Federal Engagement in Standards and 

Conformity Assessment Activities -

Recent Developments 

Visiting Committee on Advanced Technology

Briefing - June 20, 2012

Mary Saunders

Director, Standards Coordination Office
Overview

Recap of OSTP/NSTC and 

Federal Standards Policy Issues 

Updating Guidance to 

Agencies

Developments in Key 

Technology Areas

Looking Forward
White House Memorandum for Heads of Agencies

• Establishes principles for federal 

engagement in standards activities to 

address national priorities

• Reinforces innovation focus and 

private sector role in the 

standardization system

• Outlines strategic objectives for federal 

agencies

• Recognizes the growth of ICT 

technologies and changes in the 

standardization system in the past 

decade

• Emphasizes the global nature and 

broad impact of standardization and 

standards policy
Principles Impact

Provides the 

private sector 

greater 

clarity and 

certainty 

about federal 

government 

engagement

Conveys the U.S. 

government’s 

continuing 

commitment to 

the publicprivate 

partnership that 

is the foundation 

of the U.S. 

standards 

system

Sends an 

important message 

to both domestic 

and international 

audiences 

Establishes a 

framework for 

policy makers 

(Administration 

and Congress) to 

use while defining 

their standards 

needs

Provides clear 

direction to 

agency staff and 

leadership in their 

efforts to catalyze 

technology 

breakthroughs to 

drive U.S. 

innovation and 

competitiveness 
Uptake of White House Principles

• Global Supply Chain Security

• Standards as a key element

• Global Internet Governance

• World Conference on International 

Telecommunications (WCIT) prep

• Information Sharing Across the Government

• National Information Exchange Model (NIEM) and 

alternatives

• Smart Disclosure

• Federal models (the buttons)

• Use of existing data standards

• Financial Data Sharing

• Federated models
Agency Use of Standards – Significant Developments

• Administrative Conference of the U.S.

• Recommendations on international regulatory cooperation and 

incorporation of standards by reference in regulations

• Pipeline Safety and Improvement Act, Section 24

• Provisions on incorporation of standards in pipeline safety 

regulation

• Office of the Federal Register

• Petition for rulemaking on incorporation by reference

• OMB Request for Information on OMB Circular A-119

• Executive Order on Promoting International Regulatory Cooperation

• WTO Decision Confirming Principles of International Standardization
7

OMB Request for Information (RFI)

• Invitation for stakeholders to comment on current issues regarding Federal 

agencies’ standards and conformity assessment activities (by June 1st) and 

attend a related workshop at NIST (May 15)

• Objective: to inform OMB, NIST, Federal regulators and other agencies on 

how to address issues in standards and conformity assessment that have 

emerged or moved to the forefront since OMB Circular A-119 was revised in 

1998 and whether and how to supplement the Circular

• Process: after reviewing the comments and input from the workshop, OMB 

could decide to issue supplemental guidance to agencies on some or all of 

the issues raised in the consultation

• If OMB decides to move forward with supplemental guidance, it will issue a 

subsequent Federal Register notice and request comment 
OMB Request for Information

• The RFI poses questions on several topics, including:

• Agency Implementation of Circular A-119 in Rulemakings

• Protection of Copyright Associated with Standards

• Using and Updating Standards in Regulation

• Standards and Cost-Benefit Analysis

• Use of More than One Standard or Conformity Assessment 

Procedure

• Use of Non-Consensus Standards

• Conformity Assessment Activities 

8
NIST Conformity Assessment Guidance for Agencies 

• reducing overlap and duplication and increasing efficiency

• working with private sector

NTTAA directs NIST to coordinate Federal agencies in:

Federal agencies maintain their authority and responsibility to make 

regulatory, procurement and federal assistance decisions

NTTAA does not indicate a preference for any specific approach in 

conformity assessment

NIST advises Federal agencies on development of appropriate conformity 

assessment systems including the use of international CA standards
NIST Recommends a Risk-Based Approach to 

Conformity Assessment System Design

Consider risks associated with non-compliance 

when determining the necessary rigor of a system

• Over-design can be costly; may delay products to market

• Under-design reduces confidence; may prevent market 

acceptance of the product

Marketplace consequences, regulatory penalties 

and effective recall processes may be considered in 

determining needed level of rigor in conformity 

assessment systems
Next Steps on Conformity Assessment Guidance

• Planned revision by end of 2012 following OMB action on A-119

• Revised guidance will be structured to assist agencies in conformity 

assessment activity development and use

• Will focus on methods to reduce redundancy and complexity and 

where possible reduce burden on industry

• Current issues that may be addressed:

