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This document is developed in accordance with the rules given in GB/T 1.1-2020 Directives for standardization - Part 1: Rules for the structure and drafting of standardizing documents.
GB/T 1 Directives for standardization, GB/T 20000 Guidelines for standardization, GB/T 20001 Rules for drafting standards, GB/T 20002 Drafting for special aspects in standards, GB/T 20003 Special procedures for the development of standards and GB/T 20004 Social organization standardization together constitute a basic system of national standards that supports the development of standards
This document is Part 1 of GB/T 1 Directives for standardization. The following parts of GB/T 1 have been published:
——Part 1: Rules for the structure and drafting of standardizing documents.
This document replaces GB/T 1.1-2009 Directives for standardization - Part 1: Structure and drafting of standards. In addition to a number of structural adjustments and editorial changes, the following main technical changes have been made with respect to GB/T 1.1-2009:
a) The clause entitled "Classification of documents" is added (see Clause 4);
b) The clause "General principles" is modified to "Objectives, principles and requirements”, with the principles subdivided and the relevant contents of the Edition 2009 modified and incorporated herein (see Clause 5; Clause 4, 5.1.1, 5.1.2.1, 5.1.2.2, 6.3.1.1 and 6.3.4 of Edition 2009);
c) The words representing standard function types and their English translations are added to the "document name" (see 6.1.4.2);
d) The categories, components and presentation forms of elements are modified (see 6.2.2; 5.1.3 of Edition 2009);
e) The specific forms and drafting rules of "list" are modified (see 7.5; 5.2.6 of Edition 2009);
f) The requirements on the types of provisions that are not allowed when drafting the element “foreword" are modified (see 8.3; 6.1.3 of Edition 2009);
g) The requirements that the element "introduction" needs to be included under certain conditions and the specific background information that needs to be given when drafting the "introduction" are added (see 8.4);
h) The provision types and presentation forms used to state the "scope" are modified (see 8.5.3; 6.2.2 of Edition 2009);
i) The introductory text for the element "normative references” are modified (see 8.6.2; 6.2.3 of Edition 2009);
j) The performance approach (see 6.3.1.2 of Edition 2009), principle of verifiability (see 6.3.1.3 of Edition 2009), and drafting rules for "requirements" (see 6.3.4 of Edition 2009) are deleted;
k) Some drafting rules for "terminological entries" are modified, and detailed requirements are added (see 8.7.3; 6.3.2 of Edition 2009);
l) The introductory wordings to the list of symbols and/or abbreviated terms are added (see 8.8.2);
m) The drafting rules for the element "classification and coding" are modified (see 8.9.1 and 8.9.3; 6.3.5 of Edition 2009), and the drafting rules for the element "system composition” are added (see 8.9.2 and 8.9.3);
n) The drafting rules for elements "general principles" and "general requirements" are added (see 8.10);
o) The drafting rules for elements "core technical elements" (see 8.11) and "other technical elements" (see 8.12) are added, and the "presentation of technical elements" is deleted (see 7.1.3 of Edition 2009);
p) The drafting rules for the element "bibliography" (see 8.13; 6.4.2 of Edition 2009) and element "index" (see 8.14; 6.4.3 of Edition 2009) are modified;
q) The provision types and some modal verbs used in presentation of provisions are modified (see 9.1 and Annex C; 7.1.2 and Annex F of Edition 2009), and the typical words used to present general statements are added (see Table C.7);
r) The presentation rules of "additional information" (see 9.2) and “general content" (see 9.3) are added;
s) Rules for the use of common words in the text are added (see 9.4.2);
t) The presentation rules of referring to the document itself are modified (see 9.5.2; 8.1.2.1 of Edition 2009); the annotation rules for dated reference to documents published in more than one version in the same calendar year are added (see 9.5.4.1.1), and the rules for undated reference are modified (see 9.5.4.1.2; 8.1.3.3 of Edition 2009); the presentation rules for normative and informative references (see 9.5.4.2) and the methods for indication of sources (see 9.5.4.3) are added; the limitations for referenced documents are modified (see 9.5.4.4.1; 8.1.3.1 of Edition 2009), and the requirements for documents that shall not be referenced are added (see 9.5.4.4.2 and 9.5.4.4.3); the rules of references among parts are deleted (see 8.1.4 of Edition 2009); and the presentation rules for reference to specific contents of the standard are modified (see 9.5.5; 8.1.2.2 of Edition 2009);
u) The presentation rules for "annex” are modified (see 9.6; 5.2.7, 6.3.6 and 6.4.1.1 of Edition 2009), and the requirements on the contents that can be included in the informative annexes are deleted (see 6.4.1.2 of Edition 2009);
v) The usage rules for "figures" and "tables" (see 9.7.1 and 9.8.1; 7.3.1 and 7.4.1 of Edition 2009), the presentation rules for continuation of figures and tables over pages (see 9.7.3 and 9.8.3; 7.3.7 and 7.4.5 of Edition 2009), the rules for use of index numbers on graphs (see 9.7.4.2; 7.3.5 of Edition 2009), and the drafting rules for headings (see 9.8.4; 7.4.4 of Edition 2009) are modified;
w) The presentation rules for "example" are added (see 9.10.3 and 9.10.4);
x) The requirements on a blank line above or below the entry number (see 10.3.5), arrangement of contents in the tables (see 10.4.2.2) and box for distinguishing examples (see 10.4.5) are added;
y) The requirements on font size and font in "important notes", "terminological entries" , "sources", etc. are added (see Table F.1).
