knowledge of FDTs maybe assumed. NBs can provide sufficient resourcesboth to produce and review FDs, and assuranceexists that the application of FDTs do notunnecessarily restrict freedom of implementation.
SCs should use FDTs routinely to develop theirstandards, and the FDs become part of the standardtogether with natural language descriptions. Incases where more than one description of a given
standard or part of a standard is provided, the SCshall provide an indication in the standards as towhich description should be treated as the definitiveversion.
Whenever a discrepancy between a naturallanguage description and an FD or between two FDsis detected, the discrepancy shall be resolved bychanging or improving the natural languagedescription or the FDs without necessarily givingpreference to one over the other.
10.5 Application Portability
In order to facilitate the portability of applicationsusing JTC 1 standards, each standard should bedeveloped:
• with consideration given to the requirementsand issues of application portability; and
• with the intent that conformance ofapplications and implementations to thatstandard will be verifiable.
Each standard shall incorporate, when applicable:
• an annex that outlines the significantportability capabilities that are provided bythe standard and indicates what userrequirements are addressed by thestandard. The annex should facilitate thedevelopment of application environmentprofiles.
• an annex on "portability considerations" forinterfaces, data and users. The annex mustfacilitate the review of the portabilityaspects of the standard and must describethose parts or aspects of the standard thatare implementation dependent or areotherwise relevant to application portability.The annex should also record portabilityaspects which were addressed but notstandardized.
See Annex J for Guidelines on API Standardization.
10.6 Standard International (SI) Units
If the IS under review does not comply with ISO/IECDirectives, Part 2 - Methodology for thedevelopment of International Standards, concerningthe use of units, the following procedure shall apply:
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• Standards which contain, in addition to unitsrecommended in ISO 31 and ISO 1000,exact or approximate conversions in otherunits shall be withdrawn or revised tocomply with the ISO/IEC Directives, Part 2methodology on the occasion of their nextfive-year review.
• When units that are not in ISO 31 or ISO1000 are used throughout a JTC 1 standard,those units may continue to be used if theirretention appears justified by the applicationenquiry at the time of their next five-yearreview but, where applicable, footnotes maybe added to give conversions to SI units;further retention at the subsequent five-yearreview shall however be subject to theapproval of the TMB/CA.
11 Appeals
11.1 General
11.1.1 NBs have the right of appeal
• to JTC 1 on a decision of an SC;
• to TMB/CA on a decision of JTC 1;
• to the Councils on a decision of theTMB/CA.
Appeals shall be made within two months afterreceipt by the P-members of the report of JTC 1 orSC on the relevant meeting or vote bycorrespondence. The decision of the Councils onany case of appeal is final.
11.1.2 A P-member of JTC 1 or an SC may appealagainst any action, or inaction, on the part of JTC 1or an SC when the P-member considers that suchaction or inaction is:
• not in accordance with these directives; or
• not in the best interests of internationaltrade and commerce, or such public factorsas safety, health or environment.
11.1.3 Matters under appeal may be eithertechnical or administrative in nature. Appeals ondecisions concerning NPs, CDs and DISs are onlyeligible for consideration if:
• questions of principle are involved;
• the contents of a draft may be detrimental tothe reputation of IEC or ISO; or
• the point giving rise to objection was notknown to JTC 1 or SC during earlierdiscussions.
11.1.4 All appeals shall be fully documented tosupport the NB's concern.
Per JTC 1 N 452311.1.5 When an appeal is against a decisionrespecting work in progress, the work shall becontinued, up to and including submission of therevised final text to the ITTF (see 12.7.4.1 12.7.2.3or 13.9).
11.2 Appeal Against an SC Decision
11.2.1 The documented appeal shall be submittedby the P-member to the JTC 1 Secretariat withcopies to the ITTF.
11.2.2 Upon receipt, the JTC 1 Secretariat shalladvise all its P-members of the appeal, and takeimmediate action, by correspondence or at ameeting, to consider and decide on the appeal,consulting the Secretaries-General in the process.
11.2.3 If JTC 1 supports the SC, the P-memberwho initiated the appeal may either
• accept the JTC 1 decision, or
• appeal against it.
11.3 Appeal Against a JTC 1 Decision
11.3.1 Appeals against a JTC 1 decision may be oftwo kinds:
• an appeal against an original decision ofJTC 1, or
• an appeal arising out of 11.2.3 above.
11.3.2 The documented appeal shall, in all cases,be submitted to the Secretaries-General, with acopy to the JTC 1 Chairman and Secretariat.
11.3.3 The Secretaries-General shall, followingwhatever consultations they deem appropriate, referthe appeal together with their comments to the
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TMB/CA within one month after receipt of theappeal.
11.3.4 The TMB/CA shall decide whether an appealshall be further processed or not. If the decision isin favour of proceeding, the Chairmen of theTMB/CA shall form a conciliation panel (see 9.2).
The conciliation panel shall hear the appeal andattempt to resolve the difference of opinion as soonas practicable. If the conciliation panel isunsuccessful in its endeavours, it shall so reportwithin three months to the Secretaries-General,giving its recommendations on how the mattershould be settled.
11.3.5 The Secretaries-General, on receipt of thereport of the conciliation panel, shall inform theTMB/CA, which will make their decision.
11.4 Appeal Against a Decision of theTMB/CAs
An appeal against a decision of the TMB/CA shallbe submitted to the Secretaries-General with fulldocumentation on all stages of the case.
The Secretaries-General shall refer the appealtogether with their comments to the members of theCouncils within one month after receipt of theappeal.
The Councils shall make their decision within threemonths.
12 Preparation and Adoption ofInternational Standards - NormalProcessing
ISs prepared by JTC 1 are published as double logoISO/IEC standards (see Form 13) by ITTF andcopies distributed to NBs.
12.1 Stages of Technical Work
The successive stages of the technical work arereferenced 0 to 5. These are defined as follows:
• Stage 0 (preliminary stage): A study periodis underway.
• Stage 1 (proposal stage): An NP is underconsideration.
• Stage 2 (preparatory stage): A WD is underconsideration.
• Stage 3 (committee stage): A CD/FCD isunder consideration.
• Stage 4 (approval stage): An FDIS is underconsideration.
• Stage 5 (publication stage): An IS is beingprepared for publication.
Annex B illustrates the stages of progression forwork items.
12.2 General
12.2.1 The social and economic long-term benefitsof an IS should justify the total cost of preparing,adopting and maintaining the standard. Thetechnical consideration should demonstrate that theproposed standard is technically feasible and timelyand that it is not likely to be made obsolete quicklyby advancing technology or to inhibit the benefits oftechnology to users.
12.2.2 It is vital for the success of the technicalwork, and thus for the general reputation of ISO andIEC, that ISs be published without delay. To thisend all persons involved shall ensure the rapid andsmooth passage of technical documents from onestage to another. Consultation shall be maintainedbetween those responsible for decisions at thedifferent stages.
Per JTC 1 N 452312.2.3 In the interest of rapid progress of work,JTC 1 should try to shall avoid discussion of adocument successively at more than two of thethree levels -- WG/SC/JTC. Discussion at twolevels is appropriate and should be adequate inmost cases. These two levels are, in principle, theexpert level where technical proposals arediscussed and drafts prepared (i.e., WG or SC) andthe committee level (i.e., SC or JTC 1) at which finalNB vote on the draft is expressed within JTC 1. Ifno WG is involved, discussion shall be limited toone level. However, cCare shall be taken to ensurethat all parties and P-members have been involvedat those levels, and their views properly considered.
The DIS Except for fast-track processing, the CDstage is the last at which submission of comments ispermissible (including editorial comments and those
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of ITTF editors). However, JTC 1 P-members andthe ITTF shall try to input their comments at theearliest possible stage.
Per JTC 1 N 452312.2.4 In order to facilitate the examination ofsuccessive versions of CDs and DISs at variousstages of processing, JTC 1 and its SCs shallsuitably identify all parts of the text which have beenchanged since the previous version by issuing theappropriate disposition of comments report.
12.2.5 Every effort shall then be made by JTC 1 orthe SC to ensure that the results of its deliberationswill achieve the necessary majority for theirpublication as ISs. (The provisions concerning WGexperts (see 2.6.1.3 2.5.1.3) and coordination (see3.4) are particularly important in this respect.)
12.2.6 Both NBs and any representativespresenting views at previous levels shall attempt toavoid confusion and delay that could result fromdifferent positions being declared (see 2.6.1.32.5.1.3) at different levels. NBs shall fulfill theirobligation as P-members to vote (see 3.1.1).
Editor’s note: This wording is taken from JTC 1 N 3659 buthas been modified since N 3659 was adopted prior toadoption of the FCD ballot and this process does not apply toFCD ballots; also, the wording accommodates the Australiancontribution in N 5188:
12.2.7 In order to accelerate the approval processin cases where an SC already has a draft that itconsiders to be of suitable maturity, the SC maychoose, by letter ballot or agreement at a meeting,to accompany an NP with a complete technicalspecification and initiate simultaneous NP and CDballots. In this event, the SC Secretariat shall soinform the JTC 1 Secretariat and forward the NPand its related technical specification to the JTC 1Secretariat for NP ballot in accordance with 6.2.The SC Secretariat shall simultaneously circulate aCD ballot on the technical specification inaccordance with 12.6.3.2 bearing the SC's Nnumber only. [Note: In this case, the CD ballot isdistributed prior to registration with ITTF andassignment of a project number. For clarity, theJTC 1 NP and the SC CD should cross referenceeach other’s document numbers. Simultaneous NPand FCD ballots are not permitted.]
12.2.7.1 If the result of the JTC 1 NP ballot isnegative, the results of the CD ballot aredisregarded and the work item is not added to theJTC 1 programme of work.
12.2.7.2 If the NP is approved and the CD receivessubstantial support, the project is registered inaccordance with 12.5.1 and processing continueswith an FCD in accordance with 12.6.1.2.
12.2.7.3 If the NP is approved and the CD does notreceive substantial support, the project reverts toStage 2 and processing continues in accordancewith 12.5.
12.3 Stage 0, Study Period Underway
This stage is usually optional. An SC may approvea study period when it is too early to identify preciseNPs, but agreement exists that the subject area islikely to need future standardization (see 6.2.1.3).Under certain conditions, a study of a new work areashould be undertaken (see 6.2.3.1).
12.4 Stage 1, NP under Consideration
This stage is described in section 6.2.
12.5 Stage 2, WD under Consideration
12.5.1 Upon approval of the NP by JTC 1, theproject will be assigned to an SC.
12.5.1.1 ITTF shall be informed of the assignment,shall register the project in the JTC 1 programme ofwork and shall advise the secretariat of theresponsible SC, and the secretariat of JTC 1, of theassigned project number. For this purpose, ITTFshall be informed of the relationship of the NP toexisting JTC 1 standards, i.e., whether the NP is acompletely new project (requiring a new number) ora revision, extension (new part) or amendment of anexisting standard.
12.5.1.2 The number assigned to a project shall besubject to the following:
• The number allocated to a project shallremain the same throughout subsequentreporting stages (WD, CD and DIS) and forthe published IS. No number shall beallocated to a project for a new standardwhich has already been used for a DIS or anIS.
• The number allocated to a project shall be apure registration and reference number andhas no meaning whatsoever in the sense ofclassification or chronological order.
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• The numbers allocated to withdrawnprojects shall not be used again, unless thisis a consequence of restructuring of amultipart standard.
12.5.1.3 Registration and numbering of projects atthe ITTF is undertaken on the basis of the followingcriteria:
• For new standards: ITTF will assign acompletely new project number.
• For revisions to existing standards: Theproject will carry the same number as theexisting IS. If, however, the scope issubstantially changed, the revision shallrequire an NP and a new project numbermay be assigned.
• For amendments: The project will carry thenumber of the existing IS followed by"/PDAM" and the sequential number of thePDAM (e.g., ISO/IEC 1234/PDAM 1).
• For standards to be published in separateparts: ITTF will assign a project numberwhich shall be suffixed by a hyphenfollowed 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 shallimmediately be informed so that the newtitle can be registered in the JTC 1programme of work.
12.5.2 The SC may assign the project to a WG ordevelop the document within the SC itself. Forsimplicity, the following sections assumeassignment to a WG, but in cases where the SCdoes the development, references to the WG shouldbe understood as references to the SC. Similarly, inrare instances a WG may report directly to JTC 1rather than to an SC; in such cases, references tothe SC should be understood as references toJTC 1.
12.5.3 A Project Editor should be identified (see5.65.7). The WG develops one or more WDs of thestandard. Usually, a WD undergoes severalrevisions before the WG recommends that it beprogressed to stage 3. As decisions are maderegarding the content of the WD, the convenershould take care to assure consensus, not only ofthe individual participating experts, but also of theNBs represented in the WG. This will enhance the
likelihood of achieving successful CD/FCD andFDIS ballots.
12.5.4 Successive WDs on the same subject shallbe marked "second working draft," "third workingdraft," etc., and the original WD number shall besupplemented by .2, .3, etc. (e.g., WD 1234.2).
12.5.5 In the preparation of a WD, every effort shallbe made to ensure that it will not require substantialredrafting in JTC 1 or the SC, in particular byensuring that from the very beginning the draft is inconformity with the rules for the presentation of ISs(see ISO/IEC Directives, Part 3 - Drafting andpresentation of International Standards).
Editor’s note: The following is in response to the SWG-GIIrecommendation in JTC 1 N 4642 modified by the resolutionof the ballot comments in N 5011.
12.5.6 The project editor shall include an ExecutiveSummary with information highlighting the contentof the standard such that it could be used, forexample, in promotional activities. This ExecutiveSummary shall be circulated for comment with CD,FCD and FDIS ballots but shall not affect theoutcome of these ballots.
12.5.6 12.5.7 The WD remains in Stage 2 until:
• the main elements have been included inthe document;
• it is presented in a form which is essentiallythat envisaged for the future IS;
• it has been dealt with at least once by JTC 1or by a working body of JTC 1;
• the SC has decided in a resolution during ameeting or by letter ballot that the WD beforwarded to the ITTF for registration as aCD.
Optionally, an SC may authorize a WG to decidethat a WD should be forwarded, via the SCSecretariat, for registration as a CD.
In cases where an SC believes that a future WDmay receive substantial technical agreement, theSC may optionally authorize its Secretariat to issuea combined ballot for CD registration andconsideration of the CD/FCD.
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Editor’s Note: The following is to clarify how progress controlcriteria apply to subdivided projects.
12.5.7 12.5.8 If a work item has not progressed toStage 3 by the third anniversary of project initiation(NP approval or project subdivision), the SC isrequired 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 theWD in question to the ITTF which registers it as aCD. The ITTF shall confirm the registration to theJTC 1 Secretariat.
Per JCT 1 N 4523 with the following modifications: - FCD terminology used in certain places for clarification; - In view of JTC 1 N 5148, references to “PDTR” in thesecond paragraph below were deleted.
12.6.1.2 The project editor, after consultation withthe SC secretariat and, if necessary, the SCchairman, shall indicate if it is the case that theproposed CD is intended to be the final CD (FCD)on this subject. If so, the cover letter of the FCDshall explicitly indicate this intention andconsideration of the FCD shall be by letter ballot. Ifthe criteria for finalization of the FCD are satisfied(see 12.6.3), the FCD progresses to Stage 4. Inother circumstances, a further CD or FCD ballotmay be required.
A similar indication shall also be made if a particularPDAM ballot is intended to be the final PDAM(FPDAM) ballot. In this case, the cover letter of theFPDAM ballot shall explicitly indicate this intention.
[NOTE: NBs wishing to conduct an enquiry mayfind the FCD ballot period an appropriate time forthis purpose.]
12.6.1.2 12.6.1.3 Successive CDs on the samesubject shall be marked "second committee draft,""third committee draft," etc., (see Form 8) and theoriginal CD number shall be supplemented by .2, .3,etc. (e.g., CD 1234.2).
12.6.1.3 12.6.1.4 When, in the course of itspreparation, the title of a CD is modified, thisinformation shall immediately be submitted to theITTF for amendment to the project records.
12.6.2 Distribution of CDs
Per JCT 1 N 4523Editor’s Note: Wording in N 4523 modified below since ITTFdoes not distribute FCDs (as stated in N 4523) but onlynotifies and makes FCDs available upon request.
12.6.2.1 The SC Secretariat distributes the CD. Foran FCD, the Secretariat also forwards the FCD toITTF for notification of availability to other NBs andorganizations in liaison for information andcomments. The introductory note should indicate,as appropriate, the sources used as a basis for theproposal and the background and aim of theproposal. The note should include among otherthings:
• the date when the work item was introducedinto the programme of work;
• identification of the original proposer; and
• extent of liaison with other internal andexternal organizations.
12.6.2.2 The CD may be distributed for discussionat an SC meeting, for comment by correspondenceor for letter ballot. Frequently it will be dealt with inmore than one of these ways in the course ofreaching agreement.
12.6.2.3 Organizations which can make aneffective contribution to the application of ISs in agiven area should be expressly invited to commenton all relevant CDs.
12.6.2.4 Any editorial comments from the ITTFshall be made during the FCD ballot (see 12.2.3).
12.6.3 Finalization of CDs
12.6.3.1 The Secretariat of the SC responsible forthe CD shall ensure that the CD fully embodies thedecisions reached by the majority vote either atmeetings or by correspondence.
Per JTC 1 N 452312.6.3.2 If the consideration of a CD is dealt with bycorrespondence, P-members and TCs andorganizations in liaison are asked to submit theircomments (and P-members their votes, see 9.1.5)by a specified date (see Form 9). In the case ofCDs, this date should be no less than three monthsand fourteen days from the date ofdistributionnotification of issue. For an FCD, theballot period shall be no less than four months. The
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SC may extend the CD ballot period up to sixmonths and fourteen days in instances when thecomplexity of the text requires additional time forreview or to allow additional time for enquiry, aslong as the total ballot period does not exceed sixmonths. Comments and votes shall be sent to theSecretariat of the SC within the period specified,and shall be summarized by the Secretariat anddistributed in accordance with 8.3. The Secretariatshall also distribute a report clearly indicating theaction taken as a result of the comments receivedand shall distribute, if necessary, a further CD.Abstention by an NB on a CD ballot does not bar theNB from voting on subsequent versions of thedocument (see 3.1.1).