• Conformity assessment in support of interoperability

• Use of private sector conformity assessment programs

• Taking global market requirements into account
Health IT

NIST Roles:

• Collaborate with HHS, Industry and SDOs for emerging HIT standards

• Develop test tools to accelerate adoption

• Advise HHS on software certification system

• Assist HHS in the implementation of certification system 

Recent Developments

• Developed test method for Certification Program (2010; 2012 under 

development)

• Facilitated rapid start of HIT software certification; implementing transition to the 

use of formal lab and certifier accreditation

• Commercial testing began in October 2010

• 6 authorized testing laboratories/certification bodies

• 2100+ certificates issued for modules and complete systems (as of May 

2012)

• Anticipate NVLAP and ANSI formal accreditation programs in operation by 

summer 2012
Smart Grid

NIST Roles:

• Develop and maintain NIST Smart Grid Interoperability Framework

• Administer Smart Grid Interoperability Panel and Advisory Committee

• Engage actively stakeholders, including Federal/State regulators.

Recent Developments

 Green Button Download My Data: Common-sense idea that 

electricity customers should be able to download their own 

energy usage information from their utility’s secure website 

in a consumer- and computer-friendly electronic format.

• Now available to over 10 million customers in California, Texas, and other states

• Next Step: Green Button Connect My Data – automated third party data access with consent

 Smart Grid Interoperability Panel: 

• NIST is supporting transition of SGIP to become a legal entity “SGIP 2.0” in which the private 

sector will assume primary responsibilities for funding. 

• NIST remains committed to continued strong engagement and leadership within SGIP; 

transition will enable NIST to increase its internal smart grid measurement science program.

New Opportunities: Helping regulators and others to make connections between electricity, 

gas, and water infrastructures (for example, NIST discussions with Gas Technology 

Institute sparked creation of new working group in SGIP on intersection of gas/smart grid)

www.greenbuttondata.org
The ITU and Global ICT Standards

• Industry concerns regarding the expanding role of the ITU

• Modifying the definition of “telecommunication” to explicitly include 

ICT

• Proposals to amend the International Telecommunication 

Regulations (ITR’s) to cover wireless technology, and IP-based and 

next-generation networks

• Work to create a conformance and interoperability database and 

conformance mark program

• Affirmative statement from the NSTC SOS and White House about the 

diversity of standards venues and the importance of that diversity

• Need to articulate what principles are at play and what is actionable 

from a USG perspective

• Continuing dialogue with industry representatives
Looking Forward

Coordinate with OMB on A-119 guidance

Propose updated conformity assessment guidance

Continue to build on SOS outcomes

Apply principles to the ITU/ICT space

Address timeliness of agency 

incorporation by reference

Advance public/private 

dialogue on availability of 

standards incorporated in 

regulation
16

References

 Executive Order 13563 (Improving Regulation and Regulatory Review) http://www.whitehouse.gov/sites/default/files/omb/inforeg/eo12866/eo13563_01182011.pdf

 Executive Order 13609 (Promoting International Regulatory Cooperation) http://www.whitehouse.gov/sites/default/files/omb/inforeg/eo_13609/eo13609_05012012.pdf

 White House Memorandum (Principles for Federal Engagement in Standards Activities to Address National Priorities): http://www.whitehouse.gov/sites/default/files/omb/memoranda/2012/m-12- 08.pdf

 OMB Circular A-119 (Federal Participation in the Development and Use of Voluntary Consensus Standards and in Conformity Assessment Activities): http://www.whitehouse.gov/omb/circulars_a119

 OMB Request for Information and Notice of Public Workshop: http://www.federalregister.gov/

 NIST Guidance on Federal Conformity Assessment Activities: 

http://ecfr.gpoaccess.gov/cgi/t/text/text- idx?c=ecfr&sid=d53165fe1e0865c5f506fdb332bee800&rgn=div5&view=text&node=15:1.2.2.9.12

&idno=15

 Office of the Federal Register proposed rule on incorporation by reference: 

https://www.federalregister.gov/articles/2012/02/27/2012-4399/incorporation-by-reference