This document is drafted by reference to but is not equivalent to ISO/IEC Directives, Part 2, 2018: Principles and rules for the structure and drafting of ISO and IEC documents.
Attention is drawn to the possibility that some of the elements of this document may be the subject of patent rights. The issuing body of this document shall not be held responsible for identifying any or all such patent rights.
This document was proposed by and is under the jurisdiction of SAC/TC 286 National Technical Committee on Standardization Principles and Methods of Standardization Administration of China.
The previous editions of this document and documents replaced by this document are as follows:
——It was first issued as GB 1.1-1981 in 1981, first revised in 1987, and second revised in 1993;
——In the third revision in 2000, the contents of GB/T 1.2-1996 Directives for the work of standardization - Unit 1: Drafting and presentation of standards - Part 2: Rules for publishing standards were incorporated (previous editions of GB/T 1.2-1996: GB 1-1958, GB 1-1970, GB 1-1973, GB 1.2-1981 and GB 1.2-1988);
——In the fourth revision in 2009, the contents of GB/T 1.2-2002 Directives for standardization - Part 2: Methodology for the content of normative technical elements in standards were incorporated (the documents replaced by GB/T 1.2-2002 and the previous editions: GB 1.3-1987 Directives for the work of standardization - Rules for drafting product standards, GB/T 1.3-1997; GB 1.7-1988 Directives for the work of standardization - Rules for drafting product package standards);
——This edition is the fifth revision.
Introduction
Standardization is an activity to develop and apply standards in order to establish the best order and promote common benefits. In order to ensure the orderly development of standardization activities and promote the realization of standardization goals and benefits, establishing rules for standardization activities has become the primary task of various standardization institutions at home and abroad to carry out standardization activities. In this respect, China has established a basic national standard system to support the development of standards. In this standard system, GB/T 1 Directives for standardization is the basic and general standard guiding standardization activities in China. GB/T 1 aims to establish guidelines generally applicable to the drafting, development and organization of standardizing documents and is intended to consist of three parts.
——Part 1: Rules for the structure and drafting of standardizing documents, for the purpose of establishing the general principles and relevant rules applicable to drafting various standardizing documents.
——Part 2: Procedures for the development of standardizing documents, for the purpose of establishing operable, traceable and verifiable procedures for the development of standardizing document.
——Part 3: standardization technology organization, for the purpose of establishing the organizational hierarchy and stipulating the management and operation requirements for the standardization technology organization so that it can be widely involved by all relevant parties.
