February 7, 2011 

National Institute on Standards and Technology 

100 Bureau Drive, Stop 1060 

Gaithersburg, MD 20899-1060 

Via email: SOS_RFI@nist.gov

Attn: Dr. Ajit Jillavenkatesa 

Ref: Standardization feedback for the Subcommittee on Standards

To the Members of the Subcommittee on Standards: 

The Information Technology Industry Council, ITI, appreciates the opportunity to respond to 

some of your questions posed in the Request for Information dated December 8, 2010, regarding 

the benefits of standardization and issues that may be considered during the standards-setting 

process. We would welcome the chance to meet with the Subcommittee as appropriate to 

provide greater details regarding these comments. 

ITI is the leading voice, advocate and thought leader for the U.S. information and 

communications technology (ICT) industry. Our members are global leaders in innovation from 

all sectors of the digital economy − hardware, software, services and the Internet − and are 

strong advocates of a global, harmonized, consensus-based ICT standardization system that is 

market-driven and private sector-led. 

While ITI’s views are set forth in more detail below, ITI would like to offer the following overall 

observations and recommendations for the Subcommittee’s consideration: 

• Public/Private Partnership: ITI values the public/private partnership that exists today 

with regard to ICT standardization. This balance, as reflected in the National Technology 

Transfer and Advancement Act, Pub. L. 104-113 (1995) (“NTTAA”), and OMB Circular 

A-119 has been effective in supporting a dynamic and diverse ICT standards ecosystem 

that has benefitted industry and supported US global competitiveness. We encourage the 

US Government to continue its support for the framework and principles currently 

articulated in the NTTAA and OMB Circular A-119. 

• Diversity of ICT Standards and Standardization: ITI encourages the US Government 

to embrace a variety of ICT standards and standards-setting processes, and avoid policy 

Information Technology Industry Council  1101 K Street NW, Suite 610  Washington, DC 20005 
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February 7, 2011 

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decisions that might discourage a broad diversity of approaches to ICT standardization. 

This diversity provides for choice, competition and flexibility that further enable the ICT 

sector to respond to a rapidly changing marketplace with new, innovative solutions. 

• IPR in Standards: There also is tremendous diversity with regard to standards bodies’ 

policies addressing the inclusion of patented technology in ICT standards. This diversity 

is healthy and should be encouraged, and any articulation of preferred approaches should 

be avoided. 

• Global Standards: ITI members must be able to compete in global markets and address 

global supply chains. We encourage the US Government to advocate practices for 

governments worldwide that rely on consensus-based, market-led, voluntary global 

standards and avoid promulgating and mandating conflicting country-specific standards. 

• Use of Standards in Technology Regulations: Given the dynamic nature of innovation 

and ICT standards development, governments should be cautious about mandating 

adherence to any particular standard without demonstrating sufficient need and without 

support from the impacted industry and relevant stakeholders, because mandated 

standards can divert normal marketplace outcomes and stifle innovation. If it is 

necessary to mandate adherence to an ICT standard, the government should look to 

standards that have been widely implemented in the marketplace as they have some level 

of demonstrated effectiveness and acceptance. 

• US Government Support and Advocacy: The US Government has been a strong 

advocate of the current ICT standardization ecosystem and many of the points articulated 

herein. ITI values this ongoing support and appreciates the US Government’s related 

international advocacy. 

• US Government Participation in Standardization: As reflected in the NTTAA and 

OMB Circular A-119, the US Government is a very important stakeholder in the 

standards community. US Government technical experts should be adequately resourced 

so that they can participate in standards-setting activities and contribute their views and 

expertise. 

• US Government Role: ITI notes that there may be some cases where an additional 

government role is justified - when there is a compelling public interest (e.g., health, 

safety and the environment) and markets have failed. Such situations are rare. In such 

limited circumstances, it may be appropriate for the US Government to facilitate an 

appropriate process and outcome that leads to the successful integration of standards. 

When these situations arise, the US Government should use a process that: 

o Includes all stakeholder interests 

o Articulates agreed-upon use cases 

o Seeks to leverage well-established and broadly implemented standards, and 
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o Does not mandate conformance to such standards. 

1. Standards-Setting Processes, Reasons for Participation and the Benefits of 

Standardization

Voluntary, consensus standards are important to the information and communications technology 

(ICT) sector. We believe that standards can help: 

• Create value and aggregate markets 

• Facilitate technology diffusion 

• Promote production efficiency and product interoperability 

• Enhance competition 

• Promote innovation 

• Stimulate investment and economic growth 

• Promote network security 

• Reduce costs 

• For some regulatory and trade issues, they may serve as a single, global reference 

ICT facilitates an innovative and flexible global infrastructure of integrated networks and related 

practices. Enterprises of all sizes are accessing global markets with ICT offerings and managing 

critical operations in ways that previously were geographically constrained. From 

communication links in healthcare to supply chains and transportation systems, these ICT 

offerings must be inter-connected. Because these businesses operate globally, their preference is 

for ICT offerings that utilize global standards over national or regional standards. 