Editor’s note: Following changes are in view of the new FCDrequirement.
12.6.3.3 If a CD is considered at a meeting butagreement on it is not reached on that occasion, theSecretariat shall distribute (in accordance with 8.3) arevised CD, prepared in accordance with thedecisions taken at the meeting, for considerationeither by correspondence or at a subsequentmeeting.
12.6.3.4 The Secretariat of the committeeresponsible for the draft shall decide whether tocontinue consideration of successive CDs bycorrespondence or by convening a meeting,according to the nature of the comments received.If at least three P-members disagree with theproposal of the Secretariat, and so notify theSecretariat within four weeks, the CD shall bediscussed at a meeting.
Editor’s note: The following is in view of the new FCDrequirement.
12.6.3.5 Consideration of successive CDs shallcontinue until the substantial support of theP-members of the committee has been obtained foran FCD or a decision to abandon or defer theproject has been reached.
Per JTC 1 N 452312.6.3.6 It is the responsibility of the SCSecretariat, if necessary in consultation with theITTF, to judge when substantial support has beenobtained. In this connection attention should begiven not only to the numerical voting results butalso to the attempts made to resolve negative votesand the nature of success or failure to do so.
So that comments accompanying votes on a CDmay be properly considered, the relevant
Secretariat is instructed to refer all such commentsto the SC. For an FCD, the SC shall also considerany comments received from ISO member bodiesand IEC national committees. The SC shall reviewthe comments and make a recommendation to therelevant Secretariat before further processing.Within an SC, responsibility for the preparation of arevised CD text, disposition of comments report,and a recommendation on further processing maybe delegated to a WG, OWG (see 2.6.2 2.5.2), orProject Editor who reports back to the SC.
The proposed or approved disposition of commentsreport, or both, should be produced within threemonths of the close of the CD or FCD ballot. Whenexceptional circumstances warrant a longer timeframe for the preparation of the disposition ofcomments report, these circumstances shall becommunicated to the JTC 1 Secretariat.
Editor’s note: The following is in view of the new FCDrequirement.
12.6.3.7 Substantial support for a CD an FCD shallmay be obtained at a meeting or bycorrespondence; this may be either on the CD FCDas it was distributed or, more usually, subject to thenecessary corrections being made. In the lattercase, the SC may instruct its Secretariat or theProject Editor to modify the CD FCD. The revisedCD FCD shall be submitted directly to the ITTF bythe Secretariat of the appropriate committee(usually the SC).
12.6.3.8 Whenever appropriate, SCs entrustingtasks to WGs or OWGs should empower them toproduce on behalf of the SCs the CD, FCD or DISFDIS text for direct submission to ITTF via the SCSecretariat.
Editor’s note: The following is in view of the new FCDrequirement.
12.6.3.9 A CD An FCD shall be advanced to DISFDIS only if the text has been stabilized, consensushas been demonstrated, and the substantial supportof the P-members of the SC has been obtained.The SC Secretariat shall submit the following withina maximum of three months to the ITTF for DISFDIS registration :
• the final camera-ready electronic text,including figures and graphics, of the CDFCD for distribution as a DIS an FDIS, inaccordance with the ITSIG guide;
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• originals or clear prints of any figures orgraphs (see 4.3 of ISO/IEC Directives, Part3);
• an explanatory report (see Form 10,obtainable from the ITTF).
The explanatory report shall contain:
• a brief history of the draft;
• a report on how substantial support of theP-members of the SC (see 12.6.3.5 to12.6.3.7) was obtained, or in cases where aformal vote of the P-members of theappropriate SC has taken place, a record ofthe voting on the CD FCD listing thoseP-members who voted in favour, those whovoted against and those who did not vote;
• a brief statement of all technical objectionswhich have not been resolved and thereasons why it has not been possible toresolve them; in the case of a revision of anexisting IS, a summary of the main changesin the previous edition of the IS nowproposed for technical revision and thereasons therefor.
12.6.3.10 If a work item has not progressed toStage 4 by the fourth anniversary of the first CD, theSC is required to take action as specified in 6.4.1.6.
Per JTC 1 N 452312.7 Stage 4, DIS FDIS underConsideration
12.7.1 Registration and Distribution ofDIS FDIS
12.7.1.1 The ITTF shall register the CD FCD as anDIS FDIS.
12.7.1.2 The ITTF shall distribute the DIS FDIS(see Form 11) together with the explanatory reportto all NBs for a four two-month letter ballot (seeForm 12). The ITTF shall at the same time send itto all other TCs and organizations in liaison withJTC 1 or the SC responsible for preparing the draft.
At this stage, the ITTF shall make no changes to thetext of the DIS FDIS, which shall be distributed aspresented. If the explanatory report lacks necessaryinformation, the ITTF shall request the relevant
Secretariat to appropriately modify the explanatoryreport prior to distribution. Any editorial commentsfrom the ITTF on the DIS shall be made during thevoting period (see 12.2.3) or at earlier stages.
12.7.2 Processing of DIS FDIS ballots
12.7.2.1 Where the JTC 1 Secretariat has notalready carried out a final letter ballot of allP-members, theThe ITTF shall implement thecombined voting procedure (see 9.5).
If the final letter ballot on the CD registered as a DIShas already been carried out among the P-membersof JTC 1 (since there was no SC involved) and hasresulted in the necessary approval, the ITTF onlytakes account of the second criteria in 9.6.3 whendetermining if the DIS has been approved.
12.7.2.2 When an DIS FDIS ballot closes, the ITTFshall inform the JTC 1 and SC Secretariataccordingly and communicate to the SC Secretariatthe results of voting and the comments made byNBs. At the same time, the ITTF shall transmit theresults of voting to the NBs. NBs that wish toreceive copies of the comments should requestthese from the SC Secretariat.
12.7.2.3 If the FDIS has been approved inaccordance with 9.6, the SC Secretariat shall takeinto consideration any minor corrections (see 9.7)and promptly forward the document to ITTF forpublication. ITTF shall inform all NBs that the FDIShas been accepted for publication. The document isnow at stage 5.
12.7.2.4 If the FDIS has not been approved, thedocument reverts to Stage 2 (12.5.2) and is referredback to the appropriate SC for consideration andrecommendation for further processing.
12.7.2.3 Comments received after the normalvoting period will not be taken into account, exceptthat they will be submitted to the appropriate SCSecretariat for consideration at the time of the nextreview of the IS in question.
12.7.2.4 So that comments accompanying votes ona DIS may be properly considered, the relevantSecretariat is instructed to refer all such commentsto the SC . The SC shall review the comments andmake a recommendation to the relevant Secretariatbefore further processing. Responsibility for thepreparation of a revised DIS text, disposition ofcomments report, and a recommendation on further
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processing, including a statement of the degree andsubstantiveness of changes, may be delegated tosubordinate levels as appropriate, e.g., WG, OWG(see 2.6.2), or Project Editor.
12.7.2.5 If, as a result of the review of commentsaccompanying votes on a DIS, the delegated entityagrees that the criteria in 9.6.3 can be met withoutmaking substantive changes to the draft, it mayrecommend to the SC Secretariat furtherprogression of the document.
SCs should empower their editing group orSecretariat to finalize the revised text of the DIS andto submit it to the ITTF when no significant technicalissues are involved.
12.7.3 Subsequent DIS ballots
12.7.3.1 When the acceptance of comments madeby NBs results in a change in the substance of thedraft, a second (or later) edition shall be preparedwhich shall be submitted for NB voting as providedin 9.6.4 and 12.7.3.2.
In all cases, the degree of change made to the textas a result of the comments received (both technicaland editorial) must be carefully evaluated.
The responsibility for deciding whether or notchanges are sufficiently substantive to necessitateresubmission as a DIS lies with the SC Secretariatin consultation with the relevant Chairman and therelevant Project Editor.
12.7.3.2 If following the review of commentsaccompanying votes on a DIS (see 12.7.2.4) thecriteria in 9.6.3 are not met or the criteria in 12.7.3.1apply, or both, the DIS cannot go forward and thematter is referred back to the SC Secretariat. A newdraft may be prepared for submission to the NBs;the procedure to be followed is as in 12.7 et seq.with the exception that the time limit for NB voting isreduced to three months but may be extended to sixmonths at the request of one or more of theP-members.
12.7.3.3 The same procedure may be repeateduntil a DIS vote meets the necessary criteria.
12.7.3.4 12.7.2.5 In the absence of the necessaryapproval, JTC 1 may decide at any stage to requestthe publication of the draft as a TR, if the majority ofthe P-members agree (see 15).
12.7.4 Finalization of IS
12.7.4.1 When the DIS has met the necessarycriteria and within a period of three months, the SCSecretariat or designated entity shall prepare:
• a revised text of the DIS;
• a disposition of comments report indicatingthe action taken on the technical and othercomments made by NBs (and, as the casemay be, interested organizations), and, ifany objections have not been resolved, aclear statement of the reasons (see 3.4.3.4).
• In preparing the final text, the Project Editorresponsible for the DIS shall review allcomments received. Depending on thenature of the comments, the procedure used(e.g., fast-track), and the usual practice ofthe SC or WG concerned, final editing mayrequire the appointment by the responsibleSecretariat of an editing group for thispurpose.
The Project Editor shall ensure that the Foreword ofthe final text of the standard indicates a statementof the JTC 1 SC responsible for the standard. TheForeword of a revised or consolidated standard shallalso contain a clear and complete statementindicating which Amendments and TechnicalCorrigenda, (if any), have been incorporated into theconsolidated text.
The SC Secretariat shall send the revised text andthe disposition of comments report to the SC and tothe ITTF with the formal request to publish the IS.[Note that the ITTF cannot proceed to publish the ISwithout an accompanying disposition of commentsreport.]
12.7.4.2 The ITTF shall be informed within twomonths by the SC Secretariat if, due to specialcircumstances and owing to the need for specialconsultation with the committee members, theSecretariat is unable to meet the deadline. Thesecircumstances shall be communicated to the JTC 1Secretariat. If the revised text is not returned toITTF within a period of twelve months, the DIS shallbe resubmitted for NB voting as in 12.7.3.2.
12.7.4.3 The Secretaries-General will make aspecial enquiry into cases where the DIS ballotoriginally failed, but where the provisions of 12.7.2.5apply, and will consult the dissenting parties.
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12.7.4.4 The ITTF prepares a final report giving theresults of NB voting and referring to the commentsmade by the NBs and the action taken thereon bythe SC Secretariat. The final report shall bedistributed by the ITTF to all P-members of JTC 1and the responsible SC Secretariat. All NBs shallbe informed that the DIS has been accepted forpublication. The final report shall be made availableto any NB on request.
12.8 Stage 5, IS Preparation forPublication
12.8.1 ThThe final electronic text shall be sent tothe ITTF (together with a recorded medium ifavailable) as a clean retyped document or ascamera-ready copy. Alternatively,in an acceptablemachine-readable form for publication.alone may beused to provide the "master", marked up inaccordance with ISO/IEC Directives, Part 3, usingISO 8879 - Standard Generalized Markup Language(SGML), together with a hard copy for information.
12.8.2 The ITTF editor shall check the text receivedto ensure that it is in conformance with the ISO/IECDirectives, Part 3. If amendments are considerednecessary, the ITTF editor shall submit proposalsfor amendment to the Project Editor for approval.No IS shall be published without such approval.
12.8.3 ITTF shall prepare a proof of the IS andsend this to the SC Secretariat, or Project Editor ifauthorized by the SC Secretariat, for endorsement.The only changes permissible at this stage arecorrections of recognized errors in the revised textor of errors introduced by ITTF in preparing theproof.
Final texts are the result of long, complexdiscussions by the experts concerned. These have,in many cases led to delicate compromises in thewording and content. The texts contain wordingagreed by the experts and understood by the users.Therefore, no editorial changes should be proposedwhich are considered matters of taste. Thefollowing particulars shall be respected:
• Many complex standards require a detailedtable of contents. If such a table isincluded, it shall not be shortened.
• If the standard is subdivided into sections,the clauses shall not be renumbered but leftas submitted.
• In many standards, specific typo-graphicalconventions are used (e.g., capital initials,capitalized words). These shall not bechanged.
• If drawings are redrafted at ITTF, the newdrawings, including the arrangement of thefigures, shall be submitted to the ProjectEditor for approval.
12.8.4 Upon receipt of the endorsed proof from theSC Secretariat or Project Editor, ITTF shall makeany final corrections required and proceed withpublication of the IS.
13 Preparation and Adoption ofInternational Standards - Fast-TrackProcessing
13.1 Any P-member of JTC 1 or organization inCategory A liaison with JTC 1 may propose that anexisting standard from any source be submittedwithout modification directly for vote as a DIS. Thecriteria for proposing an existing standard for thefast-track procedure is a matter for each proposer todecide.
Prior to submission of a document for fast-trackprocessing, a P-member or Category A liaisonorganization of JTC 1 may request that thedocument be submitted through the JTC 1Secretariat to one or more SCs for informalcomment or discussion among the interestedparties. Any comments on format, technicalcontent, completeness, etc. could be considered bythe requester prior to formal submission of thedocument for fast-track procedure.
Per JTC 1 N 3578R:The proposer of a fast-track document isencouraged to make a recommendation concerningthe assignment of the document to a given SC. Theproposer of a fast-track document shall submit thename of an individual who has agreed to serve asproject editor for the fast-track document. Thisrecommendation (or in its absence, the JTC 1Secretariat's recommendation) shall be circulated toJTC 1 NBs together with the DIS ballot. Separatelyfrom its vote on the technical content of thestandard, NBs shall be given the opportunity tocomment on the specific assignment. However,comments on assignment shall not prejudice thevote on technical content. In cases where the SC
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assignment is in question or where the fast-trackdocument does not appear appropriate for anyexisting SC, the JTC 1 Secretariat may perform theduties normally assigned to the SC Secretariat untilthe final SC assignment is determined. The JTC 1Secretariat shall ensure that the ballot resolutionmeeting is open to representation from all affectedinterests and is convened in a timely manner inkeeping with the spirit of the fast-track process.
[Note: For an existing project which has not yetreached Stage 3 (see 12.1), an SC may suspend the5-stage process in favor of the fast-track procedure(to be initiated by a P-member or a Category Aliaison organization of JTC 1) provided that:
• the SC agrees that the intended fast-trackdocument is suitable to satisfy therequirements of the existing project; and
• the SC agrees to the use of the fast-trackprocedure and so notifies JTC 1.]
13.2 The proposal shall be received by the ITTFwhich shall take the following actions:
• settle the copyright or trademark situation,or both, with the proposer, so that theproposed text can be freely copied anddistributed within ISO/IEC withoutrestriction;
• assess in consultation with the JTC 1Secretariat that JTC 1 is the competentcommittee for the subject covered in theproposed standard and ascertain that thereis no evident contradiction with otherISO/IEC standards;
• distribute the text of the proposed standardas a DIS, indicating that the standardbelongs in the domain of JTC 1. In case ofparticularly bulky documents the ITTF maydemand the necessary number of copiesfrom the proposer.
13.3 The period for combined DIS voting shall besix months. In order to be accepted the DIS mustmeet the criteria of 9.6.3 9.6.
13.4 Upon receipt of notification from the ITTFthat a DIS has been registered for fast-trackprocessing, the JTC 1 Secretariat shall inform theSecretariat of the SC recommended for assignmentof the project of the fast-track processed DISnumber, title, and ballot period dates, and shall send
the SC Secretariat a copy of the DIS. The JTC 1Secretariat shall also inform the ITTF of the SC thatwill deal with the DIS ballot results, in order that thetable of replies and any comments accompanyingthe votes may be sent by ITTF directly to the SCSecretariat as well as to the JTC 1 Secretariat.
13.5 Upon receipt of the notification from the JTC 1Secretariat that its SC has been assigned theresponsibility for dealing with a fast-track processedDIS, the SC Secretariat shall so inform the SC NBs,and shall make plans for the handling of ballotresults through the formation of a ballot resolutiongroup, as follows. The SC Secretariat shall:
• schedule a ballot resolution group meetingto consider any comments on the DIS;
• appoint a Convener for the ballot resolutiongroup ;
Per JTC 1 N3578 R:• appoint a Project Editor for the DIS. The
Project Editor shall be a representative ofthe organization that submitted the fast-track DIS, and shall be responsible forproducing the final DIS text in case ofacceptance;
• appoint a Project Editor for the DIS (see13.1, third paragraph). The Project Editorshall be responsible for producing the finalDIS text in case of acceptance.
• notify the SC NBs of the ballot resolutiongroup meeting date(s), location, Convener,and Project Editor.
In some cases the establishment of a ballotresolution group is unnecessary and the SCSecretariat can assign the task directly to theProject Editor.
13.6 Upon receipt of the DIS ballot results, and anycomments, the SC Secretariat shall distribute thismaterial to the SC NBs. The NBs shall berequested to consider the comments and to formopinions on their acceptability. The SC Secretariatshall also send notification of the ballot resolutiongroup meeting to any NBs having voted todisapprove the DIS that are not NBs of the SC.
Comments received after the normal voting periodwill not be taken into account, except that they willbe submitted to the appropriate SC Secretariat forconsideration at the time of the next review of the ISin question.
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13.7 NBs of the relevant SC shall appoint to theballot resolution group one or more representativeswho are well aware of the NB's position. NBshaving voted negatively, whether or not an NB ofthe relevant SC, have a duty to delegate arepresentative to the ballot resolution groupmeeting.
13.8 At the ballot resolution group meeting,decisions should be reached preferably byconsensus. If a vote is unavoidable the vote of theNBs will be taken according to normal JTC 1procedures.