One of the tasks of standardization activities is to draft high-quality standardizing documents for establishing sound technical rules. To this end, China issued the national standard on the publishing and printing of standards in 1958, and has issued GB/T 1.1 by five editions since 1981, stipulating the rules for the structure and drafting of standards. GB/T 1.1-2009 has been issued and implemented for more than ten years. During this period, the role of standardization has been paid more and more attention to, and the theoretical research and practice of standardization related to standard drafting and the international rules have changed. First of all, the research on standardization principles and methods in China has been deepening, and a classification system for classifying standards from different dimensions has been gradually established. Since 2014, national standards guiding the drafting of standards of different function types and the preparation of content involving safety and environment in standards have been issued one after another, enriching and perfecting the relevant parts of GB/T 20001 Rules for drafting standards and GB/T 20002 Drafting for special aspects in standards. Secondly, with the wide application of GB/T 1.1 and the gradual deepening of standard drafting practice, new demands and suggestions are constantly emerging. Thirdly, ISO/IEC Directives, Part 2, the main international document on which GB/T 1.1 is based, was published in the sixth, seventh and eighth editions in 2011, 2016 and 2018, respectively. In view of this, it is necessary to revise and improve GB/T 1.1, so as to constantly adapt to the new changes of relevant standards at home and abroad and the new demands of the development of standardization practice, and ensure the overall coordination of the basic national standard system supporting the development of standards.
To standardize all kinds of standardization subjects, the first thing is to establish provisions, that is, to determine the normative elements of documents; and the second is to develop standardizing documents. This revision of GB/T 1.1 focuses on the general principles and requirements of drafting standardizing documents and how to select the normative elements of documents, clarifies the core technical elements of standards of different function types, and further clearly stipulates the preparation and presentation of document elements. By establishing more rigorous drafting rules, document drafters can have a basis for drafting various standardizing documents, thus improving the quality and application efficiency of documents, promoting the effective display of document functions and better promoting trade, exchange and technical cooperation.
Directives for standardization -
Part 1: Rules for the structure and drafting of standardizing documents
1 Scope
This document establishes the structure of standardizing documents and the general principles and requirements for drafting standardizing documents, and stipulates the document names, levels, rules for preparing and presenting elements, as well as the format of documents.
This document is applicable to the drafting of national, professional and provincial standardizing documents, and may be used as reference for other standardizing documents.
Note: In case of no confusion, the "standardizing documents" herein is referred to collectively as "documents".
2 Normative references
The following documents contain provisions which, through reference in this text, constitute provisions of this document. For dated references, only the edition cited applies. For undated references, the latest edition of the referenced document (including any amendments) applies.
GB/T 321 Preferred numbers - Series of preferred numbers
GB/T 3101 Quantities and units - General principles
GB/T 3102 (all parts) Quantities and units
GB/T 7714 Information and documentation - Rules for bibliographic references and citations to information resources
GB/T 14559 Symbols and units of variant quantities
GB/T 15834 General rules for punctuation
GB/T 15835 General rules for writing numerals in publications
GB/T 20000.1 Guidelines for standardization - Part 1: Standardization and related actives - General vocabulary
GB/T 20000.2 Guidelines for standardization - Part 2: Adoption of international standards
GB/T 20001 (all parts) Rules for drafting standards
GB/T 20002 (all parts) Drafting for special aspects in standards
ISO 80000 (all parts) Quantities and units
IEC 60027 (all parts) Letter symbols to be used in electrical technology
IEC 80000 (all parts) Quantities and units
3 Terms and definitions
For the purposes of this document, the terms and definitions given in GB/T 20000.1 and the following apply.
3.1 Document type
3.1.1
standardizing document
document developed through standardization activities
[Source: GB/T 20000.1-2014, 5.2]
3.1.2
standard
document established by consensus per prescribed procedure, that provides, for common and repeated use, rules, guidelines or characteristics for activities or their results through standardization activities
[Source: GB/T 20000.1-2014, 5.3]
3.1.3
basic standard
standard (3.1.2) of wide application scope formed for the purpose of mutual understanding
Note: It usually includes terminology standard, symbol standard, classification standard, test standard, etc.
3.1.4
general standard
standard (3.1.2) that contains provisions (3.3.1) generally applicable to one or more specific fields
Note: General standards often include the word "general" in their names, such as general specifications and general technical requirements.