ITI believes the decentralized, voluntary, market-driven standardization system which has 

brought us to this point is one which can carry us into a globally connected future with equal or 

increased productivity, capability and competitiveness. The current process is actually a 

dynamic system that evolves in response to the needs of industry and other stakeholders. The 

US ICT industry has experienced continuous growth in productivity and innovation over the past 

four decades and the beneficial impact of ICT on virtually all sectors of the U.S. economy and 

every aspect of society has been even greater. This growth could not have been achieved 

without the voluntary collaboration of private industry stakeholders in partnership with 

government in the development of globally relevant ICT standards.1

 

Moreover, the rate of ICT growth and innovation requires a system of standardization which 

utilizes consortia and other standards-setting organizations in addition to ISO, IEC and ITU. 

                                                           

1

 ITI has attached to its comments two case studies evidencing the effectiveness of this private-public 

collaboration: one relating to a data format standard for the interchange of biometric information and the other 

enabling disaster warning-receiving capability on radios, television, phones and other similar devices. 
Subcommittee on Standards 

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This diversity, which has evolved over the past few decades to meet government, industry and 

market needs, provides the ICT industry with flexibility and agility to choose among many 

venues. Diversity supports the marketplace with competition and choice as to what works best. 

As a result, multiple bodies and organizations develop numerous voluntary standards to serve 

various stakeholder groups. In this manner, customers are able to select from multiple products 

and solutions using different standards that best meet their needs. Today, ICT is the foundation 

of a global marketplace, global communities, and global economic interdependence fostered by 

adoption of global standards. 

Global ICT standards share three important characteristics: 

• They respond broadly to the needs of global markets. 

• They demonstrate relevance through voluntary worldwide adoption and implementation. 

• They are products of standardization processes that are consensus-based, transparent, and 

industry-led with participation open to all materially affected parties. 

ITI believes that the basic principles forming the U.S. Standards Strategy remain sound, relevant 

and essential to both U.S. competitiveness and global cooperation. These principles include: 

• Market-led 

• Sector-specific 

• Voluntary, consensus-based, performance-based 

• Balanced, flexible IPR policies 

• Government as consumer, partner and participant 

The world continues to change, and the best systems evolve organically to meet new 

requirements. Within the framework of the principles above, the role of government as a partner 

has become increasingly important to the continued success of ICT industry standards. 

In all industries, standards are important tools for interoperability, production efficiency and 

global deployment. Throughout the ICT sector, voluntary standards are important and pervasive. 

They are used in hardware, software, and communications, and, though convergence has blurred 

the distinction, developers continue to advance the necessary standards in the most appropriate 

venue. Voluntary standards remain the foundations of the Internet and e-commerce. While 

industry business models may differ, which can influence how companies view standards issues, 

the development of technically sound, interoperable standards through existing, constantly 

adapting standards processes remain important for the ICT industry as a whole. 

2. Intellectual Property Rights Considerations 

There has been much discussion and debate recently over the role of Intellectual Property (IP) in 

ICT standards and the nexus of standards, IP and innovation in the ICT industry. There is a wide 
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range of views on how IP should be handled in the standards development process and individual 

standards development organizations (SDOs) have a variety of patent policies and procedures. 

Depending on a number of factors, including strategic and commercial concerns, companies have 

differing positions on how IP should be handled in SDOs and the standardization process – there 

is no singular industry position. 

Standards drive growth: 

• Standards can help establish the infrastructure for competing products to interoperate. 

• Standards can simplify development by defining a minimum set of common 

requirements. 

• Standards can enable new business opportunities and new markets. 

• Standards can allow innovation on top of common specifications. 

Standards development processes respect IPR. The ICT industry recognizes the need for 

standards that address the global marketplace through open processes that include multiple 

stakeholders. Existing successful global standards development organizations (both de jure and 

consortia) have developed multiple frameworks for addressing IPR concerns. While patent 

owners may need to consider which body best meets their needs, the standards development 

processes of effective SDOs are based on recognized principles including: 

• Transparent, global, industry-led, consensus-based process, with open participation, 

resulting in voluntary standards 

• Clearly defined technical scope and objectives 

• IPR policies that balance the needs of patent owners and those of implementers and other 

stakeholders 

• IPR policies that typically seek to establish commitments from patent holders that they 

will license to all implementers of the standard on reasonable and non-discriminatory 

terms and conditions (whether for free or for a reasonable fee) 

• Formal procedures that address the early disclosure of essential patents known by 

standards participants; however, standards bodies should not require patent holders to 

conduct searches of their patent portfolios. 

Innovation is the lifeblood of the ICT industry. Innovation produces intellectual property and the 

protection of IP can provide a valuable incentive for continued innovation. In some cases 

inclusion of IP in standards may be necessary to provide the best solution given market 

requirements. Global standards development processes should seek to strike a balance among 

various stakeholders, while taking into account marketplace needs and incentives to innovate. 
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3. Standards and Technical Regulations 

ITI greatly values the public and private sector partnership that has resulted in strong U.S. 

competitiveness in the standardization environment. ITI believes that the government should 

further partner with the industry to ensure continued market access by: 

• Supporting and promoting global cooperation and harmonization of standards in such 

areas as public health, safety and the environment. 

