Ccwg cm process draft may 2012 Country Codes Working Group Configuration Management Process




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CCWG CM Process - DRAFT May 2012

Country Codes Working Group - Configuration Management Process

1. Purpose: Establish a configuration management process for the maintenance of the Geopolitical Entities, Names, and Codes (GENC) Standard for use by the U.S. Federal Government. The GENC will change over time and this document addresses the process for managing this change.

2. Policy: In accordance with U.S. law and OMB Circular A-119, non-government standards shall be used to the greatest extent possible. The primary source for country code elements in the GENC is the International Organization for Standardization (ISO) 3166-1, Codes for the representation of countries and their subdivisions, Part 1 – Country codes. The primary source for country subdivision code elements in the GENC is ISO 3166-2, Codes for the representation of countries and their subdivisions, Part 2 – Country subdivision code. The U.S. Federal Government shall utilize code elements and country/subdivision names from ISO 3166-1 and ISO 3166-2 to the greatest extent possible. Where U.S. Government policy or needs require variation from ISO 3166 code elements or names, ISO 3166 reserved code elements or user-assigned code elements shall be used to the greatest extent practical, and coordinated with the ISO 3166 Maintenance Agency (ISO 3166/MA). Unique alphanumeric country and subdivision code elements shall only be used in exceptional cases where code elements are needed quickly to meet an urgent operational need, or the ISO 3166/MA does not accept that a code element that is needed by the U.S. Government for data exchange purposes is appropriate for inclusion in ISO 3166 or as a user-assigned code element. Unique alphanumeric code elements issued to meet an urgent operational requirement shall be replaced by approved ISO 3166 code elements, if an ISO code is assigned, within a period not to exceed one year after issuance of an approved code element by ISO 3166/MA.

3. Responsibilities: The following roles are defined in the GENC configuration management process.

3.1 GENC Owner – The National Geospatial-Intelligence Agency (NGA) in its role as the functional manager for Geospatial Intelligence (GEOINT) will promulgate the GENC standard for use by the Department of Defense (DoD), Intelligence Community (IC), and U.S. civil federal agencies. Approval authority for NGA standards, including the GENC, is the NGA Architecture and Standards Board (NASB).

3.2 GENC Configuration Manager – The NGA component that maintains the GENC is the National Center for Geospatial Intelligence Standards (NCGIS).

3.3 GENC Configuration Control Body (CCB) – The Geospatial Intelligence Standards Working Group (GWG) Country Code Working Group (CCWG) fulfills the role of the GENC CCB. The CCWG is a U.S. Government forum consisting of representatives from the DoD, IC, and civil federal agencies. The CCWG develops the community consensus on the acceptability of changes being proposed to the GENC. The GENC CCWG is a working group under the Metadata Focus Group (MFG) of the Geospatial Intelligence Standards Working Group (GWG). The GWG is under the authority of the DOD Information Technology Standards Committee (ITSC), and the Intelligence Community Enterprise Standards Committee (IC ESC).

3.4 GENC Submitting Organizations – Organizations that are authorized to request changes to the GENC. An organization, for the purposes of the CCWG, is representation at the highest level overseeing a common mission. DIA, NGA, NRO, NSA are organizations represented by one voting member each. Each military service and command may each be represented by a voting member. An organization may be below a department or agency level if the organization has a clearly identifiable mission.

3.5 Coordination authority – The CCWG acts as the centralized point of contact on behalf of DoD, the IC, and other U.S. civil federal agencies for coordinating and submitting proposals for changes to ISO 3166 to the ISO 3166/MA and its U.S. member body, the National Information Standards Organization (NISO).

4. Procedures:

4.1. Determine need for change. Changes to country names and code elements are primarily the result of world events, and changes to geopolitical entities. The primary sources of GENC change information are:

4.1.1. ISO 3166 newsletters. The ISO 3166/MA is the primary source of information concerning changes to the code elements and names in the GENC. The ISO 3166/MA promulgates changes to the ISO 3166 Parts 1 and 2 standards through its newsletters. Issuance of an ISO 3166 newsletter by the ISO 3166/MA shall automatically be treated as a change request to the GENC, requiring adjudication through the GENC configuration management process. The GENC configuration manager shall monitor ISO 3166/MA activities and obtain all newsletters.

4.1.2. U.S. Government requests. Exceptionally, a U.S. Government organization may have a requirement for a country code element or subdivision code element needed for data exchange purposes that that would require a change or addition to the GENC. A U.S. Government submitting organization shall forward requests for changes to the GENC to the GENC configuration manager.

4.1.3. U.S. Government classified code requests. Exceptionally, if a classified country code is required, a classified configuration management process will be administered, to include all cleared voting members of the CCWG.

4.2. Types of code elements. Change requests can be for the following types of code elements.

4.2.1. ISO 3166 code elements. These code elements are normal code elements issued by ISO 3166/MA, and promulgated by their newsletters.