3.2 Document structure
3.2.1
structure
position and order of levels, elements, annexes, figures and tables in documents
3.2.2
main body
the content in the center of the document layout, namely, from the “Scope” to the part before annexes
3.2.3
normative element
element that describes the scope of the document or sets out provisions (3.3.1)
3.2.4
informative element
element that provides additional information to assist the understanding or use of the document
3.2.5
required element
element that has to be present in a document
3.2.6
optional element
element that is present depending on the specific needs of drafting a specific document
3.3 Presentation of document
3.3.1
provision
expression in the content of a document that conveys the presentation to be complied with, conformed to, understood or chosen in the application of the document
3.3.2
requirement
provision (3.3.1) expressing the objectively verifiable criteria to be fulfilled and from which no deviation is permitted if conformance with the document is to be claimed
3.3.3
instruction
provision (3.3.1) expressing action to be performed
[Source: GB/T 20000.1-2014, 9.3, modified version]
3.3.4
recommendation
provision (3.3.1) expressing suggestions or guidances
[Source: GB/T 20000.1-2014, 9.4]
3.3.5
permission
provision (3.3.1) expressing consent or liberty (or opportunity) to do something
3.3.6
statement
provision (3.3.1) stating facts or expressing information
[Source: GB/T 20000.1-2014, 9.2, modified version]
3.3.7
text
words and/or letter symbols used in subclauses or paragraphs to express the contents of document elements
4 Classification of documents
4.1 Standardizing documents are numerous and wide in range, which can be classified into different categories according to different attributes. China's standardizing documents include standards, standardizing technical guidance documents, and certain parts of documents. International standardizing documents usually include standards, technical specifications (TS), publicly available specifications (PAS), technical reports (TR), guides, and certain parts of documents.
Note 1: In addition to China's standardizing documents, the above-mentioned international standardizing documents may also be referenced to.
Note 2: Parts are levels to which a document may be divided. However, since a part can be independently prepared, revised and issued (see 7.1.1.1), the standardizing document used in this document contains "part(s)" unless it is necessary to point out "part(s)" separately.
4.2 Confirming the categories of standards can help drafters draft standards with better fitness for implementation. Standards may be classified into different categories according to different attributes.
a) According to the standardization subjects, standards may be classified into the following subject categories:
product standard, which specifies the requirements that products need to meet to ensure their fitness for implementation;
process standard, which specifies the requirements that the process needs to meet to ensure its fitness for implementation;
service standard, which specifies the requirements that the service needs to meet to ensure its fitness for implementation.
Note: According to specific standardization subjects, product standards are usually further classified into raw material standards, part/component standards, finished product standards, system standards, etc. Among them, the system standard refers to the standard that specifies the requirements that the system needs to meet to ensure its fitness for implementation.
b) According to the function of standard content, standards may be classified into the following function types:
terminology standard: the standard that defines the reference and definition of concepts used in specific fields or disciplines;
symbol standard: the standard that defines the presentation form, meaning or name of symbols used in specific fields or disciplines;
classification standard: the standard that regularly divides and arranges product processes or services or establishes a classification system based on similar characteristics such as source, composition, performance or use;
test standard: the standard that comprehensively describes the test activities and the way to draw conclusions within the precision range suitable for the specified purpose and under the given environment;
specification standard: the standard that specifies the requirements to be met for products, processes or services and describes the verification method used to determine whether the requirements are met;
code of practice standard: the standard that specifies clear procedures for the process of activities and describes the traceability/verification method used to determine whether the procedures are performed;
guide standard: the standard that provides universal, principled and directional guidance on a subject with appropriate background knowledge, or gives relevant suggestions or information at the same time.
5 Objectives, principles and requirements
5.1 Objectives and general principles
Documents are prepared to provide a framework for future technological development by specifying clear, accurate and unambiguous provisions, and to be understood and easily applied by professionals who have not participated in the preparation of documents, thus promoting trade, exchange and technical cooperation.
In order to achieve the above objectives, the following general principles should be observed when drafting documents: the latest technical level and current market conditions are fully considered, and the standardization needs in the fields involved are carefully analyzed; on the basis of accurately grasping standardization subjects, document users and document preparation purposes (see 5.3), the categories and/or function types of documents are defined (see Clause 4), the normative elements of documents are selected and determined, the levels and elements of documents are reasonably set and prepared, and the technical contents of documents are accurately expressed.