13.9 If, after the deliberations of this ballotresolution group, the requirements of 9.6.3 9.6 aremet, the Project Editor shall prepare the amendedDIS and send it to the SC Secretariat who shallforward it to the ITTF for publication as an IS. Forits initial publication, the document is not required tobe in ISO/IEC format, but can be published in theformat of the submitting organization. However,subsequent revisions shall be in the formatprescribed by the ISO/IEC Directives - Part 3.
13.10 If it is impossible to agree to a text meetingthe above requirements, the proposal has failed andthe procedure is terminated.
13.11 In either case the Convener, in coordinationwith the Project Editor, shall prepare a full reportwhich shall be distributed by the SC Secretariat toits NBs and to the ITTF.
13.12 The time period for these different steps shallbe:
• a total of two months for the ITTF to sendthe results of the vote to the JTC 1Secretariat and to the SC Secretariat, andfor the latter to distribute it to its NBs;
• not less than two and one-half months priorto the date of the ballot resolution groupmeeting for distribution of the voting resultsand any comments;
• not later than one month after the ballotresolution group meeting for distributions bythe SC Secretariat of the final report and thefinal DIS text in case of acceptance.
13.13 If the proposed standard is accepted andpublished, its maintenance will be handled byJTC 1.
13.14 Subsequent revisions shall be in the formatprescribed by the ISO/IEC Directives - Part 3. Inthis case, the ITTF editor shall check the textreceived to ensure that it is in conformance with theISO/IEC Directives, Part 3. If amendments areconsidered necessary, the ITTF editor shall submitproposals for amendment to the Project Editor forapproval. No IS shall be published without suchapproval.
ITTF shall prepare a proof of the IS and send this tothe Project Editor for endorsement. The onlychanges permissible at this stage are corrections ofrecognized errors in the revised text or of errorsintroduced by ITTF in preparing the proof.
Upon receipt of the endorsed proof from the ProjectEditor, ITTF shall make any final correctionsrequired and proceed with publication of the IS.
14 Maintenance of InternationalStandards
The SC responsible for the development of adocument shall also be responsible for itsmaintenance after publication so that it is kept up-to-date. To safeguard the media used for publication,the Secretariat of the responsible SC shall ensurethat masters are maintained in the country of theSecretariat and also transmitted to ITTF for storage.
14.1 Revision
14.1.1 If it is decided that an IS is to be revised, theSC Secretariat shall inform the ITTF and add anappropriate project to the programme of work (see6.2.1.5).
14.1.2 The steps for revision start with Stage 2. If,however, JTC 1 (or one of its SCs) by a vote of itsP-members or at a meeting decides that theproposed revision is of relatively minor importance,it may direct the JTC 1 or SC Secretariat to submitthe revised IS directly to the ITTF for publication.
14.1.3 If the ITTF is able to verify that no significantchange is made in the IS by such minor revisions,the IS is published.
14.1.4 Where continuous updating of an IS isrequired, JTC 1 may request the establishment of amaintenance agency (see 2.7.3 2.6.3).
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14.1.5 Previous editions of standards (includingtheir amendments and technical corrigenda) may beincluded in the ISO and IEC Catalogues on anexception basis as determined by the SC, notingthat these documents should not be used for newdesigns.
Editor’s Note: While the following clause has not beenchanged, it should be noted that the voting time has beenreduced from four months to two months due to thereduction in approval time for an IS.
14.2 Withdrawal
The procedure for withdrawal of an IS is the sameas that for preparation and acceptance; that is, aninitial study shall take place in JTC 1. On therecommendation of JTC 1 or of the ITTF, theproposal for withdrawal shall then be submitted toNBs for approval, giving the same voting time limitsas for the approval of an IS (see 12.7.1.2).
14.3 Periodic Review
14.3.1 On request by an NB or the Secretaries-General and in any case not more than five yearsafter the publication of the most recent edition of astandard, each IS for which JTC 1 is responsibleshall be reviewed by JTC 1 with a view to deciding(by a majority of the P-members voting in a meetingor by correspondence) whether it should be:
• confirmed;
• revised;
• withdrawn.
The periodic review of a standard shall include thereview of any subsequently approved amendmentsor corrigenda. The publication dates ofamendments or corrigenda do not affect the timingof the periodic review. The review shall include anassessment of the degree to which the standard hasbeen applied in practice.
14.3.2 To allow sufficient time to accomplish theperiodic review within the targeted five-year periodand to provide JTC 1 NBs with pertinent informationon the technical relevance of the standard, SCs areinstructed to review all standards assigned to themfor development within the two years prior to theJTC 1 periodic review. SCs should make arecommendation (by action at a meeting or by letterballot) concerning the confirmation, revision orwithdrawal of each standard and should provide
information on the status of the standard as regards10.6. The SC Secretariat shall forward thisrecommendation to the ITTF and JTC 1 Secretariatfor inclusion with the periodic review ballot when it iscirculated to JTC 1 NBs or for consideration at ameeting. NBs shall be asked whether they supportthe SC recommendations and if not, to state theirpreference and the reasons therefor.
In the absence of a SC recommendation (i.e., forthose JTC 1 standards not assigned to an existingSC), NBs shall be asked to indicate whether theyare in favor of confirmation, revision or withdrawal.
14.3.3 If an SC is preparing a revision or a newedition of a standard, the SC Secretariat shallinform the ITTF and the periodic review will not beconducted unless requested by an NB or theSecretaries-General.
14.3.4 If the results of the JTC 1 ballot indicate thatthe standard should be confirmed, the ITTFconfirms the standard and notifies the JTC 1 andappropriate SC Secretariat. If JTC 1 decides torevise an IS, the provisions of 14.1 shall apply. IfJTC 1 decides to withdraw an IS, the provisions of14.2 shall apply.
14.3.5 In all cases, the results of the periodicreview ballot shall be forwarded to JTC 1 or theappropriate SC for information and consideration ofcomments received on the ballot.
14.4 Correction of Defects
14.4.1 Definitions
defectAn editorial defect or a technical defect.
editorial defectAn error which can be assumed to have noconsequences in the application of the IS, forexample a minor printing error.
technical defectA technical error or ambiguity in an IS inadvertentlyintroduced either in drafting or in printing whichcould lead to incorrect or unsafe application of theIS.
technical addition or changeAlteration or addition to previously agreed technicalprovisions in an existing IS.
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defectAn editorial defect or a technical defect.
14.4.2 General
14.4.2.1 A published IS may subsequently bemodified by the publication of a technicalcorrigendum (or corrected reprint of the currentedition). Technical corrigenda are normallypublished as separate documents, the edition of theIS affected remaining in print. However, the ITTFshall decide, in consultation with the Secretariat ofJTC 1 or SC, and bearing in mind both the financialconsequences to the organization and the interestsof users of the IS, whether to publish a technicalcorrigendum or a corrected reprint of the existingedition of the IS.
14.4.2.2 A technical corrigendum is issued tocorrect a technical defect. Technical corrigenda arenot normally issued for the correction of a feweditorial defects by themselves. In such cases,correction of these defects can be incorporated infuture technical corrigenda. Technical corrigendaare not issued for technical additions which shallfollow the amendment procedure in 14.5.
14.4.2.3 Suspected technical errors shall bebrought to the attention of the Secretariat of JTC 1or SC concerned. In the case of standards for whichproper implementation is dependent on the carefulbut rapid promulgation of corrections to defects, theprocedures in 14.4.3 through 14.4.10 shall apply.When these procedures are not required, 14.4.11shall apply.
14.4.3 Defect Correction Procedure
Detailed procedures for handling defect reports maybe developed if necessary by individual SCs.However, the general procedure is described in thefollowing clauses.
Per JTC 1 N 452314.4.4 Editing Group
To apply the defect correction procedures, an SCshall first agree that the procedures should beapplied with respect to a published IS or to the finaltext of a DIS (see 12.7.4.1 12.7.2.3 or 13.9). TheSC shall then establish an editing group associatedwith the WG to which the project is assigned. Theediting group shall consist of:
• the Project Editor for the IS (or FDIS orDIS), or a defect editor appointed by theSC;
• the editor of the corresponding ITU-TRecommendation, if applicable, or anindividual designated by the editor;
• other experts nominated by the NBs of theSC, upon distribution by the SC Secretariatof a call for such nominations;
• other experts nominated by thecorresponding ITU-T Study Group, ifapplicable.
[Note: In the case of multipart standards, or relatedstandards, it may be appropriate to have one editinggroup whose membership includes the editors of allthe related standards.]
If an editing group has not yet been established, theWG (or a subgroup, e.g., rapporteur group) to whichthe project is assigned shall take the role of editinggroup in processing defect reports pending formalestablishment of the editing group.
14.4.5 Defect Reports - Submission
A defect report (see Form 14) may be submitted byan NB, an organization in liaison, a member of theeditor's group for the subject document, or a WG ofthe SC responsible for the document.
The submitter shall complete items 2 to 4 and 7 to10 and, optionally, item 11 of the defect report form(Form 14) and shall send the form to the Conveneror Secretariat of the WG with which the relevanteditor's group is associated.
14.4.6 Defect Reports - Distribution
Upon receipt of a defect report, the WG Conveneror Secretariat shall complete items 1, 5 and 6 of theform. The defect report number contained in item 1consists of the IS or DIS number followed by asolidus and a sequentially assigned number (e.g.,8326/006). The WG Convener or Secretariat shallattach a WG document cover sheet which carries anassigned WG document number and indicates thestatus of the report (e.g., "This defect report isforwarded to the 8326 editor's group for review andresponse; it is sent to WG 6 for information").
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The WG Convener or Secretariat shall distribute thedefect report and attached cover sheet to the WGmembers and to the appropriate editor's group.
14.4.7 Preparation of Response by theEditor's Group
Upon receipt of a defect report from the WGConvener or Secretariat, each member of theeditor's group shall develop a proposed responseand send it to every other member of the editor'sgroup within one and one-half months of the date oftransmittal of the defect report by the WGSecretariat. This procedure may be bypassed if thedefect report can be discussed by the members at aconvenient meeting falling within the one and one-half month time period.
14.4.8 Preparation of Response by theProject Editor
Following consideration of the proposed responsesreceived from the editor's group members, theProject Editor shall prepare a single response andtransmit it with a copy of the defect report to the WGConvener or Secretariat and the other editor's groupmembers. This action shall be taken within twomonths of the date of transmittal of the defectreport.
With the response the Project Editor shall also senda statement of how the response is to be processed.Possible responses are:
• no change required;
• further consideration required;
• editorial defect;
• technical defect.
If the response has resulted in the development ofproposed material for publication, that material shallbe attached separately to the defect report.
14.4.9 Processing of Response - WGand SC levels
14.4.9.1 No Change Required
If the response to a defect report has not resulted inmaterial for publication (e.g., the 'defect' was theresult of misinterpretation or misunderstanding on
the part of the originator of the defect report), theWG Convener or Secretariat shall distribute thedefect report and the response to the WG forinformation attaching a new WG cover sheet with anew document number, and shall advise the WGthat no further action is required.
14.4.9.2 Further Consideration Required
If consideration of a defect report by an editor'sgroup results in the recommendation that furtherstudy of the issues involved will be required at theWG level, the WG Convener or Secretariat shalldistribute the defect report and this recommendationto the WG with a new cover sheet and documentnumber and shall advise the WG that it will be anitem for consideration at the next WG meeting.
[Note: Reference back to the WG could occur, forexample, if resolution of the defect appears to havesubstantial impact in existing implementations or atechnical solution cannot readily be devised.]
14.4.9.3 Editorial Defect
If the response to a defect report has resulted in thecorrection of an editorial defect, the WG Secretariatshall distribute the defect report, response, and textto the WG for information in accordance with14.4.9.1 and shall forward the text to the SCSecretariat who shall transmit it to the ITTF forincorporation into a future technical corrigendum.
14.4.9.4 Technical Defect
Per JTC 1 Ottawa Resolution 16 and JTC 1 N 501514.4.9.4.1 If the response to a defect report hasresulted in correction of a technical defect, it shallbe processed as a technical corrigendum. The WGConvener or Secretariat shall forward the defectreport, response and draft technical corrigendum tothe SC Secretariat, requesting a letter ballot on thedraft technical corrigendum by the SC andsimultaneous distribution to JTC 1 for review andcomment on the draft technical corrigendum bythose P-members of JTC 1 that are not P-membersof the SC.
14.4.9.4.2 The SC Secretariat shall forward copiesof the defect report, response, and technicalcorrigendum to notify the JTC 1 Secretariat of theSC ballot on the draft technical corrigendum. forsimultaneous SC letter ballot and JTC 1 commentperiod distribution. P-members of JTC 1 that are
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not P-members of the SC are instructed to submitany comments to the SC Secretariat.
14.4.9.4.3 Upon completion of the three-month SCballot/JTC 1 comment period, the SC Secretariatshall distribute the voting results and any commentsreceived to the SC and shall forward them to theapplicable WG Convener or Secretariat. The WGConvener or Secretariat shall distribute the resultsto the appropriate editor's group. Depending on theoutcome of the ballot, the SC Secretariat shall alsotake action as set out below.
14.4.9.4.4 If no comments or disapproval voteswere submitted on the material, the SC Secretariatshall forward it to the ITTF for publication, normallywithin three months, and send copies of thetransmittal letter and the material to the JTC 1Secretariat for information. For publicationconsiderations, see 14.4.2.1.
14.4.9.4.5 If the general results of the SC ballotwere positive, but some comments were received,the SC Secretariat shall also forward the commentsto the Project Editor for review when the votingresults are distributed to the SC in accordance with14.4.9.4.3 above. The Project Editor shall prepareresponses to the comments and return them to theSC Secretariat together with a revised text of thedraft technical corrigendum if any modification hasresulted from the editor's review. The SCSecretariat shall distribute the revised text anddisposition of comments report to the SC forinformation, and shall proceed with the submittal toITTF in accordance with 14.4.9.4.4 above. Eachtechnical corrigendum shall list the status of allamendments and technical corrigenda to the currentedition of the standard.
14.4.9.4.6 If the results of the SC ballot are notpositive, in forwarding the voting results to the WGConvener or Secretariat in accordance with14.4.9.4.3 above, the SC Secretariat shall instructthe WG Convener or Secretariat to distribute theresults to the appropriate editor's group forconsideration and the preparation of arecommendation on further action to be taken.
14.4.10 Maintenance of Defect ReportIndex
The Project Editor shall be responsible formaintaining a defect report index that contains, foreach defect report submitted,
• full identification of document numbers(including ITU-T references in jointprojects);
• status of the defect report;
• date when submittal occurred;
• date when response is required;
• date when ballot terminates (if appropriate);
• date of publication of solution to the defect.
The Project Editor shall submit a list of the currentmembership of the editor's group and the up-to-datedefect report index to the SC Secretariatimmediately before each SC meeting (and after, ifappropriate).
14.4.11 Special Correction Procedure
The following special procedure may be used by anSC if prior approval has been granted to the SC byJTC 1.
After confirmation by the Secretariat, in consultationwith the P-members of JTC 1 or SC, the Secretariatshall submit to ITTF a proposal to correct the errorwith an explanation of the need to do so. Forpublication considerations, see 14.4.2.1.
14.5 Amendment
14.5.1 A published IS may subsequently bemodified by the publication of an amendment. If itis decided that an IS is to be amended, either an NPshall be balloted or an appropriate projectsubdivision shall be added to the programme ofwork. Approval shall be in accordance with 6.2.1 or6.2.2 respectively. Amendments are published asseparate documents, the edition of the IS affectedremaining in print.
14.5.2 An amendment is issued to publish atechnical addition or change. The procedure fordeveloping and publishing an amendment shall beas described in 12. Processing is the same as for astandard except for the terminology. At Stage 3, thedocument is called a proposed draft amendment(PDAM). At Stage 4, the document is called a draftamendment (DAM).
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14.5.3 Each amendment shall list the status of allamendments and technical corrigenda to the currentedition of the standard.
14.5.4 At the publication stage (see 12.7.4.1 12.8),the ITTF shall decide, in consultation with theSecretariat of JTC 1 or SC, and bearing in mindboth the financial consequences to the organizationand the interests of users of the IS, whether topublish an amendment or a new edition of the IS,incorporating the amendment.
[Note: Where it is foreseen that there will befrequent additions to the provisions of an IS, thepossibility should be borne in mind at the outset ofdeveloping these additions as a series of parts (seeISO/IEC Directives, Part 3)]
15 Preparation and Adoption ofTechnical Reports
15.1 General
The primary duty of JTC 1 is the preparation andreview of ISs. The publication of TRs is anexception and should be considered only if thecircumstances given in 15.2.1, 15.2.2 or 15.2.3apply. TRs prepared by JTC 1 are published asdouble logo ISO/IEC technical reports by ITTF andcopies distributed to NBs.
The successive stages of the technical work arereferenced 1 to 5. These are defined as follows:
• Stage 1 (proposal stage): An NP is underconsideration.
• Stage 2 (preparatory stage): A WD is underconsideration.
• Stage 3 (committee stage): A PDTR isunder consideration.
• Stage 4 (approval stage): A DTR is underconsideration.
• Stage 5 (publication stage): An TR is beingprepared for publication.
For a given Technical Report, not all stages mayapply (see 15.3.2).
15.2 Types of Technical Reports
15.2.1 Type 1 Technical Report
When, despite repeated efforts within JTC 1, thesubstantial support (or necessary approval, as thecase may be) cannot be obtained for submission ofa CD for registration as a DIS, or for acceptance ofa DIS at NB voting stage, JTC 1 may decide torequest publication of the document in the form of aTR. The reasons why the required support could notbe obtained shall be mentioned in the document.
15.2.2 Type 2 Technical Report
When the subject in question is still under technicaldevelopment or where for any other reason there isthe possibility of an agreement at some time in thefuture, JTC 1 may decide that the publication of aTR would be more appropriate.
15.2.3 Type 3 Technical Report
When JTC 1 has prepared a document containinginformation of a different kind from that which isnormally published as an IS (for example, amodel/framework, technical requirements andplanning information, a testing criteria methodology,factual information obtained from a survey carriedout among the NBs, information on work in otherinternational bodies or information on the "state-of-the-art" in relation to standards of NBs on aparticular subject), JTC 1 may propose to the ITTFthat the information be published as a TR.