4.2.2. ISO 3166 reserved code elements. These code elements are provided for in the ISO 3166 standard for exceptional cases where the ISO 3166/MA has decided not to include a code element in the standard, but for which a data interchange requirement exists. Coordination with ISO 3166/MA is required for issuing a reserved code element because a list of reserved code elements is maintained by ISO 3166/MA. Reserved code elements must also be approved by the nation bearing sovereignty over the subject geopolitical entity.

4.2.3. ISO 3166 user-assigned code elements. Certain alphabetic and numeric code element ranges are reserved in the ISO 3166 standard for users who have a need to represent geopolitical entities not found in the standard. User-assigned code elements are also used to represent aggregations of geopolitical entities such as alliances (NATO, ISAF, etc.). User-assigned country code elements in ISO 3166-1 fall within the digraph ranges AA, QM to QZ, XA to XZ, and ZZ, the trigraph ranges AAA to AAZ, QMA to QZZ, XAA to XZZ, and ZZA to ZZZ, and the numeric range 900 to 999. User-assigned code elements for country subdivisions in ISO 3166-2 can be any code element that is not already being used in the standard. Consultation with ISO 3166/MA is required prior to use of a user-assigned code element.

4.2.4. U.S. Government-unique GENC alphanumeric code elements. These code elements are outside of the scope of control of the ISO 3166/MA, and are used in the GENC in the following circumstances:

4.2.4.1. Urgent U.S. Government need. A U.S. Government organization has an urgent operational need for a code element that cannot be processed in the normal change request timeline that includes coordination with ISO 3166/MA. Concurrent with issuance of a U.S. Government-unique alphanumeric code element, a change request for a coordinated ISO 3166 code element will also be initiated (except as stated in 4.2.4.3), unless the code request does not fall within the scope of ISO 3166. A request for an alphanumeric code may also be necessary if a response from ISO 3166/MA is delayed beyond expected timelines. The U.S. Government alphanumeric code element will be replaced in the GENC by the approved ISO 3166 code element within one year after ISO 3166/MA issues the newsletter promulgating the new ISO 3166 code element.

4.2.4.2. Non-acceptance by ISO 3166/MA. A DOD/IC or civil federal organization has a need for a code element for a geopolitical entity for data exchange purposes that was coordinated with but not accepted by ISO 3166/MA as a regular, reserved, or user-assigned code element.

4.2.4.3. Exercise or special needs code elements. Code elements for use in exercises, and other cases where the geopolitical entity is fictitious, temporary, or otherwise not an acceptable candidate for nomination for inclusion in ISO 3166.

4.3. Submission of change requests. U.S. Government organizations shall submit change proposals for the GENC to the GENC configuration manager. The GENC configuration manager shall review incoming change requests for clarity and completeness of information. If the change request is missing information or justification, the GENC configuration manager will contact the submitting organization for clarification or additional information. Change requests should include a justification for why a code element is needed and the urgency of the need. The GENC configuration manager shall verify that the geopolitical entity for which a code element is being requested is not already in either ISO 3166-1, Country codes, or ISO 3166-2, Country subdivision code. If the geopolitical entity for which a country code element is being requested is already a subdivision of a country in ISO 3166-2, the submitting organization must justify why it is also needed as a country-like code element styled in accordance in ISO 3166-1.

Note that ISO 3166/MA newsletters are automatically accepted as change proposals by the GENC configuration manager and forwarded for coordination.

4.4. Coordination of change requests. The GENC configuration manager shall forward valid change requests to the GENC CCB, who will determine the acceptability of the change to the GENC. Different coordination procedures are required depending on whether the change request has been initiated in response to an ISO 3166/MA newsletter, or submitted by a U.S. Government organization.

4.4.1. Coordination process for ISO 3166 newsletters. The GENC CCB shall coordinate changes to the GENC in response to ISO 3166/MA newsletters. The GENC CCB shall identify any issues that they foresee in implementation of the new ISO 3166 code element (including geographic name) and ensure compliance of the GENC with U.S. Board on Geographic Names (BGN) and Department of State (DOS) policy.

4.4.1.1. US Board on Geographic Names (BGN) coordination. The BGN approves geographic names, including country names, for use by the U.S. Federal Government. The GENC CCB shall consult with BGN to ensure that the name of the geopolitical entity being promulgated by the ISO 3166 is in accordance with U.S. Government policy. BGN objection to a name in an ISO 3166/MA newsletter may require modification of the country or subdivision name specified by ISO 3166.

4.4.1.2. US Department of State (DOS) coordination. The DOS establishes policy concerning U.S. recognition of countries. The NGA Geographer will consult with DOS to ensure that the geopolitical entity name being specified by ISO 3166 does not conflict with U.S. Government policy. DOS objection to the status of an entity in an ISO 3166/MA newsletter may require modification of the corresponding entry in the GENC.