5.2 Principles of preparing a document as a whole or in parts
5.2.1 For a standardization subject, it is usually advisable to prepare a whole document without subdivision, but a document with several parts may be prepared under special circumstances. With comprehensive consideration of the following situations, a document may be prepared with several parts with regard to a standardization subject:
a) the document is likely to become too long;
b) the document users have different needs, such as producers, suppliers, purchasers, testing institutions, certification institutions, legislative bodies, management institutions, etc.;
c) documents are prepared for different purposes, such as ensuring usability, facilitating interface, interchange, compatibility or mutual cooperation, facilitating variety control, ensuring health and safety, protecting environment or promoting rational utilization of resources, and promoting mutual understanding and communication.
5.2.2 Generally, the contents applicable to a wide range of general standardization subjects should be prepared as a whole document; the general contents applicable to a narrow range of standardization subjects should be prepared as a general part of a document consisting of several parts; the specific contents applicable to a simple range of standardization subjects should not be prepared as a whole document or a part of a document consisting of several parts, but only as relevant elements in a document.
For example, the test method which is applicable to a wide range of products shall be prepared as a test standard; the test method which is applicable to a certain type of products shall be prepared as a test method part of a document consisting of several parts; the test method which is applicable to testing the specific characteristics of a product shall be prepared as the "test method" element in the product standard
5.2.3 Before drafting documents, it is advisable to consider and establish:
——the reasons for dividing the document into parts (see 5.2.1) and the relationship between these parts;
——the name and scope of each part expected in a document which is divided into parts.
5.3 Selection principles of normative elements
5.3.1 Standardization subject principle
The standardization subject principle means that the related contents of standardization subject or field need to be considered when drafting a document, in order to confirm whether the product/system process or service or the contents related to a certain field are to be standardized, and whether it is a complete standardization subject or a certain aspect of the standardization subject, thus ensuring that the contents in the normative elements are closely related to the standardization subject or field. Standardization subject determines the subject category [see 4.2a)] of the drafted standard, which directly affects the composition of normative elements in the document and the selection of technical contents.
5.3.2 Document user principle
The document user principle means that document users [see 5.2.1b)] need to be considered when drafting a document, so as to confirm which users the document is aimed at, and whether they are concerned about the results or the process, thus ensuring that the contents in the normative elements are needed by specific users. Different users of the document will influence the identification of a document as a specification standard, code of practice standard or test standard [see 4.2b)], and then the composition of normative elements in the document and the selection of its contents will be different.
5.3.3 Aim-oriented approach
The aim-oriented approach means that the preparation purpose [see 5.2.1c)] of the document needs to be considered when drafting a document, and functional analysis will be carried out on the standardization subject based on the confirmed preparation purpose to identify the contents or characteristics to be standardized in the document, thus ensuring that the contents of normative elements are selected for the preparation purpose of the document. The preparation purpose of a document determines the purpose category of the standard. The contents or characteristics that need to be standardized in normative elements vary with the preparation purposes. The more purposes of preparation, the more contents or characteristics are selected.
Note 1: If a document is prepared for the purpose of promoting mutual understanding, the purpose category of the standard formed is the basic standard; if a document is prepared for the purpose of ensuring usability, interchangeability, compatibility, mutual cooperation or variety control, the purpose category of the standard formed is the technical standard; and if a document is prepared for the purpose of ensuring health and safety and protecting the environment, the purpose category of the standard formed is the health standard, safety standard or environmental protection standard.
Note 2: The basic standards prepared for the purpose of promoting mutual understanding include function types such as terminology standard, symbol standard, classification standard and test standard; and the standards prepared for other purposes include function types such as specification standard, code of practice standard and guide standard. [See 4.2b)].
5.4 Presentation principles of documents
5.4.1 Consistency principle
Within each document or among the parts of a document, the structure and the presentation of elements should be consistent. Therefore:
——the same provisions should be presented with the same wording and similar provisions should be presented with similar wordings;
——the same concept should be presented with the same term other than synonyms;
——the titles and numbers of elements with similar contents should be the same as far as possible.
Note: Consistency is especially important to help document users understand the contents of documents (especially documents divided into parts), and it is also important to use automatic text processing technology and computer-aided translation.
5.4.2 Coordination principle
The documents drafted should be coordinated with the current valid documents to avoid duplication and unnecessary deviations. Therefore:
——as far as possible, the requirements for one standardization subject should be confined to one document.
——general contents should be specified in one document to form a general standard or general part (see 5.2.2);
——the drafting of documents should comply with the requirements of the basic standards and the general standards in the field, and the applicable international documents, if any, should be adopted as far as possible;
——where it is necessary to use contents in other locations of the document itself or contents in other documents, the presentation form of reference (see 9.5.4) or notes (see 9.5.5) should be adopted.