15.2.4 Contents of Type 1 and Type 2TRs
TRs of types 1 and 2 shall contain the followingparts:
• historical background;
• explanation of the reasons why JTC 1 hasconsidered it necessary to publish a TRinstead of an IS;
• technical content.
15.3 Outline of Procedures
15.3.1 The procedures for development ofTechnical Reports are similar to the procedures for
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development of International Standards described in12.2 and shall be followed unless otherwise noted.
15.3.2 All five stages may exist for type 2 and type3 Technical Reports. A type 1 TR document,however, would have reached Stage 3 or 4 as astandards project before entering the TR process atStage 3 or 4.
15.3.3 At the conclusion of Stage 3, the SCSecretariat shall submit the revised PDTR to theJTC 1 Secretariat (not to the ITTF) for furtherprocessing as a DTR.
15.3.4 In Stage 4, the JTC 1 Secretariat shalldistribute the DTR to JTC 1 P-members for a three-month letter ballot.
15.3.5 When the majority of the P-members ofJTC 1 have agreed to the publication of a TR, itshall be submitted by the JTC 1 Secretariat to theITTF, normally within two months.
Editor’s Note: The correspondence in JTC 1 N 5148apparently deals with an amendment to a TR. At present,there is no provision for amendments to TRs. (Theamendments wording in clause 14.5 only relates to ISs).The Procedures Group added sections on revision (similar to14.1) and amendment (similar to 14.5) to clarify this issue.
15.4 Maintenance of Technical Reports
15.4.1 Type 1 and Type 2 TRs
15.4.1.1 TRs of types 1 and 2 shall be subject toreview by JTC 1 not later than three years after theirpublication. The aim of such a review shall be toreexamine the situation which resulted in thepublication of a TR and if possible to achieve theagreement necessary for the publication of an IS toreplace the TR.
15.4.1.2 The SC responsible for the type 1 or type 2TR project shall make a recommendation to JTC 1prior to the third year after publication, statingwhether the TR should be
• converted to an IS without change;
• revised and published as an IS;
• confirmed for continuation as a TR;
• revised for publication as a revision to theTR;
• withdrawn.
15.4.1.3 If the type 1 or type 2 TR is confirmed,there shall be another JTC 1 review not more thanthree years later.
15.4.2 Type 3 TRs
TRs of type 3 shall be subject to review every fiveyears in the same manner as ISs (see 14.3).
15.4.3 Revision
15.4.3.1 If it is decided that a TR is to be revised,the SC Secretariat shall inform the ITTF and add anappropriate project to the programme of work(similar to IS revision in 6.2.1.5).
15.4.3.2 The steps for revision start with Stage 2.If, however, JTC 1 (or one of its SCs) by a vote ofits P-members or at a meeting decides that theproposed revision is of relatively minor importance,it may direct the JTC 1 or SC Secretariat to submitthe revised TR directly to the ITTF for publication.
15.4.3.3 If the ITTF is able to verify that nosignificant change is made in the TR by such minorrevisions, the TR is published.
15.4.4 Amendment
15.4.4.1 A published TR may subsequently bemodified by the publication of an amendment. If itis decided that a TR is to be amended, either an NPshall be balloted or an appropriate projectsubdivision shall be added to the programme ofwork. Approval shall be in accordance with 6.2.1 or6.2.2 respectively. Amendments are published asseparate documents, the edition of the TR affectedremaining in print.
15.4.4.2 The procedure for developing andpublishing an amendment shall be as described in15.3. Processing is the same as for a technicalreport except for the terminology. At Stage 3, thedocument is called a proposed draft amendment(PDAM). At Stage 4, the document is called a draftamendment (DAM).
15.4.4.3 At the publication stage, the ITTF shalldecide, in consultation with the Secretariat of JTC 1or SC, and bearing in mind both the financialconsequences to the organization and the interestsof users of the TR, whether to publish an
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amendment or a new edition of the TR,incorporating the amendment.
15.4.35 Withdrawal
The procedure for withdrawal of a TR is the same asthat for preparation and acceptance; that is, aninitial study shall take place in JTC 1. On therecommendation of JTC 1 or of the ITTF, theproposal for withdrawal shall then be submitted toNBs for approval, giving the same voting time limitsas for the approval of a TR (see 15.3.4).
16 International Standardized Profilesand Related Documents
Procedures for the preparation and adoption of ISPsare covered in Annex D.
16.1 International Standardized Profiles(ISP)
An ISP is an internationally agreed-to, harmonizeddocument which identifies a standard or group ofstandards, together with options and parameters,necessary to accomplish a function or set offunctions (see ISO/IEC TR 10000-1).
An ISP includes the specification of one or moreProfiles. Each Profile is a set of one or more basestandards, and, where applicable, the identificationof chosen classes, subsets, options and parametersof those base standards, necessary foraccomplishing a particular function.
Profiles define combinations of base standards forthe purpose of:
• identifying the base standards, together withappropriate classes, subsets, options andparameters, which are necessary toaccomplish identified functions for purposessuch as interoperability;
• providing a system of referencing thevarious uses of base standards which ismeaningful to both users and suppliers;
• providing a means to enhance theavailability for procurement of consistentimplementations of functionally definedgroups of base standards, which areexpected to be the major components ofreal application systems;
• promoting uniformity in the development ofconformance tests for systems thatimplement the functions associated with theProfiles.
16.2 Taxonomy of Profiles
16.2.1 The Taxonomy is the structure andclassification within which Profiles will fit. It gives afirst-level specification of Profiles, including anydetermined technical constraints due to theirposition in the structure, it classifies them and itspecifies a number of relationships between them.
16.2.2 The process of drafting and approving ISPsrequires a technical framework within which tooperate. ISPs will, in general, be written, evaluatedand used by experts in specific areas ofstandardization. There is therefore a prima faciecase for identifying classes of Profiles whichcorrespond to these main areas of expertise. It isalso the case that the subcommittee structure ofISO/IEC JTC 1 provides some clear pointers towhere the boundaries between classes of Profilesshould be made. These conceptual boundaries oftencoincide with real boundaries withinimplementations of real systems.
16.2.3 Having defined such classes, there is then aneed to make further subdivisions, related to theinherent real-world divisions of functionality whichare supported by the base standards concerned.These sub-classes correspond to functionalelements which are meaningful to both users andsuppliers; they correspond to points where choicesare made, such as whether or not to use/offer aparticular subset of an application service, or whichcommunications sub-network environment is to beaccessed.
16.2.4 The Taxonomy therefore provides astructure within which these choices can be madeand recorded, and the embodiment of theTaxonomy is the structured identifier system.ISO/IEC TR 10000 provides the detail of thissystem.
Editor’s Note: The following wording follows the directiongiven in Ottawa Resolution 24 and JTC 1 N 5012.Note, however, that N 5012 also invites S-liaisons to apply tobecome PAS submitters if they wish to submit documents toJTC 1 for adoption as ISPs, but Supplement 1 on PAS refersto SGFS and Annex D, which do not exist anymore, andthere are no procedures in these Directives for processing
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DISP documents resulting from a PAS submission. TheProcedures Group did not address these areas sinceSupplement 1 was outside the scope of its consideration andthe PAS process is undergoing a trial period which will soonbe evaluated by JTC 1.
16.3 ISP Preparation and Adoption
16.3.1 The procedure for developing and publishingan ISP shall be as described in 12. Processing isthe same as for a standard except for theterminology. At Stage 3, the document is called aproposed draft international standardized profile(PDISP) or final proposed draft international profile(FPDISP). At Stage 4, the document is called afinal draft international standardized profile (FDISP).
16.3.2 Organizations outside of JTC 1 that wouldlike to submit a draft document for adoption as anISP are invited to apply for recognition as a PubliclyAvailable Specification (PAS) Submitter (seeSupplement 1 to these Directives).
16.3 16.4 Explanatory and ReviewReports
16.3.1 An explanatory report shall be prepared bythe originator of a PDISP and shall be submitted toSGFS together with the PDISP. In addition togeneral information about the PDISP, it containssections covering the base standards referenced,registration requirements, relationship to otherpublications, profile purpose, PDISP developmentprocess, ISP content and format and other pertinentinformation (see D4.2).
16.3.2 A review report shall be prepared by thereview group charged with reviewing a submittedPDISP. This report shall include an evaluation ofthe completeness and accuracy of the information inthe PDISP and the explanatory report, and anassessment of the degree of harmonization that hasbeen achieved (see D5.3).
17 Appointment and Operation ofRegistration Authorities
17.1 Overview
There is a need in the field of informationtechnology for the unambiguous identification ofobjects to provide interoperability betweeninformation systems. Individual standardscommittees have defined, as part of their
development of technical standards, classes ofobjects (e.g., fonts, coded character sets, protocols,etc.). Specific objects are the individual members ofthe class of objects (e.g., for the class of objects"fonts", the objects might be "Times", "Gothic", etc.),Registration is the process whereby unambiguousnames are formally associated with objects. Thismay be done by an organization, a standard or anautomated facility.
17.2 Types of Structures forRegistration
There are two types of structures for registration:
• a single international level registration, e.g.,the JTC 1 Registration Authority used inconjunction with ISO 2375 for codedcharacter sets
• a hierarchy of registration, e.g., as forInternational Code Designators (ICD) in ISO6523, Data Interchange - Structures for theIdentification of Organizations
In the case of registration through a singleinternational level registration, all names for a givenobject class are chosen from a single, flat, namingdomain. In the case of registration through ahierarchy, the highest level of registration partitionsthe naming domain and assigns the registrationresponsibility for each partition to a subordinatelevel. This process can be iterative, with thesubordinate level partitioning its assigned namingdomain further and assigning those partitions.
In both cases above, the highest level of registrationcan be an IS or a JTC 1 Registration Authority.
In the case of a hierarchy of registration,
• a subordinate level of registration can beperformed by an organization, standard orautomated facility;
• there can be a requirement for a JTC 1Registration Authority within the hierarchy toprovide for the registration of objects at theinternational level.
17.3 Need for Registration andRegistration Authorities
17.3.1 Technical groups developing technicalstandards shall make every attempt to avoid the
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necessity for registration and JTC 1 RegistrationAuthorities in particular. Where this is not possible,technical groups shall attempt to satisfy theirrequirements through the use of existing registrationprocesses (e.g., use of ISO 3166 by ISO/IEC 10021and ISO/IEC 8348 Add 2).
The Editor assumes the following responsibility transfers tothe RG-RA
17.3.2 All requirements for registration must bereviewed and concurred by the SWG-RA RG-RA(see 17.4.2). Procedure standards for JTC 1Registration Authorities must also be reviewed andconcurred by the SWG-RA RG-RA (see 17.4.2).Where registration is performed by a means otherthan a JTC 1 Registration Authority, the SWG-RARG-RA must still assure the international integrity ofthe registration. This involves a review by theSWG-RA RG-RA of the documentation of theprocess by which other organizations, standards orautomated facilities provide the registration andaction by the SWG-RA RG-RA on an exceptionbasis as required. This documentation may take theform of procedures to be included in the technicalstandard, reference to existing standards, or thecreation of separate procedure standards.
17.4 Standards and Publications
17.4.1 For every type of registration involving aJTC 1 Registration Authority, two different standardsare required. The first is the technical standard in
which the objects to be registered are defined. Thesecond shall define the procedure according towhich the JTC 1 Registration Authority shall workand specify its duties and obligations. Theprocedure standard shall also specify an appealsprocedure which shall be written by the SWG-RARG-RA in consultation with the proposed JTC 1Registration Authority and the ITTF.
17.4.2 Where a new JTC 1 Registration Authority isrequired, the technical group responsible for thetechnical standard defining the objects to beregistered shall develop the companion procedurestandard. The group shall consult with the SWG-RARG-RA at the beginning of the development of theprocedure standard to discuss how therequirements in Annex E (see also 17.3) pertain tothe class of objects to be registered. A draft of theprocedure standard shall be registered for CD ballotat the time of DIS ballot of the technical standard.
17.5 JTC 1 Registration Authorities
In cases where the implementation of an IS requiresthe designation of a JTC 1 registration authority, therules in Annex E shall be applied.
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Annex A: Secretariat Resources and Operational Requirements
A1 Resources of a Secretariat
An NB to which a Secretariat has been assignedshall recognize that, no matter what arrangements itmakes in its country to provide the requiredservices, it is the NB itself that is ultimatelyresponsible to Councils for the proper functioning ofthe Secretariat.
The Secretariat shall therefore have adequateadministrative and financial means or backing toensure:
• facilities for typing in English or French, orboth, and for any necessary reproduction ofdocuments;
• preparation of adequate technicalillustrations;
• registration and identification and use, withtranslation where necessary, of documentsreceived in the official languages;
• updating and continuous supervision of thestructure of the committee and its subsidiarybodies, if any;
• prompt dispatch of correspondence anddocuments;
• adequate communication facilities bytelephone, telex and, if possible,telefaxfacsimile, email and web access;
• the ability to discharge the Secretariat’selectronic document distributionresponsibilities as defined in Annex H;
• arrangements and facilities for servicesduring meetings, in collaboration with thehost NB, as required;
• attendance of the Secretary at any meetingsrequiring the Secretary's presence, including
JTC 1 or SC meetings, or both, editingcommittee meetings, WG meetings, andconsultation with the Chairman asnecessary;
• access by the Secretary to base ISs (seeISO/IEC Directives, Part 3), and to ISs,national standards and/or relateddocuments in the field under consideration;
• access by the Secretary, when necessary,to experts capable of advising on technicalissues in the IT field.
A2 Qualifications of a Secretary
The individual appointed as Secretary shall
• have sufficient knowledge of English orFrench, or both;
• be familiar with these directives;
• be in a position to advise the committee andany subsidiary bodies on any point ofprocedure or drafting, after consultation withthe ITTF if necessary;
• be aware of any decisions by Councils orTMB/CA regarding the activities of JTC 1,SC, or WG for which the Secretary isresponsible;
• be a good organizer and have training inand ability for managing and administeringwork, in order to organize and conduct thework of the committee and to promoteactive participation on the part of committeemembers and subsidiary bodies.
It is recommended that newly appointed Secretariesof SCs should make an early visit to the office of theITTF in Geneva in order to discuss procedures andworking methods with the staff concerned.
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Annex B: Stages of Progression of Work Items
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Annex C: JTC 1 Policy on Conformity Assessment
C1 Role of JTC 1 in ConformityAssessment1
In order to foster the overall objectives of JTC 1standardization and to promote consistentimplementation of JTC 1 standards and ISPs, JTC 1has resolved that it:
• serve as the focal point on InformationTechnology2 standardization activitiesrelated to the assessment of conformity3 ofproducts to JTC 1 International Standardsand ISPs, and increase its focus on thoseactivities;
• position itself to be a major contributor tointernational acceptance of conformityassessment procedures and specificationsfor IT related areas;
• work to support an environment whichencourages worldwide recognition ofconformity assessment results.
C2 Authority and Responsibility
Consistent with the above resolution, the followingpolicy has been affirmed.
C2.1 JTC 1 has the authority and responsibility tomake clear for each of its standards, technicalreports and ISPs
1Conformity Assessment is any activity concernedwith determining directly or indirectly that relevantrequirements are fulfilled [ISO/IEC Guide2:1991/DAM 1:1994, 12.1].
2Information Technology as defined by the workprogram of JTC1.
3Conformity is fulfilment by a product, process orservice of specified requirements [ISO/IEC Guide2:1991,13.1].
• whether or not conformity or compliance4
requirements are specified,
• to what or whom those requirements apply,and
• how to verify conformity or compliance4 tothose requirements.
C2.2 It is the responsibility of each JTC 1Subcommittee to ensure that any conformityrequirements in its standards or ISPs forimplementation in products are unambiguous andthat conformity to those requirements is verifiable.
C2.3 It is the responsibility of SGFS to ensure thatconformity requirements in ISPs are unambiguousand that conformity to those requirements isverifiable.
Editor’s Note: The SWG-CA responsibilities in the followingtwo clauses have been deleted due to the disbandment ofSWG-CA.
C2.4 C2.3 Each JTC 1 Subcommittee has theauthority and responsibility to specify the conformityassessment methodology applicable to any distinctarea of Information Technology that is entirely withinthe scope of that Subcommittee. For areas ofInformation Technology which are relevant to morethan one JTC 1 Subcommittee, SWG-CA shouldwhen necessary advise JTC 1 which Subcommitteeshould be given the responsibility to specify therelevant conformity assessment methodology, andwhich other Subcommittees should be involved inthe work.
C2.5 SWG-CA has the authority and responsibilityto advise JTC 1 on work that needs to be donerelevant to conformity assessment for JTC 1standards and ISPs. This may include IT specificinterpretations of general ISO/IEC Guides as well aswork specific to particular areas of IT not covered or
4Compliance is adherence to those requirementscontained in standards and technical reports whichspecify requirements to be fulfilled by otherstandards, technical reports or ISPs (e.g. referencemodels and methodologies). Compliance is notconsidered further in this policy statement.
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inadequately covered by existing conformityassessment methodology5 standards and technicalreports.
Per Ottawa Resolution 5C2.4 The RG-CAI will normally conduct its businessvia electronic communication. The Rapporteur willwork with the JTC 1 Liaison Officer to ISO/CASCOto ensure that ISO/CASCO Guides, Standards andDrafts are distributed within the Rapporteur Group orto the whole of JTC 1 as appropriate; are evaluatedas required; recommendations made to JTC 1 asneeded; and regular reports made to JTC 1 on theactivities of the Rapporteur Group.
C3 Mutual Recognition
In the conformity assessment area, JTC 1'sobjectives include the facilitation of
• mutual recognition of accreditation, testreports, certification and registration in theIT field, primarily by developing appropriatestandards, and
• recognition of Supplier's Declaration as alegitimate statement of conformity.