• Increasing participation in the development of technical standards domestically and 

internationally as an ICT consumer through its technical experts; and, 

• Promoting the “multiple paths” approach to the development of international standards. 

Voluntary standards are completely market- and consumer-driven. What makes a standard 

voluntary is that it is developed by stakeholders − sometimes including the government and 

regulatory bodies − and its use is completely optional. Under certain circumstances, voluntary 

standards can become required by government regulation. 

The development and use of voluntary standards contribute to creating and expanding ICT 

markets, and help to maximize benefits to societies, consumers, and companies. Industry 

responds to the marketplace and consumers as the ultimate arbiters when it is developing and 

using voluntary standards. 

ITI has observed the problems that can result when a country establishes mandatory technical 

requirements, by law or by regulation, by referencing a standard that is not internationally 

accepted. We appreciate the U.S. government’s efforts to address these problems through 

international and bilateral trade resolution channels, such as the results of the recent US/China 

JCCT discussions. 

Governments may reference standards as the basis for technical regulations. This is appropriate 

under certain, limited circumstances. Standards referenced in regulations applicable to the ICT 

sector have been increasing globally over the past decade. Examples include standards that are 

referenced in national regulations, such as product safety (e.g. IEC 60950) and electromagnetic 

interference (EMI) (e.g. IEC CISPR 22). They also include standards referenced in regional 

regulations (e.g. European Union's EMC directive and IEC 61000-3-2, 61000-3-3). 

With voluntary standards intended for use in regulations, it is critical for industry to focus on the 

content of the standard, its development process and the breadth of its adoption. More 

specifically, industry supports reference to those standards that meet the tests of real usage (e.g., 

responsive to the real-world, performance-based, technically sound). Additionally, standards 

considered for use in regulations should be developed through a process that is both open and 

global. Ultimately, industry seeks to provide market and customer value through a 

technologically neutral, level-playing field when standards are referenced in regulations. 
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Governments create technical regulations by mandating technical requirements. This may 

include procedures for testing, conformity assessment, and ongoing compliance. These 

requirements may embrace internationally recognized procedures or they may be unique to a 

country or region. Technical regulations can limit manufacturing flexibility, inhibit innovation, 

delay time to market, and distort product design. 

They can limit market choice and slow consumer price reductions. They can force companies to 

spend resources complying with procedural requirements that satisfy no real world need and add 

no value to products. They can obscure legitimate regulatory requirements and widen the gap to 

enabling technology. 

ITI’s view is that the objectives for technical regulations should be to ensure safe and legal 

products. Technical regulations should never be more trade-restrictive than necessary and 

governments should consider alternatives whenever possible. If technical regulations are 

necessary, governments should fairly consider the costs and time to-market delays associated 

with implementation and enforcement. ITI supports a simple "design once – test once – single 

conformity assessment” global system rather than closed regulations with redundant procedures, 

market delays, and unwarranted costs. 

When standards are intended to be the basis for technical regulations, ITI advocates that they be 

developed in an open and balanced process to ensure that they are performance-based, 

technologically-neutral, technically sound and widely implemented. 

• Participation is OPEN globally to all interested parties from both the private and public 

sectors. BALANCE is sought among all interested parties. 

• Standards are PERFORMANCE-BASED, specifying essential characteristics not 

detailed designs or the means to achieve essential characteristics. 

• Standards are TECHNOLOGICALLY-NEUTRAL with respect to market access by 

refraining from choosing a “technology winner” or an implementation method. 

• Standards are TECHNICALLY SOUND and useful to consumers, industries, and 

governments on a global basis. 

• The mandated elements of standards are tested to ensure they can be IMPLEMENTED. 

ITI also notes the U.S. Government reliance on voluntary consensus standards is an important 

part of the standardization approach in the U.S. The NTTAA promotes the use of voluntary 

consensus standards for both regulatory and procurement activities. The NTTAA is further 

implemented through OMB Circular A-119, which provides that “all federal agencies must use 

voluntary consensus standards in lieu of government-unique standards in their procurement and 

regulatory activities, except where inconsistent with law or otherwise impractical” has been 

beneficial to both government and industry. “Voluntary consensus standards” are defined in the 

Circular as being developed in an open, consensus process and supported by an intellectual 

property rights policy. 
Subcommittee on Standards 

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The Act and the Circular encourage the participation of federal representatives in standards 

bodies to increase the likelihood that the standards they develop will meet both public and 

private sector needs. Increased government participation in the voluntary consensus standards 

process would be helpful, especially in areas where government has indicated that the 

development of standards could be supportive of public interest. Close interaction and 

cooperation between the public and private sectors is critical to developing and using standards 

that serve national needs and support innovation, competitiveness and economic growth. The 

continued strength of the U.S. standardization system depends upon the ongoing effective 

cooperation of government and industry which has been supported by NTTAA and OMB A-119. 

ITI would welcome the opportunity to provide additional information or to respond to any 

questions that you many have. Thank you for your consideration. 

Sincerely, 

Dean C. Garfield 

President & CEO