Workshop on GRP, Quito, Ecuador, 7-9 Nov. 2018 TECHNICAL COOPERATION Workshop on GRP, Quito, Ecuador, 7-9 Nov. 2018 Major methods for referencing standards in legislation Alex Inklaar, PTB consultant

Three methods of using standards in support of regulation (Slides developed for ISO in collaboration with Reinhard Weissinger)

Three methods of using standards in support of regulation (“Three methods”)

Method 1: Incorporation – The basic principle A standard or parts of it can be incorporated in the text of a regulation. This is possible by incorpating the standard or part of it in the main text (see Figure 1 below) or in an annex of the regulation (see Figure 2). In both cases, the text of the standard is merged into the text of the regulation and becomes an integral part of the text of the regulation. Incorporation is built on one element only, the text of the regulation which contains the standard or part of it. Figure 1 Figure 2

Method 2: Direct reference – The basic principle A regulation references a standard by quoting the number and possibly the title of the standard in the text of the regulation. However, it does not incorporate text from the standard. A regulation may reference more than one standard. A reference can also refer specific clauses of a standard only and not the whole standard. There are two basic options for a direct reference: dated and b) undated references. A direct reference is built on two separate elements, the regulation and (at least) one referenced standard.

Method 3: Indirect reference – The basic principle A regulation references an external source (typically a list which may be located on a website or an official journal where pertinent information is published). This external source contains the numbers and titles of the standards which support the regulation and are supposed to be applied in order to meet the requirements of the regulation. Different from the direct reference, this method avoids quoting any specific standard with its number or title in the text of the regulation. An indirect reference is built on three elements, the regulation, a list (or other source) and the referenced standard(s).

Dated vs. undated reference – The basic principle A dated reference refers to a particular edition of the standard only by identifying the edition of the standard through the date of its publication. If the standard is revised, the reference to the standard does not automatically transfer to the latest edition, but remains to the edition prior to the revision. An undated reference to a standard does not identify a specific edition in the reference, but automatically refers to the latest edition. This means that, if a standard is revised, the reference is automatically that of the latest edition. However, transition periods may be defined during which both editions of a standard (the previous and the updated/revised one) may still be applicable.

Exclusive vs. indicative reference – The basic principle The distinction between exclusive and indicative reference relates to the status of the referenced standard: An exclusive reference to a standard only allows the particular standard (or part of it) to be used in support of a regulation. The use of the standard becomes therefore mandatory as a means to meet the requirements of the regulation. An indicative reference to a standard does not make the use of the standard mandatory. Instead, the use of the standard is one among several ways to demonstrate compliance with the requirements of the regulation. Other options to meet these requirements are possible, including the use of other standards. The status of the standard therefore remains voluntary under the regulation.

Relationship between the “three methods” and exclusive vs Relationship between the “three methods” and exclusive vs. indicative reference (*) Incorporation is not a type of reference, but includes the text of the standard (in whole or in part) in the text of the regulation.

Three dimensions of referencing standards Direct / indirect reference: Is a standard directly quoted in the text of the legislation (with its number and title) or not? If yes: direct reference / if no: indirect reference Dated / undated reference: Is a specific edition of a standard quoted in the legislation (by giving additionally the date of publication of this standard) or not? If yes: dated reference / if no: undated reference Exclusive / indicative reference: Is the use of the standard(s) mandatory or does it remain optional (as one alternative among others to meet the requirements of the legislation)? If yes: exclusive reference / if no: indicative reference

Referencing standard(s) in regulations – The principle Law/Regulation [contains basic, “essential” requirements] Standard(s) [contain(s) technical details] Reference Laws/regulations define requirements or objectives; standards contain technical details that further specify these requirements. Standards may also contain details on how the requirements can be met and how compliance with them can be checked

References to standards International Regional National SDOs, sub-national Laws/Regulations National Sub-national levels, e.g. federal state, province, canton County, etc. Adoption Reference Standards are mostly referenced as national or sub-national standards (which includes international/regional standards after their adoption)

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