SWG-CA will keep these under review for JTC 1 toidentify cases in which action needs to be takenwithin JTC 1 to improve the processes andenvironment leading to international mutualrecognition. SWG-CA will actively identify andmonitor initiatives that are taken outside JTC 1 toachieve mutual recognition agreements bothregionally and internationally and will do what it canto support such initiatives if they are considered tobe sufficiently open. A priority will be for mutualrecognition agreements among accreditationbodies.
5A conformity assessment methodology mayinclude the specification of some or all of thefollowing: terminology, basic concepts, requirementsand guidance concerning test methods, testspecification and means of testing, andrequirements and guidance concerning theoperation of conformity assessment services andthe presentation of results.
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Per JTC 1 Ottawa Resolution 24 and JTC 1 N 5012
Annex D: ISO/IEC JTC 1/SGFS - Taxonomy Update,ISP Approval and Maintenance Process
D1 Scope
The scope of this ISP process document is to definethe ISO/IEC JTC 1 procedural mechanisms bywhich:
a) An addition or modification to the ISO/IECTR10000 occurs (see D3);
b) A Proposed Draft International StandardizedProfile (PDISP) is submitted (see D4);
c) A review of any submitted PDISP takesplace (see D5 );
d) DISP ballot results are resolved (see D6);
e) Defects in ISPs are processed (see D7 andD8);
f) The status of ISPs is recorded and updatedin "The Directory of ISPs and the profilescontained therein", called hereafter "TheDirectory of ISPs", and published in SD-4(see D9);
g) Authorized subgroups of the SGFS areorganized (see D11).
These procedural mechanisms supplement theISO/IEC JTC 1 procedures.
These procedures cover:
– OSI based profiles and associated ProfileTest Suites (PTS);
– Application Environment profiles (AEPs)and associated Profile Test Suites, coveringfunctionality for the Open SystemsEnvironment (OSE).
The procedures cover two situations with respect toISO/IEC: where the PDISP is solely within the scopeof JTC 1 and where more than one TechnicalCommittee (TC) is involved. In the latter case,extra requirements apply, including the existence ofa multi-TC ISP cooperative agreement document(see D2 ).
D2 Use of this Procedure Document
D2.1 Categories of Use
a) The submission requirements described inD3, D4 and D10 shall be followed by asubmitter of a PDISP or a TR10000 changerequest;
b) The procedures descriptions contained inD5 and D6 form the basis for the processingand approval of ISPs;
c) The maintenance and update provisions foran ISP described in D7 and D8 will befollowed by the designated maintenanceorganization (MO) for an ISP;
d) The updating of "The Directory of ISPs" willbe performed by the SGFS secretariatconsistent with D9;
e) The organization of authorized subgroupswill be performed by the SGFS chairconsistent with D11.
[Note: ISPs should be documented in theISO and IEC catalogs following theprescribed working methods.]
D2.2 Multi-TC Requirements
In cases D2.1 a) - c) inclusive, further requirementsapply if multiple TCs are involved in the approval ofa multiple part ISP. In the case of multiple TCinvolvement, a cooperative agreement shall bedeveloped and agreed jointly by JTC 1, the TC(s)involved and the organization or organizationswhich are expected to develop the parts of themulti-part ISP. The cooperative agreement shallinclude at least the following:
a) Identification of which TC is responsible foroverall coordination of the multi-part ISP;
b) Identification of which TC is responsible forthe format of the profile and/or associated
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PTS and for including the profile in ataxonomy and a directory of profiles ifneeded. This will normally be the same asthe TC in a) above. In the case of JTC 1,the Directory of ISPs in SD-4 and theframework and taxonomy update procedure(D3) shall be used;
c) For each and every part of the multi-partISP, a unique assignment of the TCresponsible for processing that part of theISP under its own procedures, includingcalling and conducting ballot resolutionmeetings.
For those ISPs for which JTC 1 is identified as beingresponsible in a) above, the procedures in D4, D5.1-D5.3 and D5.4 e) shall apply and will requireexplanatory and review reports covering all parts.The full submission and approval procedures in D4,D5 and D6 shall only be applied to those parts of amulti-part ISP for which JTC 1 has been identifiedas responsible in c) above.
D3 Framework and Taxonomy UpdateProcedure (ISO/IEC TR10000-1 and -2)
D3.1 Submission
An authorized body can submit a change request tothe SGFS secretariat for addition to, or modificationof, the Framework of ISPs (e.g., TR10000-1) or theTaxonomy of profiles (e.g., TR10000-2). Changerequests for the taxonomy are acceptable onlywithin the scope set out in TR10000-1, Clause 1.
Authorized bodies are:
a) 'A' and 'S' liaison organizations ofJTC 1/SGFS;
b) SCs within ISO/IEC JTC 1;
c) An ISO or IEC Technical Committee with aJTC 1 ISP requirement;
d) The JTC 1/SGFS;
e) JTC 1/SGFS 'P' Members.
A submitter shall submit a change request report(see D10) and a proposal for the changes to bemade.
If the request to change the taxonomy is aharmonized request from an S-liaison, as indicatedin the change request, the SGFS secretariat selectsthe appropriate procedure from those described inD3.2 to D3.4 below. For all other change requests,the procedure in D3.4 is always used.
D3.2 Independent Taxonomy Change
This procedure applies to taxonomy changes when:
a) the change affects only TR10000-2; and
b) the change is within the scope of TR10000-1; and
c) the change request is a harmonized requestsubmitted from an S-liaison source.
Recording of the change takes place according toD3.5 below.
Adoption of the change takes place according toD3.3 or D3.4 below.
D3.3 Combined Taxonomy Changes andPDISP Submission
This procedure applies to change requests when:
a) the change affects only TR10000-2; and
b) the change is within the scope of TR10000-1; and
c) identifies one or more profiles; and
d) the change belongs to a class of changesfor which the SGFS has given priorauthorization to follow this procedure; and
e) the submission of the change request isdone in combination with the submission ofthe PDISP (or PDISP parts) containing theprofiled identified in the change request;and
f) the change request is a harmonized requestsubmitted from an S-liaison source.
The approval of a change request for which theseconditions hold will be done in combination with, andby the same authorities as the approval of thecorresponding PDISPs (or PDISP parts).
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The SGFS secretariat will combine the distributionfor review of these changes requests with thedistribution for review of the corresponding PDISPsand the proposals are therefore distributed to thereview group for review and to the SGFS membersfor information.
The provisions for successful completion andinitiation of the DISP ballot are the same as for thePDISP review (see D5.3 and D5.4). The result ofthe taxonomy reviews forms part of the reviewreport for the PDISP.
JTC 1 national bodies and liaison organizations willbe informed by the cover letter for the DISP thatsuccessful completion of the DISP ballot will betaken as agreement to the associated taxonomychange request. Any independent taxonomychange previously recorded in SD-8 which applies tothe DISP under combined ballot will be removedfrom SD-8 if the ballot is successful.
The provisions for the successful completion of theballot and subsequent ISP publication are the sameas those for the DISPs (see D6). If ISP publicationis approved, the associated taxonomy change willbe incorporated into the next edition of TR10000-2.
D3.4 Ballot Procedure for Frameworkand/or Taxonomy Change
This procedure applies to framework and/ortaxonomy changes when:
a) the change affects TR10000-1 (and possiblyTR10000-2); and
b) a proposed change to TR10000-2 isreceived which is not an harmonizedchange;
c) SGFS decides to ballot a harmonized,independent taxonomy change request.
The SGFS secretariat will distribute a changerequest of this type to:
• an authorized subgroup of the SGFS, tobring the proposal into TR10000 format ifrequired, or otherwise to assess theproposal, and to SGFS for information; or
Note: For the procedures associated withan authorized subgroup and its permittedsubjects, see D11.
• if an SGFS meeting is scheduled in the nearfuture, to the SGFS itself.
If an authorized subgroup is considering the request,the following preliminary step is involved. Aftercompletion or assessment by the subgroup, theSGFS secretariat will distribute the completedproposal (or, if appropriate, the proposal with itsassessment) to the SGFS for 'comment andindication of support'. NBs and liaisonorganizations are encouraged to comment on thechange request as soon as possible in order thatpotential agreement on non-controversial changescan be detected at an early stage bycorrespondence. NB and liaison organizationresponses should be submitted within 3 monthsfrom circulation of the change request.
When either an authorized subgroup is involved orthe change is submitted directly to an SGFSmeeting, the following provisions apply:
If it appears that there is an insufficient level ofsupport, attempts will be made by an authorizedsubgroup of the SGFS, in co-operation with theoriginator, to resolve the deficiencies. This mayresult in a new version of the proposal beingsubmitted. Unless otherwise decided by the SGFS,the new proposal will be distributed by theSecretariat for 'comment and indication of support'as described in the preceding paragraph.
Consideration and progression of successiveproposals shall continue until substantial supporthas been obtained or a decision to abandon or deferthe request has been reached.
Each SGFS or authorized subgroup meeting willconsider all changes requests submitted to thecommittee in time for the next meeting. Ifsubstantial support is obtained, the change requestand the review report will be submitted to the JTC 1secretariat for JTC 1 ballot and simultaneously toSGFS members for information. The JTC 1secretariat will distribute these documents for JTC 1letter ballot. SGFS members will be informed of theballot by the SGFS secretariat.
The provisions for the successful completion of theballot and subsequent publication are similar tothose for DISPs (see D6 ). In particular, a ballot
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resolution meeting may be held (see D6.2 andD6.3). If publication is approved the JTC 1Secretariat will publish the updated parts ofTR10000.
D3.5 Recording of Proposed TaxonomyChanges.
For all proposed taxonomy changes, whetherproposed under D3.2, D3.3, or D3.4 above, theSGFS secretariat, after checking that theinformation required in D10, "change request reportand taxonomy update procedure" has been correctlyfurnished, will incorporate the proposed taxonomychange in the next edition of SGFS SD-8,"Proposed taxonomy changes". If and whenapproved, the taxonomy change will be incorporatedinto TR10000-2 and removed from SD-8.
D4 Submission of a PDISP
D4.1 Outline of Procedure
A Proposed draft ISP (PDISP) can be submitted byan authorized body to the SGFS. Authorized bodiesare:
a) 'A' and 'S' liaison organizations ofJTC 1/SGFS;
b) SCs within ISO/IEC JTC 1;
c) An ISO or IEC Technical Committee with aJTC 1 ISP requirement (in the case of multi-TC ISPs, D4.3 also applies);
d) JTC 1 or JTC 1/SGFS P-members.
The target processing time of a PDISP fromsubmission to publication is 7-10 months. To meetthe timing targets, potential PDISP submittersshould notify the SGFS secretariat of their intentionto submit a specific PDISP at least three monthsbefore the planned submission date. Such earlynotification will enable the SGFS review process(see D5) to be set up before the PDISP submission.
A submitted PDISP shall be accompanied by anexplanatory report from the submitter. Both thePDISP and the explanatory report will be circulatedon receipt to SGFS members. The explanatoryreport contains a number of items of importantinformation, including a statement about the degreeof openness and a description of the degree of
international harmonization which has beenreached. The explanatory report contents aredetailed in D4.2.
PDISPs will be reviewed by a review group, themembership and functions of which are described inD5.
D4.2 Explanatory Report
A PDISP may cover more than one profile and/orassociated PTS and do so in multiple parts. Theexplanatory report should cover each partindividually.
The explanatory report shall contain the followinginformation that relates to the content of the PDISP(unless the submitter shall indicate that it is notapplicable).
a) General ISP Information
1) Profile identifier (if assigned);
2) Profile and/or PTS title;
3) Name of submitting organization andthe name of an individual who, aseditor, will serve as the contact pointduring the review and approvalprocess;
4) Date of original notification to SGFS;
5) A declaration by the submittingorganization (or other designatedorganization) of commitment tomaintain the PDISP after its approvaland identification of an individual, ifknown, who will serve as contact pointfor PDISP maintenance;
6) In case of a multi-TC ISP, Thereference to the multi-TC ISPcooperative agreement.
b) Base Standards Referenced
1) A list of ISO, IEC and ISO/IECstandards (including ISPs), technicalreports and ITU-T Recommendationsreferenced in the PDISP together withtheir numbers, dates and titles. Whenan ISP specifies ISO/IEC InternationalStandards or ITU-T Recommendations
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which contained aligned or identicaltext, both the ISO/IEC Internationalstandards and/or ITU-TRecommendations shall be referencedin the ISP;
2) In case where the ISP contains PTS,an identification of the ISP or ISPswhich contain the profiles which thePTS corresponds to, as well as anidentification of base standards whichcontain the abstract test suites for thebase standard on which the profile isbased, and an indication of the statusof the ATS base standards;
3) A statement stating whether thedocumentation requirements inISO/IEC TR10000-1 on conformancehave been met;
4) Any aspect of actual or potential non-compliance with base standardsshould be specifically addressed;
5) An identification of any approvedamendments, technical corrigenda orerrata to base standards referenced inthe profile or the PTS which in theview of the submitting organization arethought to be applicable or notapplicable. This information is alsoincluded in the PDISP; therefore, if theexplanatory report and the PDISP aresubmitted at the same time , theexplanatory report may simply refer tothe PDISP for this information.
c) Registration requirements
1) A list of ISO, IEC, ISO/IEC standards,Technical Reports and ITU-TRecommendations which are used asreferences for registration, includingtheir numbers, dates and titles;
2) A list of any new SGFS ISPregistration requirements orprocedures required, together with astatement of justification for these;
3) A statement on the object identifiersallocated in the ISP, if any;
4) A list of any national or regionalrequirement references, including theirnumbers, dates and titles, togetherwith a statement as to why these arerequired. These references should beinformative, not normative.
d) Relationship to Other Publications
A list of any national or regionalstandards referenced in the PDISP,citing their numbers, dates and titles,together with a statement as to whythese are required. The references tothese standards should be informative,not normative.
e) Profile Purpose
1) An executive summary of the scopeand purpose of the profile is required.This summary should be written sothat it can be clearly understood by abroad audience which may includepeople not familiar with details ofstandards. It should be in the form ofan abstract of about a third of a pagein length and must be suitable forpublication in the Directory of ISPs. Inthe case of a PTS, the executivesummary for the relevant profileshould be revised in order to mentionthe availability of the PTS;
2) A statement on the relationship to anyother ISPs or profiles in the taxonomyand the usage of common sections oftext as described in TR10000 Part 1.Annex B if known.
f) PDISP development process
1) A statement of the origin anddevelopment history of the PDISPtogether with the dates of majorchanges of status;
2) A statement of the degree ofopenness of the PDISP developmentprocess and the extent of internationalharmonization that has beenachieved, including for appropriateprofiles or profile test suites, whetheror not the PDISP has been considered
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and/or endorsed by any of the regionalworkshops for open systems;
3) A statement of the results of any jointplanning operation between thesubmitting organization and ISO/IECJTC 1/SGFS. This includes a reviewof the identified purpose for the ISPand identification of liaisons requiredwith those ISO/IEC SCs, other TCsand/or ITU-T SGs responsible for thebase standards referencednormatively in the ISP. It shall alsoidentify, when applicable, time framesfor finalization of base standards,considering that a reference to a non-approved base standard (e.g.,CD/PDAM or DIS/DAM stage) shouldnot appear in an ISP;
4) In the case where the ISP containsPTS, a statement as to whether thecorresponding ATS has beenstandardized, or submitted to the basestandards committees, and ifapplicable, an estimation of timeframes for finalization of basestandards ATS.
g) ISP content and format
1) A statement as to whether therequirements on ISP content andformat as described in TR10000-1D5.3, D7 and Annex A have been met;
2) If g(1) is not positive, an explanationfor the divergence;
3) Whether or not a multi-part ISPstructure is envisaged and if so, anexplanation of the structure;
4) Whether multi-TC requirements areincluded.
h) Any other pertinent information
The submitter should indicate anyother information that may beappropriate for consideration in thePDISP approval process.
D4.3 Multi-TC ISPs
When multi-TC ISPs are involved, the submissionmay be made directly to JTC 1 when JTC 1 hasoverall coordination responsibility. When thatresponsibility has been assigned to another TCunder the multi-TC cooperative agreementdocument, parts of the multi-TC ISP for which theJTC 1 review and balloting procedures are to applywill be forwarded to JTC 1 on behalf of the originalsubmitter by the TC which has the overallresponsibility. The submission by the coordinatingTC should clearly indicate the status that has beenachieved within that TC (e.g., authorized for JTC 1submission by resolution). The submission shouldalso clearly identify that the JTC 1 procedures are toapply so that parts sent for processing under theJTC 1 procedures are distinguished from thosesubmitted through normal liaison for informationand/or comment.
D5 PDISP Review Process
D5.1 Outline of Procedure
When a PDISP is submitted to the SGFSSecretariat, the PDISP and the explanatory reportwill be distributed to SGFS members.
If any part or parts of the PDISP will performregistration by standards, the submitter shall makethis clear in an accompanying letter of submission.If the letter of submission indicates that registrationas defined in D4.2 c) 2) will take place, the SGFSsecretariat shall forward a copy of the PDISP to theJTC 1 SWG-RA for their review.
A review report will be produced by a review groupof the SGFS duly authorized by the SGFS. Theirmode of operation may be correspondence,electronic exchange of information or a meeting.Each review group will assess the explanatoryreport information and the submitted PDISP andproduce a review report in a target period of 1-2months. The report will contain an assessment asto the acceptability of the PDISPs based upon thecriteria stated in D5.3. In case of a favorable reviewreport, the PDISP status will be changed to DISP.The DISP will be forwarded to the ITTF Secretariatfor ballot by JTC 1 national bodies, andsimultaneously to SGFS members for information.Both the review report and the submitter'sexplanatory report will be distributed with the DISPto enable JTC 1 members to consider them in theirballot response.
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In case where an internationally harmonized PDISPis submitted by an S-liaison, it is expected that thematerial for the review report will be submitted atthe same time as the PDISP, as a result ofharmonization and of co-operation with JTC 1 SCs,other TCs and/or ITU-T SGs during the PDISPdefinition. In these cases, it should not benecessary to perform a specific review for thePDISP. The SGFS chair and secretariat shall checkthe review report is complete according to thecriteria in items a) to l) of D5.3. In all other cases, areview will be conducted on the PDISP.