4.4.1.3. GENC change approval. Upon completion of coordination, and with no substantive objections, the GENC CCB shall recommend to the NASB the addition of the ISO 3166 code element and name into the GENC. With NASB concurrence, the GENC configuration manager shall update the GENC accordingly. Alternative outcomes include either changing the name of the geopolitical entity to conform to BGN policy, or not accepting the ISO 3166/MA code element, and instead initiating a change request in accordance with section 4.4.2 for an equivalent U.S. Government -unique alphanumeric code (and name) for the GENC that conforms to U.S. Government policy.

Note - if the change request is in response to a promulgated ISO 3166 newsletter, no further action with NISO or ISO 3166/MA is required.

4.4.1.4. Appeal process. Substantive objections will be submitted to the CCWG Chair for resolution. If further resolution is required, the substantive objection will be submitted to the GWG Chair for final resolution.

4.4.2. Coordination process for code elements requested by U.S. Government organizations. The GENC CCB shall coordinate and adjudicate changes to the GENC in response to requests from U.S. Government organizations.

4.4.2.1. Validate change proposal. The GENC CCB shall establish a U.S. Government consensus position on the change request, validate that it is needed and will be broadly used in the U.S. Government, and validate that the correct type of code element is being asked for (regular ISO 3166, reserved, user-assigned, or U.S. Government-unique alphanumeric). The CCB shall also validate the urgency of the need if an expedited request for an alphanumeric code element is being requested. Going through the normal ISO 3166/MA coordination is the preferred approach. The GENC CCB shall identify any issues that they foresee in implementation of the new ISO 3166 or alphanumeric code element and ensure compliance of the GENC with U.S. Board of Geographic Names (BGN) and Department of State (DOS) policy.

4.4.2.2. U.S. Board on Geographic Names (BGN) coordination. The BGN approves geographic names, including country names, for use by the U.S. Federal Government. The GENC CCB shall consult with BGN to ensure that the name of the geopolitical entity being proposed is in accordance with U.S. Government policy.

4.4.2.3. US Department of State (DOS) coordination. The DOS establishes policy concerning US recognition of countries. The NGA Geographer will consult with DOS to ensure that the geopolitical entity name being specified by ISO 3166 does not conflict with U.S. Government policy. DOS objection to the status of an entity in an ISO 3166/MA newsletter may require modification of the corresponding entry in the GENC.

4.4.2.4. GENC change approval. Upon completion of coordination, and with no substantive objections, the GENC CCB will coordinate with the NASB and, if appropriate, the ISO 3166/MA.

4.4.2.4.1. NASB coordination. The GENC CCB will recommend to the NASB the addition of the U.S. Government requested code element and name into the GENC. With NASB concurrence, the GENC configuration manager shall update the GENC accordingly. Alternative outcomes include either changing the name of the geopolitical entity to conform to BGN policy, or not accepting the ISO 3166/MA code element, and instead initiating a change request in accordance with section 4.4.2 for an equivalent U.S. Government -unique alphanumeric code (and name) for the GENC that conforms to U.S. Government policy.

Note – Change requests for U.S. Government-unique alphanumeric code elements do not require external coordination or submission to National Information Standards Organization (NISO) or ISO 3166/MA. The GENC can be updated as soon as the U.S. Government/BGN consensus is achieved, and NASB approval obtained.

4.4.2.4.2. NASB and Civil and International Standards Development Organization (SDO) coordination. After U.S. Government consensus has been achieved, and with NASB concurrence, the CCWG will submit the request for new ISO 3166 code elements, reserved code elements, and user-assigned code elements to the National Information Standards Organization (NISO), which will forward it to ISO 3166/MA.

4.4.2.4.2.1. ISO 3166/MA response. NISO will notify the GENC configuration manger and CCB of the response to the request for a new code element.

4.4.2.4.2.2. ISO 3166/MA approval. Upon receipt of confirmation from ISO 3166/MA of approval of a new, reserved, or user-assigned code element, the GENC configuration manager shall report the result to the NASB, and update the GENC.

4.4.2.4.2.3. NISO or ISO/3166/MA counterproposal. In the event that NISO or ISO 3166/MA provides a counterproposal or recommends use of a different code element, the GENC configuration manager will coordinate the counterproposal with the GENC CCB in accordance with paragraph 4.4.2.

4.4.2.4.2.4. NISO or ISO/3166/MA rejection. In the event that NISO refuses to submit a change request to ISO 3166/MA, or ISO 3166/MA refuses to issue a regular, reserved, or user-assigned code, the GENC configuration manager will direct the GENC CCB to generate a change proposal for a U.S. Government-unique alphanumeric code and coordinate it in accordance with paragraph 4.4.2.

4.4.2.5. Appeal process. Substantive objections will be submitted to the CCWG Chair for resolution. If further resolution is required, the substantive objection will be submitted to the GWG Chair for final resolution.



5. GENC publication. The GENC configuration manager shall publish the updated GENC as directed by the GENC owner (NGA).



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