5.4.3 Accessibility principle
The presentation of the contents of documents should be convenient for direct application, and easy to be referenced or excerpted by other documents.
5.5 General requirements
5.5.1 In drafting the document, the intended structure (see 6.2) and any interrelationships of the document shall be determined on the basis of selecting normative elements.
5.5.2 In order to improve the fitness for implementation and application efficiency of the documents and ensure the timely release of the documents, the draft documents in each stage of the preparation work shall meet the following requirements on the basis of conforming to the drafting rules stipulated in this document:
——the standards of different function types [see 4.2b)] shall comply with the requirements of corresponding parts of GB/T 20001;
——some specific contents in the document shall comply with the relevant requirements of GB/T 20002;
——the Chinese documents identical to the international documents shall comply with the requirements of GB/T 20000.2.
5.5.3 A document shall not include contractual requirements (e.g. concerning claims, guarantees, covering of expenses) and legal or statutory requirements such as administrative measures, legal responsibilities and penalties.
Foreword IV
Introduction VIII
1 Scope
2 Normative references
3 Terms and definitions
3.1 Document type
3.2 Document structure
3.3 Presentation of document
4 Classification of documents
5 Objectives, principles and requirements
5.1 Objectives and general principles
5.2 Principles of preparing a document as a whole or in parts
5.3 Selection principles of normative elements
5.4 Presentation principles of documents
5.5 General requirements
6 Document name and structure
6.1 Document name
6.2 Structure
7 Preparation of levels
7.1 Part
7.2 Clause
7.3 Subclause
7.4 Paragraph
7.5 List
8 Preparation of elements
8.1 Title page
8.2 Contents
8.3 Foreword
8.4 Introduction
8.5 Scope
8.6 Normative references
8.7 Terms and definitions
8.8 Symbols and abbreviated terms
8.9 Classification and coding / system composition.
8.10 General principles and/or general requirements
8.11 Core technical element
8.12 Other technical elements
8.13 Bibliography
8.14 Index
9 Presentation of elements
9.1 Provision
9.2 Additional information
9.3 General content
9.4 Text
9.5 References and notes
9.6 Annexes
9.7 Figures
9.8 Tables
9.9 Mathematical formulae
9.10 Examples
9.11 Notes
9.12 Footnotes
9.13 Other rules
10 Formatting
10.1 Frame format as well as font size and font
10.2 Arrangement of levels
10.3 Arrangement of elements
10.4 Arrangement of expression form for elements
Annex A (Informative) Example of numbering of levels
Annex B (Normative) Designation of standardized items
B.1 General
B.2 Fitness for implementation
B.3 Designation system
B.4 Use of characters
B.5 Description block
B.6 Identity block
B.7 Adoption of internationally standardized item designation
Annex C (Normative) The type of modal verbs or sentence patterns used in the presentation of provision types
C.1 Requirements
C.2 Instruction
C.3 Recommendation
C.4 Permission
C.5 Statement
Annex D (Normative) Patent rights
D.1 Collection of patent information
D.2 Patent right not identified
C.3 Patent right identified
Annex E (Normative) Document format
Annex F (Normative) Font size and font of the document
Bibliography
Index
Figure B.1 Structure of designation system
Figure E.1 Format for recto page
Figure E.2 Format for even page
Figure E.3 Format for the first page of main body
Figure E.4 Format for back cover
Figure E.5 Format for title page of national standard
Figure E.6 Format for title page of professional standard
Figure E.7 Format for title page of provincial standard
Figure E.8 Format for contents
Figure E.9 Format for foreword or introduction
Figure E.10 Format for bibliography
Figure E.11 Format for index
Figure E.12 Format for annex
Table 1 Words representing standard function types in document names and their English translations
Table 2 Levels and numbering
Table 3 Categories, composition and presentation forms of elements in the document
Table 4 Core technical elements and provision type of standards of various function types
Table C.1 Requirements
Table C.2 Indication
Table C.3 Recommendation
Table C.4 Permission
Table C.5 Capability
Table C.6 Possibility
Table C.7 General statement
Table F.1 Font size and font of the document