D5.2 Review Process and Compositionof Review Groups
The review process is coordinated by a permanentreview process convener appointed by the SGFS.
A pool of experts is established by invitation fromthe review process convener. Experts from thefollowing sources may be present in the review pool:
a) SGFS national bodies (P-members);
b) SGFS 'A' and 'S' liaisons;
c) Other ISO or IEC TCs when base standardsof that TC are referenced in the PDISPunder review;
d) Relevant JTC 1 SCs;
e) Relevant ITU-T SGs.
The review process convener, in conjunction withthe SGFS contact point in each of the organizationsabove, is responsible for establishing, maintainingand publishing a list of review pool experts, togetherwith their contact details and areas of expertise.
Only a portion of the pool will normally participate inthe review of a given PDISP. Typically, this willinvolve experts from JTC 1 subcommittees and ITU-T study groups which have produced the basestandards involved in the PDISP.
The JTC 1 SC, other TC or ITU-T SG experts arenot necessarily expected to formally represent theirrespective committees in the review process, butare requested to express their committee's views tothe best of their ability.
When a review is required for a PDISP or set ofPDISPs, the review process convener identifies aselection of experts from the pool, whose expertiseis appropriate for the technical area to be coveredby the PDISP or PDISPs, to carry out the review.This selection of experts from the pool is known asthe review group for the specific review in question.
D5.3 Specific Review Actions
The review group for a specific PDISP or PDISPswill produce a short review within 1-2 months. Thisreport will specifically address the following aspects:
a) Ensure that an individual contact point forthe ISP has been identified by the PDISPsubmitting organization. The reviewprocess convener will use this individualcontact point throughout the ISP approvalprocess;
b) Identify which JTC 1 SCs, other TCs and/orITU-T SGs need to be advised on theconformance material in the PDISPs, if theyhave not already been identified;
c) Assess the accuracy of the submitter'sdeclarations in the explanatory report withparticular attention to technical consistencyin the PDISP in the use of base standardsincluding conformance aspects and anyregistration requirements;
d) If a PDISP specifies ISO/IEC InternationalStandards and/or ITU-T Recommendations,which contain aligned or identical text,ensure that both the ISO/IEC InternationalStandard and the ITU-T Recommendationare referenced in the ISP;
e) If national or regional standards arereferenced in the PDISP, assess as towhether the submitter's case for theirinclusion is present and appears sufficient.Specific attention should be paid as towhether the references to them are onlyinformative, not normative. Any exceptionsshall be noted in the review report;
f) Evaluate the degree to which internationalharmonization has been achieved. As partof their assessment, the review groupshould also give a clear indication if there isanother current or planned ISP in the samearea;
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g) Assure that the PDISP associated profileposition , if needed, in the TR10000taxonomy has been identified and, ifnecessary, actioned according to D3.2, D3.3or D3.4;
h) Review the list of amendments andtechnical corrigenda for completeness, andthe proper identification of status accordingto D4.2 b) 4). One part of this information isfound in the "Normative References" clauseof the PDISP, and the remainder is found inthe "Informative References toAmendments and Technical Corrigenda"Annex;
i) In the case of a multi-TC ISP, verify that thecooperative agreement document existsand that it includes the informationdescribed in D2.2 a) - c);
j) In the case where the PDISP contains PTS,assess the accuracy of the submitter'sdeclarations in the explanatory report, withparticular attention to the followingelements:
• Are the corresponding profiles and ISPproperly identified?
• What is the standardization level forthe corresponding ATS in the basestandards committees?
k) In the case where profiles are defined in thePDISP, assure that objects identifiers havebeen properly allocated to these.
If it appears that the initial assessment will revealmajor outstanding issues, an informal approach willbe made with the PDISP submitter in an attempt toresolve the deficiencies. Some of the possibilitiesare:
a) The PDISP is modified by the originator andthe text is resubmitted;
b) A proposed resolution of the deficiencies isnoted in the review report, for incorporationin the final text of the ISP following asuccessful ballot;
c) A statement of unresolved deficiencies iscontained in the review report.
The review process convener is responsible forensuring that the review report is produced anddistributed to SGFS whatever mode of operation isselected. Although many factors are describedabove for the explanatory report and the reviewreport, the main aim of the process is to enable theswift publication of ISPs in a consistent manner andin a style compatible with each other.
For their convenience review group members canuse the Review Proforma form in annex G.
D5.4 PDISP to DISP Transition
The following steps take place:
a) Once the review process for a given PDISPterminates, the review group produces areview report. The PDISP then becomes aDISP and is balloted according to theprocedures in D6 unless the exception initem d) of D5.4 applies;
b) If the PDISP has been modified by thesubmitter as a result of the SGFS reviewprocess, the updates text should be clearlyidentified as being changed in the DISPballot text. Such change requiressubmitter's approval;
c) For the case of a multi-TC ISP for whichJTC 1 is identified as having theCoordinating responsibility, the parts whichare to be processed by another TC areforwarded to that TC with a clear statusstatement. Those parts identified as beingthe responsibility of JTC 1 are treated thesame as PDISP under to sole control ofJTC 1;
d) In either case a) or b) of D5.4 a 4 monthDISP letter ballot takes place at the JTC 1member level. The procedures to befollowed after the ballot are described in D6;
e) A PDISP submitter may withdraw a PDISPat any time;
f) If the PDISP contains PTS for which thecorresponding ATS has not reached DISstatus in the base standards committee,then the PDISP becomes a DISP, but theprocedure in D5 is only invoked when thecorresponding ATS has reached DIS level,
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and when the DISP has been updated, ifnecessary, to align on the DIS ATS.
D6 Processing of the DISP Ballot
D6.1 General DISP Ballot Procedure
See 9.7.
D6.2 Action Following BallotTermination
At the completion of the ballot period, the votes andreceived comments will be reviewed by the JTC 1Secretariat and SGFS chair, who will select one ofthe following two courses of action:
a) recommend publication of the DISP text oran editorial revision thereof as an ISP; Thiscourse may be followed only if there are nonegative votes and no significant technicalcomment;
b) call a ballot resolution meeting under theSGFS for review of the ballots cast and theirassociated comments;
These actions should be completed within 1½ to 2months following the ballot termination. Publicationshould occur within 2½ months followingauthorization. The final ISP text shall be distributedas an SGFS document.
D6.3 Ballot Resolution MeetingProvisions
A ballot resolution meeting should includerepresentation from JTC 1 national bodies, liaisonsorganizations, the submitting organization and otherS-liaisons who have taken part in the harmonizationprocess. In the case of a multi-part ISP,representation from the other TC(s) involved will bedirectly sought . Invitations will be issued to all ofthem. The following outcomes are possible:
a) the NB and liaison organization commentscan be resolved without technical change tothe DISP; in this case any necessaryeditorial modifications are made to the text,and publication as an ISP is recommendedto the ITTF;
b) Accommodation of the NB and liaisonorganization comments and/or resolution ofcomments associated with NB negativeballots can be achieved only by means oftechnical changes to the DISP. In this casesuch changes should not jeopardize theinternational harmonization that has beenreached. Such a change must be approvedformally by the submitting organization, andthe ballot resolution meeting may have tobe suspended and subsequentlyreconvened to enable this process to takeplace. If the change is acceptable to boththe submitting organization and the ballotresolution meeting, then a revised text isprepared. If acceptable to the ballotresolution meeting, the revised text issubmitted to the JTC 1 secretariat with arecommendation that it be forwarded toITTF for publication. Otherwise, forexample if the degree of technical change isso significant that confirmation is necessary,the revised text is submitted to the ITTF forfurther processing as a second orsubsequent DISP ballot of JTC 1 nationalbodies.
c) if the national bodies comments cannot beresolved in such a manner as to achieve asufficient level of national body approval,the DISP is withdrawn. In this case, theJTC 1 secretariat and the SGFS chair, afterconsultation with the submittingorganization, advise the ITTF and thesubmitting organization that the DISP hasnot attracted a sufficient level of approval;this course may be followed only if it is clearthat there is no way in which enoughnegative votes can be reversed.
D7 ISP Maintenance and DefectProcessing
D7.1 ISP Maintenance Responsibility
The organization responsible for maintenance of anISP is normally the submitting organization or otherdesignated organization and must be identified atthe time the PDISP is submitted. This organizationis known as the maintenance organization (MO).For multi-TC ISPs, the organization responsible formaintenance of each part will normally be theorganization which submitted the part to the TCidentified in the cooperative agreement as havingoverall coordination responsibility. In exceptional
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cases such as lack of continuity of the submitting ordesignated organization, this may be done by anorganization designated by the SGFS.
D7.2 Maintenance of Base Standards
The procedure for "Maintenance/Correction ofdefects in JTC 1 standards" contained in theISO/IEC JTC 1 Directives shall apply to basestandards included in ISPs.
The MO for the ISP shall monitor publication ofamendments , technical corrigenda or new editionsof base standards which the ISP references andsubmit amended versions of the ISP as appropriate.The submission may occur either before of after anISP has been approved. In either case, the MO forthe (PD)ISP is responsible for determining theapplicability of base standard amendments or newedition to the (PD)ISP and for amending the(PD)ISP. In any amendment to an ISP, a clearindication shall be made of which published basestandard amendments and technical corrigenda arethought to be applicable, and those thought to benot applicable. This information shall be providedaccording to TR10000-1 clause D5 and Annex A.
[Note: An ISP maintenance organizationshould recognize that amendments andtechnical corrigenda to base standardswhich correct errors should be included inan ISP on a timely basis so that incorrectprofiles and their consequentimplementations can be minimized.]
Amendments to ISPs or new ISPs should also beconsidered when significant changes to itsconstituent base standards occur, for example whena PICS is created or modified in one of the basestandards.
D7.3 Defects in Published ISPs
A defect may be discovered in an ISP even thoughno corresponding defect has been detected in thereferenced base standards.
Such defects may be submitted to the SGFSsecretariat by:
a. An ISO/IEC JTC 1 P-member;
b. An organization in liaison with JTC 1;
c. The Maintenance Organization responsiblefor the ISP;
d. A JTC 1 subcommittee or other ISO or IECTechnical Committee.
It is the responsibility of the MO to make apreliminary assessment as to whether the defectapplies to the ISP itself, or to one of the referencedbase standards. In the base standards defect case,the procedure for defects in base standards (asdescribed in D7.2) is invoked and a warning isissued to the SC or SCs involved . For a defect inthe ISP itself, a correction is normally developed bythe organization responsible for maintenance of theISP through development of an amended ISP.International harmonization of the proposedamendment is highly desirable.
In the event that the MO responsible formaintenance of the ISP becomes unwilling orunable to continue with that responsibility, the SGFSdecides on the most appropriate action. Theseactions can include the re-assignment ofmaintenance responsibility to another MO or theSGFS itself. In the case of the SGFS becomingthe maintenance organization, it may decide tofreeze the ISP in its then current state or propose itswithdrawal according to the JTC 1 Directives.
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DEFECT REPORT
SGFS SECRETARIAT/CONVENOR
1ST ASSESSMENT
( MAY RESULT IN REJECTION )
WARNING TO BASE
STANDARDS ORG.
DESIGNATED ISP MAINTENANCE
ORGANIZATION (MO)
CORRECTION BY DESIGNATED
MO FOR THE ISP
DEFECT ONLY IN
BASE STANDARD
DEFECT IN BASE STANDARD WARNING TO SCs
INVOLVED
DEFECT
IN ISP
CORRECTION
TO STANDARD
MO ASSESSMENT OF
WHETHER FULL APPROVAL
IS REQUIRED
JTC1 MAINTENANCE/
CORRECTION PROCEDURE
JTC1 MAINTENANCE/CORRECTION
PROCEDURE
ISSUE CORRECTED
ISP OR CORRECTION SHEET
ISP PROCESS
INVOKE FULL JTC1 ISP
APPROVAL PROCEDURE
Figure D1 ISP Defect Processing and Amendment cycle
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D7.4 Approval of Amended ISPs
An amended ISP, whether amended for basestandards defects or for ISP defects as described inD7.3 , will be processed in accordance with theprocedures for "Maintenance/Correction of defectsin JTC 1 standards", or, if recommended by the MO,the JTC 1 ISP approval procedures will be involved.The ISP amendment cycle is depicted in Figure 1.Any amended ISP shall include an explicit list ofpublished amendments and technical corrigenda tothe base standards it references and indicate whichof these are thought to be applicable and which arethought not to be applicable according to TR10000-1, clause D5 and Annex A. Any amended ISP shallinclude an explicit list of the differences from theprevious edition of the ISP.
D7.5 Periodic Review
The SGFS shall periodically review each approvedISP and determine whether the ISP should bereaffirmed, revised or withdrawn in accordance withPeriodic Review procedures defined in the JTC 1Directives.
D8 Extensions and Enhancements
D8.1 Extensions and Enhancements toISPs
Extensions or enhancements to ISPs (e.g., for newor enhanced function incorporation) will probablyneed to be processed as new parts of an existingISP or as a new ISP. A transition plan should beprepared by the submitter to enable the compatibleintroduction of new ISPs which succeed existingISPs. The submitter should prepare an explicit listof the differences from the previous version of theISP.
D8.2 Extensions and Enhancements toBase Standards
When extensions and enhancements to a basestandard are produced in a new version of thatstandard, they do not need to be automaticallyadopted in an ISP using that base standard. If it isthought that an ISP would benefit from a newversion of one of its base standards, this should bedone through development of a new ISP using thenew version.
D9 Update Procedure for The Directoryof ISPs
Clause 2 of "The Directory of ISPs" containsinformation about the status of Profiles and ISPswhich will be updated by the SGFS Secretariatfollowing the rules given below. The update willoccur on a per-need basis. Since the Directory ofISPs is not normative, its update does not requireany formal approval.
Upon receipt of a notification of a proposed changefrom a recognized PDISP submitter as defined inD4.1, the SGFS secretariat will prepare an update tothe table. The update may take the form of a newentry, deletion, or change to an existing entry toreflect a new status. The identifiers for status aredefined in the Directory of ISPs.
Progression from status S to status A occurs oncethe profile has been approved as an ISP and ispublished by the ITTF. At this time, the ISPregistered number will now be recorded in theDirectory of ISPs. The body responsible formaintenance of the profile will also be recorded.
D10 Change Request Report andTaxonomy Update Procedure
A change request for the framework or thetaxonomy shall be accompanied by a changerequest report which identifies (at last) the followingitems:
• Change request title;
• An indication of whether it concerns aframework or a taxonomy change;
• Name of the submitting organization and thename of an individual who will serve as thecontact point, and if necessary as editor,during the approval process;
• Date of submission (filled in by the SGFSSecretariat);
• A statement on the origin and developmenthistory of the proposed change;
• A statement on the degree of openness ofthe development process and the extent ofinternational harmonization that has beenachieved, including for appropriate changes,whether or not the proposal has been
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considered by any of the regional workshopsfor open systems;
• For taxonomy changes requests:
• The rationale for the proposedchange;
• The principles underlying any changeto the taxonomy structure;
• Complete proposed additional orreplacement text;
• If the proposed taxonomy changerequest is considered to have animpact on existing ISPs, a statementas to how the impact should behandled (e.g., by application of theprocedures for maintenance/correctionof the base standards).
For taxonomy changes requests, it is recommendedthat summary descriptions of the profiles be madeavailable together with the taxonomy changerequest.
SD-8, "Proposed taxonomy changes" containsinformation on not yet approved, harmonizedrequests for minor taxonomy changes as describedin D3.2, "independent taxonomy change" .
D11 Organization of AuthorizedSubgroups of SGFS
D11.1 Rules for Convening a Meeting
The procedures of ISO/IEC JTC 1/SGFS provide forthe progression of specific tasks by "an authorizedsubgroup of the SGFS".
The rules for convening a meeting of an "authorizedsubgroup of the SGFS" are as follows:
• SGFS may authorize such a meeting byresolution or by letter ballot which states thepurpose of the meeting;
• The SGFS authorization may permitspecific output documents to be balloted bySGFS national bodies or to be conveyed toidentify liaison organizations;
• The meeting shall be announced to SGFSmembers at least two months before themeeting date; the announcement shallindicate amongst other items the time andplace of the meeting, the subject, and thechairperson. Specific information about thesubject to be addressed at the meeting shallalso be made available;
• The meeting may be attended by:
• SGFS members or theirrepresentatives;
• representatives of organizationshaving liaison with SGFS.
The minutes and results of the meetings will bedistributed to SGFS.
D11.2 Authorized Subjects for Meetings
The areas authorized by SGFS for "authorizedsubgroup meetings" are as follows:
a) Progression of framework and taxonomychanges limited to OSI and JTC 1standards;
b) Progression of framework and taxonomychanges in the area of ISO TCs which areapplying OSI.
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Annex E: Registration Definitions and Guidelines for Procedure Standards
E1 Definitions
For the purpose of registration, the followingdefinitions apply:
applicantAn entity (organization, individual etc.) whichrequests the assignment of a name for an objectfrom a JTC 1 Registration Authority.
JTC 1 Registration AuthorityAn organization approved by ISO/IEC forperforming international registration according to therules for operation in 2.7.2 and the procedureguidelines in E2.
nameThe term "name" is used in its common Englishusage and refers generically to the terms "name,""address," "identifier," etc. used in specific JTC 1standards.
naming domainThe set of names that are assignable to objects.
[Note: Usually a naming domain is concerned withobjects in a particular class.]
procedure standardThe standard containing the specific procedures forthe JTC 1 Registration Authority to follow.
registerA set of files (paper, electronic, or a combination)containing the assigned names and the associatedinformation.
registrationThe assignment of an unambiguous name to anobject in a way which makes the assignmentavailable to interested parties.
technical groupThe group in JTC 1 ( e.g., an SC) responsible forthe relevant technical standards.
technical role (of a JTC 1 Registration Authority)Recording definitions of the objects to which namesare assigned and verifying that these definitions arein accordance with the IS defining the form of thedefinition.
technical standardThe standard containing the definition of the classesof objects requiring registration.
E2 Guidelines for Procedure Standards
E2.1 Purpose
The purpose of this section is to provide guidance totechnical groups concerning the elements whichmust be included in a JTC 1 Registration Authorityprocedure standard.
[Note: Where JTC 1 Registration Authorities are notinvolved, portions of this section may also be usefulin the work of the SWG-RA and the technical groupsin assuring the international integrity of anyregistration, but are not normative.]
E2.2 Content of Procedure Standards
A procedure standard shall include definitions for:
• criteria for applicants for registration;
• information to be included on applicationincluding the technical definition of theobject where applicable;
• steps involved in review and response toapplication including specific time frames;
• where not already included in the technicalstandard, a description of the namingdomain, and the syntax of names used;
• criteria for rejection of applications,including (where applicable) procedures forthe validation of object definitions;
• procedures for maintenance of register;
• if applicable, requirements for confidentialityof portions of the information;
• if applicable, procedures for publication ofregister.
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E2.3 Criteria for Eligibility of Applicantsfor Registration
The procedure standard shall define the criteria forapplicants for registration. Choices may include anyof the following:
• NBs or liaison organizations of ISO/IEC;
• a national or international standardscommittee or subcommittee, or groupappointed by such a subcommittee orcommittee;
• other organizations meeting specific criteriadefined by the technical standards body inthe procedure standard.
E2.4 Applications for Registration
The procedure standard shall define the informationto be included with applications for registration. Theminimum set of information is described in E2.13.2.Additional information can be specified. The formatof the application shall be determined by the JTC 1Registration Authority who may also requireadditional information to facilitate processing. TheJTC 1 Registration Authority shall also providetutorial material to assist applicants in preparingapplications.
E2.5 Fees
The types of fees and amounts shall not be includedin the procedure standard.
E2.6 Review and Response toApplications
The procedure standard shall define the process forthe JTC 1 Registration Authority to review andrespond to applications to ensure fairness and shalldefine the maximum time intervals between steps ofthe process.
Where the JTC 1 Registration Authority is expectedto perform a technical role in determiningconformance of the object to be registered to thetechnical standard, this role shall be defined in theprocedure standard. The response to the applicantshall include information pertaining to the results ofthe technical review.
E2.7 Assignment of Names andRecording of Object Definitions
The procedure standard shall describe theassignment process for names. The process shallbe such that the assigned name is unique within theregister. The assignment process also shall be suchthat the same name is not assigned to anotherobject.
After the assignment has been made, the name andassociated information shall be included in theregister and the JTC 1 Registration Authority shallinform the applicant of the assignment in a timelymanner (within the maximum response timespecified in the procedure standard). In cases wherethe JTC 1 Registration Authority performs atechnical role the object definition shall be recordedin the register at the time when the name isassigned. The procedure standard defines theprocess by which the object definition is validated.
E2.8 Naming Domain
E2.8.1 General
When not already defined in the technical standard,the procedure standard shall define the appropriatenaming domain and name syntax from which theJTC 1 Registration Authority will assign nameseither directly or by reference to a separatespecification.
Wherever possible, the naming domain should beopen-ended to accommodate future registrationrequirements.
In addition, in selecting the naming domain, thefollowing should be considered:
• the reservation of space for specialassignments;
• the syntax from which the names areassigned;
[Note: Names may be represented in oneor several forms (e.g., numeric, alphabetic,alpha-numeric, etc.). When several formsare prescribed, the various forms areconsidered equivalent. For example, in ISO3166 there are "Alpha-2", "Alpha-3", and"Numeric" codes for the representation ofnames of countries.]
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• when the syntax requires numeric values,the use of sequential assignment whereverpossible, starting at some arbitrary value;
• the length of the name;
• the matching criteria to be used fordetermination of duplicate entries.
E2.8.2 Re-use of Names
Depending on the volume of registrationsanticipated, and technical and other considerations,re-use of names may be necessary. To be availablefor re-use, previously assigned names may either begiven up voluntarily or be reclaimed (see E2.8.3).The procedure standard shall define whether:
• a name can never be re-used or;
• a name can be re-used after specific timeperiod to identify another object.
If names may be given up voluntarily, the processby which this is done shall be described in theprocedure standard.
E2.8.3 Reclamation
If the JTC 1 Registration Authority is allowed toreclaim a name, the procedure standard shall list theconditions under which reclamation is allowed andthe procedure for reclamation.
E2.9 Rejection of Applications
The procedure standard shall define the criteria forrejection of applications. These criteria shall includethe following as well as any additional criteriadeemed necessary:
• ineligibility of applicant;
• the absence of proper fee;
• incomplete or incomprehensible informationin application;
• the justification for inclusion in the register(as defined in the procedure standard) is notadequate;
• where the JTC 1 Registration Authorityperforms a technical role, the object to be
registered does not conform to the technicaldefinition.
In cases where applications are rejected for anyreason, the procedure standard shall define theexpected response time.
E2.10 Maintenance
The procedure standard shall define therequirements that the JTC 1 Registration Authorityshould follow for maintenance of the register. At aminimum, these shall include:
• Mechanisms for maintaining the integrity ofregister including adequate backup (such asoff-premises storage) and records retentionrequirements. In addition, there shall beprovision for the owner of a name to provideupdated information (see E2.13);
• Mechanisms for maintaining confidentialityof data elements where such confidentialityis required. The specific data elementsrequiring such confidentiality shall also bespecified in the procedure standard.
[Note: Additional requirements are coveredin the contract between ITTF and the JTC 1Registration Authority.]
E2.11 Confidential Information
Generally, the interests of the community ofinformation technology users is best served if theregister information is made public. In certaincases, however, there may be a need forconfidentiality of some or all of the data pertinent toa particular registration, either permanently or forsome portion of the registration process. Ifconfidentiality is required, the procedure standardshall define such requirements. The JTC 1Registration Authority shall ensure appropriatesafeguards to protect the confidentiality of suchinformation.
E2.12 Publication of the Register
The procedure standard shall define whether theJTC 1 Registration Authority should provide forpublication (electronic or paper) of the register as arequirement or as an option. Where publication isrequired, printed paper versions are mandatory.The publication shall be consistent with any
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requirements for confidentiality of any of theinformation.
If the JTC 1 Registration Authority is to providepublication, the JTC 1 Registration Authority shallkeep accurate distribution records pertaining to itspublications.
E2.13 Information Requirements
The procedure standard shall specify theinformation contained in the register, and on formsassociated with the registration process.
E2.13.1 Minimum Content of theRegister
At a minimum, the register shall contain:
• the assigned name;
• name of initial applicant;
• address of initial applicant;
• date of original assignment;
• date of last transfer of assignment, ifallowed (updatable);
• name of current owner (updatable);
• address of current owner (updatable);
• if the owner is an organization, the name,title, postal/electronic mailemail address,telephone/facsimile/telex number of acontact person within the organization(updatable);
• date of last update (updatable);
• where required by the technical standard orthe associated procedure standard, atechnical definition of the object.
The procedure standard shall define additionalregister information relevant to the class of objectsto be registered.
E2.13.2 Minimum Content of Forms
The contents of forms (paper, electronic, or acombination of both) for Registration Application,
Request for Update, Notification of Assignment orUpdate, and Rejection of Application shall include:
• name of applicant;
• address of applicant;
• if the applicant is an organization, the name,title, postal/electronic mailemail address,telephone/facsimile/ telex number of acontact person within the organization.
[Note: There should be a correspondence betweenthe data on these forms and the contents of theregister.]
Depending on the type of form, additionalinformation to be included shall be:
• data to be updated, old and new values(Request for Update);
• authorization to release specific data(Registration Application);
• any justification required for the assignment(Registration Application);
• reasons for action taken (Notification ofAssignment or Update, and Rejection ofApplication);
• where required by the technical standard orthe associated procedure standard, atechnical definition of the object to beregistered (Registration Application).
The procedure standard should define additionalinformation relevant to the class of objects to beregistered.
E2.14 Consultation with Other Groups
The procedure standard shall indicate that the JTC 1Registration Authority may consult with the technicalgroup responsible for the technical standard and theassociated procedure standard. In addition, it mayconsult with the SWG-RA RG-RA.
E2.15 Dispute Resolution
If there is dispute between an applicant and a JTC 1Registration Authority, it is expected that the JTC 1Registration Authority will make reasonable effortsto resolve the dispute. The procedure standard
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shall address any specific requirements for thisinformal process.
Additionally, to resolve the dispute, the procedurestandard shall define a formal appeals process for
use when the informal efforts to resolve the disputefail. This appeals procedure shall be developed bythe SWG-RA RG-RA with the cooperation of thetechnical group responsible for the technicalstandard.
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The Procedures Group recommends deletion of this annex in view of the Ottawa Plenary decision to disband the SWG onStrategic Planning and to present strategic planning information in the JTC 1 Business Plan.
Annex F: JTC 1 Strategic Policy Statement
F1 Introduction
This statement has been prepared and is presentedby ISO/IEC JTC1 in order to establish a commonunderstanding of its purpose. It is intended both forinternal use within its own member and committeestructure, and for those outside that immediateenvironment who have a direct or indirect interest inInformation Technology Standardization. Thestatement presents the strategic objective of JTC 1and then describes the rationale for that objective.
F2 Strategic Objective
The objective for ISO/IEC JTC1 is to promote world-wide economies and efficiencies and global trade bycreating an international standards environment thatwill enable IT suppliers to provide IT users withtimely means to manage information efficiently,economically, accurately and securely.
This means that it is concerned not only with themaking of standards, but also with cooperation andcollaboration with other standards bodies and withproviding guidance and support for userimplementation.
F3 Rationale
Information is, and always has been, a principalbasis for all enterprise, whether industrial,commercial, military, academic, political, social orartistic. From the very small business that usesinformation about suppliers and accounts in fairlysimple mode, to the big corporation that retains anduses complex and comprehensive information on amuch wider front, none could exist without the abilityto manage that information.
The invention of the computer only began to impactupon the commercial world in the early nineteen-fifties and even then it took some years to gainacceptance as a commercial, as opposed to anacademic and scientific, tool. In those early days,public standards were needed to aid the transfer ofdata via magnetic tapes and to enable programs tobe usable on different equipment, but the majority of
"standards" were proprietary and were designed toallow users to build different configurations withproducts from the same supplier.
Three major changes have influenced the use ofwhat is now termed Information Technology, andconsequently caused and continue to cause radicalchange to the related world of standards:
F3.1 The Microprocessor. The supportingtechnology for computing has spawned massivereductions in the cost and size of hardwareprocessing elements at the same time as it hasincreased power and sophistication. The technologyhas thus become readily available to non-expertindividuals within organizations so that the power ofthe computer is available to all and not just to thetechnicians in the "Computer Department". This inturn has encouraged enterprises to promote IT froma background supporting role to one of essentialforeground existence, and many of them wouldcollapse if the resource were removed.
F3.2 Communications. Business is increasinglyinteractive, and enterprises need to be able tomanage their information resources within their ownstructure and between themselves and their tradingpartners. That interaction may be local or it may beacross national boundaries. Telecommunicationstechnology has been in use for much longer than ITand has established a universally accepted meansof transferring information; the expansion of ITcapability has in the first place vastly increased thedemand on those facilities, and secondly called formore flexible mechanisms. There is thusconvergence of the technologies, and the need toensure that the technologies and the relatedstandards develop cooperatively.
F3.3 Open Systems. In the nineteen seventies,the user and supplier communities agreed on thejustification for developing standards to permit theintroduction of the open systems concept.Successful implementation would allow users to buycompatible products from different suppliers, thusallowing them greater freedom of choice inpurchasing decisions. The suppliers recognized thatthis would result in more rapid market growth which
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should more than compensate for any weakening ofmarket penetration. The result of this decision hashad a massive effect on the standards programme,both in terms of its content and its modus operandi.
F4 Standards Categories
ISO/IEC JTC1 recognizes four broad categories ofstandards in IT:
F4.1 Category 1 incorporates those standards uponwhich application of the technology may be built.They create a technical environment to be used bythose concerned with the creation of Categories 2and 3. ISO/IEC JTC1's primary responsibility forstandardization is in this category.
F4.2 Category 2 incorporates `Generic ApplicationStandards' and includes those standards that relateto functional service without being dedicated to aspecific sectoral application. They include, forexample, such standards as FTAM and MHS.Because of the close links between Categories 1and 2, the involvement of ISO/IEC JTC1 in thiscategory will vary from responsibility for thestandard with a duty to confer with otherinternational standards committees, to participationin work directed by others.
F4.3 Category 3 consists of `Sectoral ApplicationStandards'. It covers those standards that addressapplications that are of exclusive interest to specificenterprise sectors such as Medical Informatics orIndustrial Automation. ISO/IEC JTC1 will generally
have no responsibility for standards in this category;they will usually lie within the province of otherinternational standards committees. However, withthe natural expansion in this category, and itsdependence upon the availability of standards inCategory 2 in particular, ISO/IEC JTC1 clearly has arole to perform.
F4.4 Category 4 incorporates Frameworks andReference Models that support the integration ofstandards work in Categories 1, 2 and 3. JTC 1 isresponsible for standardization in this category.
F5 Conclusion
All these factors indicate that every part of societyhas at least an indirect interest in IT standardsdevelopment. There can be no company or publicsector entity, or user of their products or services,that is not impacted by this work to some extent.Because of the rate of development of thetechnology and because of commercial pressuresindicated above, there is impatience on the part ofthis community for standards solutions, and thisdemand has fragmented the standards process sothat industry and user consortia have instituted theirown processes to solve pressing problems. Theseinitiatives are recognized as having weaknessessince they are not universally accepted and, indeed,are sometimes in direct competition with each other.Nevertheless they attract willing resources andmake substantial progress. They form part of theenvironment in which JTC1 must operate.
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Editor’s Note: For this draft version, only certain newly added forms have been included in thedocument. In addition to the forms, the final version will include the URL for obtaining on-line versions ofthe forms.
Annex G: Forms
The forms included in the following pages are those used according to the procedures laid downin these directives and are referred to in the text:
Form 3 New work item proposal (6.2.1.2)
Form 4 Vote on a new work item proposal (6.2.1.3)
Form 5 Result of voting on a new work item proposal (6.2.1.3)
Form 8 Cover page of CD (12.6.1.2)
Form 9 Vote on JTC 1 CD (9.4.1)
Form 10 Explanatory report (12.6.3.9)
Form 11 Cover page of a JTC 1 DIS (12.7.1.2)
Form 12 Vote on JTC 1 DIS (12.7.1.2)
Form 13 Cover page of International Standard (12)
Form 14 Defect report form (14.4.5)
Cover page of FDIS
Vote on JTC 1 FDIS
PDISP review proforma (D5.3)
NP Project Acceptance Criteria
Business Plan Template
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This form is from JTC 1 N 4477 modified in accordance with JTC 1 Ottawa Resolution 2
NP Acceptance Criteria
Principle for NP Acceptance:
The existing JTC 1 Directives (cl. 6.2.1.3) require the commitment of five National Bodies; inaddition the criteria (proforma) defined in this paper shall also be satisfied.
Assumptions:
o That the proposed NP acceptance criteria be applied at the initialization and the approval stages.
o That in accordance with existing procedures NP’s may be initiated by SC’s and or NB’s.
o That SC’s shall have a business plan which defines and justifies their work program.
o That NP’s shall fall within the scope of the JTC 1 Business Plan and where applicable the SC Business Plan.
o That when a NP is initiated the proposer shall, in addition to existing requirements, complete the new proforma and submit it along with the NP. This proforma shall be circulated along with the NP ballot.
? That NB’s during the balloting stage understand that in case of serious doubt, giving a firmnegative vote would be helpful to ensure relevance and utilization of critical resources withinJTC1.
o That JTC 1 provide input and direction to emphasize these criteria as a new approach for NP planning and NB balloting.
o That the JTC 1 secretariat engage in modification to the JTC 1 procedures related to NP’s and their balloting.
NB Procedure for NP Ballot:
The following proforma is proposed for providing evaluation criteria for NP acceptance.
The procedure for NB determination of a NP ballot remains as in the existing procedure at theNB level. There is now with this proposed proforma additional information which provides rawintelligence to aid NB’s in their determination. The NB’s when responding to the NP shall, wherepossible, relate any comments to the criteria assessments made by the proposer on theProforma.
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NEW WORK ITEM PROPOSAL - PROJECT ACCEPTANCE CRITERIA
Criterion Validity ExplanationA Business RequirementA.1 Market Requirement Essential
DesirableSupportive
A.2 Regulatory Context EssentialDesirableSupportiveNot Relevant
B. Related WorkB.1 Completion/Maintenance
of current standardsYes
No
B.2 Commitment to otherorganization
Yes
No
B.3 Other sources ofstandards
Yes
No
C. Technical StatusC.1 Mature Technology Yes
No
C.2 Prospective Technology YesNo
C.3 Models/Tools YesNo
D. Conformity Assessment and InteroperabilityD.1 Conformity Assessment Yes
No
D.2 Interoperability YesNo
D.E. Other Justification
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Notes to Proforma
A. Business Relevance. That which identifies market place relevance in terms of whatproblem is being solved and or need being addressed.
A.1. Market Requirement. When submitting a NP, the proposer shall identify the nature ofthe Market Requirement, assessing the extent to which it is essential, desirable ormerely supportive of some other project.
A.2 Technical Regulation. If a Regulatory requirement is deemed to exist - e.g. for an areaof public concern e.g. Information Security, Data protection, potentially leading toregulatory/public interest action based on the use of this voluntary international standard- the proposer shall identify this here.
B. Related Work. Aspects of the relationship of this NP to other areas of standardizationwork shall be identified in this section.
B.1 Competition/Maintenance. If this NP is concerned with completing or maintainingexisting standards, those concerned shall be identified here.
B.2 External Commitment. Groups, bodies, or fora external to JTC1 to which acommitment has been made by JTC for cooperation and or collaboration on this NPshall be identified here.
B.3 External Std/Specification. If other activities creating standards or specifications inthis topic area are known to exist or be planned, and which might be available to JTC1as PAS, they shall be identified here.
C. Technical Status. The proposer shall indicate here an assessment of the extent towhich the proposed standard is supported by current technology.
C.1 Mature Technology. Indicate here the extent to which the technology is reasonablystable and ripe for standardization.
C.2 Prospective Technology. If the NP is anticipatory in nature based on expected orforecasted need, this shall be indicated here.
C.3 Models/Tools. If the NP relates to the creation of supportive reference models or tools,this shall be indicated here.
D. Conformity Assessment and Interoperability. The proposer shall indicate here ifconformity assessment or interoperability are relevant to the project. If so, indicate howit is addressed in the project plan..
D.E. Any other aspects of background information justifying this NP shall be indicated here.
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Editor’s Note: The following is taken from JTC 1 N 4478, with some editing for appearance.BUSINESS PLAN FOR JTC 1 or JTC 1/SCxx
The specific group to which this business plan relates to including the full group and or subcommittee.
PERIOD COVERED: Beginning date – ending date
The time frame to which this submission/update relates to, indicating the month and year in full, (from - to).
SUBMITTED BY
The name of the JTC 1 or JTC 1/SC officer (Chair or Secretariat) making the submission to the Plenary meeting.
1. MANAGEMENT SUMMARY
1.1 JTC 1 and or JTC 1 SCxx STATEMENT OF SCOPE
The current Scope of work approved for this specific group.
Should the chair wish to highlight need for a change of Scope this is the place to make such a case followed upwith the normal procedure for such action.
1.2 PROJECT REPORT
At this point incorporate the existing and most current project reports highlighting total number of projects, thoseactive, planned withdrawals, target dates etc..
1.3 COOPERATION AND COMPETITION
Included here an analysis of the key players in the area pertaining to JTC 1 or its SC, in order to highlight anypossibility for cooperation with other JTC 1 SC’s, ISO TC’s or Industry Consortia/Fora. Also indicate agreeddivision of work or opportunities for projects of a complimentary nature. Identification of standards initiatives orde-facto standards shall be made that may be in direct competition with some of the projects.
2. PERIOD REVIEW
This is the report from the chair of JTC 1 and or one of it’s SC’s highlighting project progress, specialconsiderations and or needs which were or were not met. This is where generic or specific comment from thechair is to be made highlighting special items requiring visibility and action. The review shall focus on thefollowing elements:
2.1 MARKET REQUIREMENTS
Identification of key market trends, needs (anticipatory standards or voids) and determining factors for JTC1’ssuccess in this area.
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2.2 ACHIEVEMENTS
Highlight accomplishments; reference work programme, target dates, corrective action and specialcircumstances. .
2.3 RESOURCES
Status of resource availability/commitment and the impact on projects, completion dates and priorities for thenew work period.
3. FOCUS NEXT WORK PERIOD
An identification of the direction and focus for the new work period leading up to the next plenary session. Thissection shall include information on following elements.
3.1 DELIVERABLES
This shall indicate specific deliverables expected in the work period on a project level.
3.2 STRATEGIES:
A statement or statements related to strategic approaches required to accomplish goals and objectives.
3.2.1 RISKS
A definition of potential risk(s) involved with the strategy and the impact to the project or JTC 1. Risk(s) shall bedefined for each strategy to be employed/included.
3.2.2 OPPORTUNITIES
An explanation of the related opportunity(s) afforded by the strategy and or envisioned due to trends and marketdevelopments.
Per JTC 1 Ottawa Resolution 23.3 WORK PROGRAMME PRIORITIES
Based on the scope, market needs, strategies, resource availability, and status of existing projects, and need forconformity assessment and interoperability, provide an overview of the work programme priorities in capsuleform. This should be as generic as possible with rationale provided to support the determination by the groupinvolved.
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Annex H: JTC 1 Policy on Electronic Document Distribution Using the World Wide Web
Editor’s Note: The intent is to incorporate the content ofJTC 1 N 5180 (or later version thereof), into this annex, aswell as the URL for the on-line version.
This annex incorporates the JTC 1 Policy onElectronic Distribution Using the World Wide Web.
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Annex I: JTC 1 Policy on Interoperability
Editor’s Note: This annex incorporates the contents of JTC 1N 3825 with the indicated modifications,
This policy statement specifies the JTC 1 positionon interoperability and clarifies the relationshipbetween interoperability and conformity. Itcomplements the JTC 1 policy statement onconformity assessment (ref. Annex C of the JTC 1directives, 3rd edition). For the purpose of thispolicy statement, interoperability is understood to bethe ability of two or more IT systems to exchangeinformation at one or more standardized interfacesand to make mutual use of the information that hasbeen exchanged. An IT system is a set of ITresources providing services at one or moreinterfaces.
JTC 1 recognizes that interoperability is a majoruser requirement which can be facilitated bystandardization. Accordingly JTC 1 accepts theresponsibility to identify the key interfaces andproduce the key IT standards at those interfaces(including the relevant content standards, e.g. ODA,SGML, CGM) to facilitate practical, timely and cost-effective interoperability, consistent with marketrequirements and current technologies.
Standards designed to facilitate interoperability needto specify clearly and unambiguously the conformityrequirements that are essential to achieve theinteroperability. Complexity and the number ofoptions should be kept to a minimum and theimplementability of the standards should bedemonstrable. Verification of conformity to thosestandards should then give a high degree ofconfidence in the interoperability of IT systemsusing those standards. However, the confidence ininteroperability given by conformity to one or morestandards is not always sufficient and there may beneed to use an interoperability assessmentmethodology in demonstrating interoperabilitybetween two or more IT systems in practice.
An assessment methodology for interoperability mayinclude the specification of some or all of thefollowing: terminology, basic concepts, requirementsand guidance concerning test methods, theappropriate depth of testing, test specification andmeans of testing, and requirements and guidance
concerning the operation of assessment servicesand the presentation of results. In technical areaswhere there is a conformity assessmentmethodology and an interoperability assessmentmethodology, the relationship between them mustbe specified.
JTC 1 has the authority and responsibility to clarifywhether interoperability is intended to be facilitatedby each JTC 1 standard and ISP, to what or whomthe interoperability applies, how conformity isrelated to the provision of interoperability, and howto verify that interoperability is provided betweenrelevant IT systems.
Each JTC 1 Subcommittee has the responsibility toensure that standards produced by thatSubcommittee for implementation in IT systemsclarify whether interoperability should be facilitatedby use of that standard, and how conformity to thestandard is related to the provision of theinteroperability.
SGFS has the responsibility to ensure that ISPsclarify whether interoperability should be facilitatedby use of that ISP, and how conformity to the ISP isrelated to the provision of the interoperability.
Each JTC 1 Subcommittee has the authority andresponsibility to specify or identify an interoperabilityassessment methodology, applicable to any distinctarea of IT that is entirely within the scope of thatSubcommittee. For areas of IT which are relevant tomore than one JTC 1 Subcommittee, SWG-CAshould, when there is a need for such work, adviseJTC 1 which Subcommittee should be given theresponsibility to specify or identify the relevantassessment methodology, and which otherSubcommittees should be involved in the work.
SWG-CA RG-CAI has the authority andresponsibility to advise JTC 1 on work that needs tobe done relevant to assessment of interoperabilityfor JTC 1 standards and ISPs. This may include ITspecific interpretations of general ISO/IEC Guidesas well as work specific to particular areas of IT notcovered or inadequately covered by existingassessment methodologies.
ANNEX J Guidelines for API Standardization
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Editor’s Note: The following annex incorporates the text ofSupplement 2 as contained in JTC 1 N 3662, with theindicated modifications.
0 Introduction
After two years, the following guidelines shall be re-examined in light of the experience gained.
J1 Characteristics and Definition
J1.1 Application Program Interface (API)Related Concepts
An API is a boundary across which applicationsoftware uses facilities of programming languagesto invoke services. These facilities may includeprocedures or operations, shared data objects andresolution of identifiers. A wide range of servicesmay be required at an API to support applications.Different methods may be appropriate fordocumenting API specifications for different types ofservices.
The information flow across the API boundary isdefined by the syntax and semantics of a particularprogramming language, such that the user of thatlanguage may access the services provided by theapplication platform on the other side of theboundary. This implies the specification of amapping of the functions being made available bythe application platform into the syntax andsemantics of the programming language.
An API specification documents a service and/orservice access method that is available at aninterface between the application and an applicationplatform.
An API specification may take the form of one of thefollowing:
a) Programming language specification, whichis a description of a language defined withinthe programme of work of SC22, such asFORTRAN, Ada and C;
b) Language independent API specification,which is a description of a set offunctionality in terms of semantics (in anabstract syntax) and abstract data types that
can be bound to multiple programminglanguages;
c) Language specific API specification, whichis a description of a set of functionality interms of the syntax and data types of someprogramming language.
Language-independent API specifications are usefulin defining specifications for invoking services at theAPI. The language independent specificationserves primarily as the reference used to assureconsistency across different language bindings.However, one or more language bindings toprogramming languages such as COBOL or C mustalso exist. Language specific API specifications areused by programmers, writing in a particularprogramming language, to invoke a serviceprovided by the application platform. They may beused by a program to invoke a supporting serviceoffered by another application software entity.
J1.2 Level of Abstraction
The concept of "Level of Abstraction" is complex,with several (possibly non-conflicting) uses. Usageof "Level of Abstraction" implies variation in theamount of functionality offered to the callingprogram by each invocation.
The same service may be provided by multiple APIspecifications which differ in level of abstraction.For example, a less abstract API specification forX.400 electronic mail services may provide theapplication programmer substantial control overdetails of its interaction with the mail servers. Onthe other hand, a more abstract API specificationmay provide a simple, single subroutine call forsending a file as a mail message to a mailbox.
Under this usage, a more abstract API specificationis easier to use than a less abstract specificationprovided that the conventions adopted inimplementing the service are appropriate to theapplication. A less abstract API specification isused where there are application specificrequirements relating to details of the interaction orthe implementation.
Another usage of "Level of Abstraction" reflects thedegree to which the implementation method isvisible/invisible to the users of the API specificationcalls.
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An API specification may reflect a pure abstractiondriven only by the service requirements (e.g., aprotocol independent network API specification), orit may reflect details of the implementation. Thesedetails may be associated with one of severalalternative methods for service satisfaction (e.g.,OSI, TCP/IP, or ISDN communication service APIspecification). The details could also reflect aspectsof alternative platforms' implementations. In thiscontext, use of a more abstract API specificationyields greater portability and implementationindependence while a less abstract API specificationmay provide more control or improved performance.
The level of abstraction of API specification varieswith the programming language and the abstractionsinherent to the specific service. Therefore, a"uniform" level of abstraction across the set all APIspecifications is not appropriate.
J2 Methods and Components for JTC 1API Work
J2.1 Relation to Other Standards
A standard API specification specifies a mappingbetween a programming language and the featuresof a particular service, and thereby provides accessto that service from applications written in aparticular programming language. Such a mappingis said to create a binding between the service andthe programming language.
A standard API specification may be part of thestandard that specifies the associated programminglanguage, may be part of the standard that specifiesthe associated service, or may be a separatestandard that refers to other standards that definethe associated programming language and service.Thus, programming language standards can beconsidered as one kind of standard APIspecification.
The following policies are recommended apply:
J2.1.1. Standard API specifications shall identifythe standards that specify theprogramming language and the serviceassociated with it, if these are notspecified by the standard APIspecification itself.
J2.1.2. Standard API specifications shall beconsistent with, and shall avoidduplication of, requirements specified bythe associated service and programminglanguage standards.
J2.1.3. Where it can be expected thatimplementations will support bindings toa service for multiple programminglanguages, any requirements oninteroperability between these bindingsshould be specified, includingrequirements on exchange of datavalues.
J2.1.4. Where it can be expected thatimplementations will support bindings tomultiple services for a singleprogramming language, anyrequirements on compatibility betweenthese bindings should be specified,including requirements on coordinationof identifier name spaces. There is aneed to list the requirement for correctinterworking between the servicesaccessed via the language binding.
J2.2 Language-Independent APISpecifications and Language Bindings
Standard API specifications can specify a directmapping between a programming language and aservice, or an indirect mapping that makes use of anintermediate, abstract interface model and syntaxthat is separately mapped to the programminglanguage and to the service. Where an indirectmapping is used and the same abstract interface ismapped to multiple programming languages, thespecification of the mapping from the service to theabstract interface model and syntax is called alanguage-independent API specification. Aspecification of a mapping to a programminglanguage, whether directly from a service or from alanguage-independent API for a service, is called alanguage binding for that service (see TR10182:1993).
Where there are multiple language bindings to aservice, some language bindings may depend on alanguage-independent API specification, whileothers map directly to the service, and differentgroups of language bindings may depend onseparate language-independent API specifications,for example where the bindings for different
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programming languages have incompatiblerequirements. The following policies arerecommended apply:
J2.2.1 5. Where a standardization projectfor an API specification includes multiplelanguage bindings with commoninterface characteristics, the use oflanguage-independent API specificationsshould be strongly encouraged.
J2.2.2 6. Where a standardization projectfor an API specification includes alanguage-independent API specification,the language-independent APIspecification shall be progressedtogether with at least one languagebinding that depends on the language-independent API specification.
J2.2.3 7. The use of common,standardized methods where availablefor the specification of language-independent API specification should beencouraged.
J2.3 Conformance and Testability
Clear definitions of conformance and testability areessential for standard API specifications. Not allrequired functions can be effectively tested.However, where possible, test methods should bereadily derivable from the standard. (See ISO/IEC9646:1991 and DIS 13210.)
The following policies are recommended apply:
J2.3.1 8. If either a programming languageor the service specification to which it isinterfaced has multiple levels ofconformance, then the API standardshould have correspondingconformance levels.
J2.3.2 9. The "conformance clauses" andconformance requirements specified instandard API specifications shalldistinguish between the requirements ona platform's conforming serviceimplementations and those onconforming applications.
J2.3.3 10. API conformance requirementsshould include sufficient level of
specification that verification testmethods can be readily derived.
J2.3.4 11. The use of API specificationmethods that support the use ofautomated test procedures should beencouraged.
J2.4 Relationship to Models
All API specifications, in mapping between aprogramming language and a service, must takeinto account the underlying semantic models of theprogramming language and the service, whetherthese are explicit or implicit.
The following policies are recommended apply:
J2.4.1 12. The specification of explicitsemantic models should be encouragedin the development of standards forprogramming languages and services, inorder to facilitate the development of APIspecifications which bind them together.
J2.4.2 13. When a difference is encounteredbetween the semantic models of theprogramming language and the service,the API specification should documentthe approach taken to either harmonizeor address this difference.
J2.4.3 14. Where a JTC 1 standard existsfor a model or framework that addressesthe scope of proposed work, therelationship of that work to the modelshall be documented.
J3 Considerations in Proposing APIStandardization
J3.1 Placement within JTCI forStandardization of API Specifications
There are three types of expertise that need to beinvolved in the development of API specifications.The developers of the service standards must beinvolved to provide detailed knowledge on the useof service standards. The users of the basestandards and the API must be involved to facilitatedetermining the appropriate levels of abstractionand "common usage". Language experts need to be
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involved to ensure that the API is properlyintegrated into the various languages. One of themore important aspects of the language dependentAPI specifications is that they fit well into the styleand model of the language in which they are to beused without conflicting with existing syntax andsemantics. Those participating in the developmentof an API specification would not be expected tolimit their participation to a single type of expertise.However, these categories do serve to characterizethe kinds of knowledge that needs to be involved.
Level of Abstraction and Language-lndependenceare two characteristics of API specifications thatcould be used to help determine the placement ofwork on API specifications. Much like the types ofexpertise just described, these are not an absolutecharacterization, but more an indication of degreesor shadings. For API specifications that were verylanguage independent and were at a lower level ofabstraction, the work may rely more heavily on basestandards participation. By moving to higher levelsof abstraction, more user participation and a rise inthe need for language expertise is expected. Bymoving from more language independence to morelanguage dependence, greater participation bylanguage experts and less participation from basestandards is expected. The following policy isrecommended applies:
J3.1.1 15. To expedite placement of futurework, an NP or fast-track submissionthat includes an API component mustshall be accompanied by a statementthat addresses the questions:
a) Which SC is responsible for theunderlying service?
b) Which SC is responsible for theprogramming language(s)'?
c) Will the API specification requireextension(s) to an existingprogramming language or service'?
d) What is the kind of expertiserequired in the development of theAPI specification?
e) What resources of the SC areavailable to perform the new APIspecification work?
f) What is the relationship of the APIspecification work to other work inthe SC?
g) Is the appropriate expertiseavailable for review andconsideration of the draft APIspecifications, especially duringthe CD ballot stage?
J3.2 Coordination
Standardization of API specifications is dependentupon related standards which apply to one or bothsides of the interface involved. Therefore, it isimportant that during the development of standardsfor API specifications:
a) related work is progressed, and
b) liaisons bodies involved with related workare active,
in order to ensure that technically sound andcomplete standards are developed in a timelyfashion. The following policy is recommendedapplies:
J3.2.1 16. Standardization of APIspecifications should require specificexplicit review by specifically identifiedliaisons at specific stages ofdevelopment (e.g., CD, at time ofregistration, should be sent to theseidentified liaison SCs for required reviewand comment to the developing SC.)
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Annex K: Collaborative Procedures for ITU-T and JTC 1 Cooperation
This annex incorporates by reference the Guide forITU-T and ISO/IEC JTC 1 Cooperation, publishedjointly by ISO, IEC and ITU.
[Note: The designation of this annex as Annex K isfor consistency with the previous edition of theseDirectives, and with the reference to Annex K in thepublished Guide for ITU-T and ISO/IEC JTC 1Cooperation. It does not imply the existence ofAnnexes H through J, which are not used in thisedition.]
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Editor’s Note: A complete index will be provided in the final version, similar to that included in the Third Edition.
INDEX