ML20138H271

Forwards NRC Annual Rept on Implementation of OMB Circular A-119, Federal Participation in Development & Use of Voluntary Stds. Rept Covers Period 951001-960930

ML20138H271
Person / Time
Issue date:	12/23/1996
From:	Jocelyn Craig NRC OFFICE OF NUCLEAR REGULATORY RESEARCH (RES)
To:	Cooke P NATIONAL INSTITUTE OF STANDARDS & TECHNOLOGY (FORMERL
References
NUDOCS 9701030204
Download: ML20138H271 (9)

Text

, - _ - _ _ _ _ _ - _ _ _ - _ - _ _ - _ _ _ _ -

y.

l U

/

December 23, 1996 Mr. Patrick W. Cooke, Executive Secretary Interagency Committee on Standards Policy National Institute of Standards and Technology Building 820, Room 164 Gaithersburg, MD 20899

Dear Mr. Cooke:

Enclosed is the Nuclear Regulatory Commission's Annual Report on the implementation of OMB Circular A-119, " Federal Participation in the Development and Use of Voluntary Standards." The report covers the period October 1, 1995, through September 30, 1996. This report has also been submitted to you via e-mail in WP 6.1 format.

If you have any questions concerning the enclosed report, please contact Mr. Gilbert C. Millman (Program Manager, Codes and Standards) at (301) 415-5843 or at gcm@nrc. gov.

Sincerely,

/s/ John W. Craig John W. Craig, Standards Executive Office of Nuclear Regulatory Research U.S. Nuclear Regulatory Commission

Enclosure:

As stated Distribution:

J. Taylor, EDO E. Jordan, AE0D W. Norris, RES M. Bridgers, ED0v960880 D. Morrison, RES T. Speis, RES

3. Milhoan, DEDR A. Summercur C. Paperiello, NMSS L. Shao, RES H. Thompson, DEDS F. Miraglia, NRR A. Murphy, RES J. Blaha, OED0 CF Y

N PDR S N

O m Le 10. A Lut v ut IHij IOCtBE NT ItOICATF IN THE RON *C" COPY WITHrafi ATI ACMNT/ENCLOSURf ;

"E" COPY WITH ATTA,;69f MT/ ENCLOSURE:

"N" NO COPY OFC :RES 6

RES:DET,

[

RES:DET g

RES:DIR M NAME:GMillman 'f JCraigkk LShao[ h [ v DMorriso[

DATE:12/19/96 12/l \\/96 12/g /96 12/J) /96 0FFICIAL RECORD COPY 0'3000G (RES File Code) RES-6 4 ~//

(If more than one File Code) RES-Q l

gg GE ggs CW e 1

9701030204 961223 PDR RES 9701030204 PDR 6

'A

,f l4

)"

t UNITED STATES j

j NUCLEAR REGULATORY COMMISSION WASHINGTON. D.C. 2056Hm01 o

%,..... f December 23, 1996 Mr. Patrick W. Cooke, Executive Secretary Interagency Committee on Standards Policy National Institute of Standards and Technology Building 820, Room 164 Gaithersburg, MD 20899

Dear Mr. Cooke:

Enclosed.is the Nuclear Regulatory Commission's Annual Report on the 5plementation of OMB Circular A-119, " Federal Participation in the Development and Use of Voluntary Standards." The report covers the period October 1, 1995, through September 30, 1996. This report has also been submitted to you via e-mail in WP 6.1 format.

If you have any questions concerning the enclosed report, please contact Mr. Gilbert C. Millman (Program Manager, Codes and Standards) at (301) 415-5843 or at gcm@nrc. gov.

Sincerely,

/ ohn W. Craig, Standards Executive Office of Nuclear Regulatory Research U.S. Nuclear Regulatory Commission

Enclosure:

As stated t

i U.S. NUCLEAR REGULATORY COMMISSION Annual Report on Implementation of OMB Circular A-119 October 1, 1995 - September 30, 1996 The U.S. Nuclear Regulatory Commission (NRC) uses voluntary standards as an integral part of its regulatory process. -The NRC incorporates the provisions of certain voluntary standards into its regulations through the method of

" incorporation by reference," and recognizes other voluntary standards through, for example, its regulatory guide series as providing acceptable methods for satisfying general provisions of the regulations.

NRC recognizes the value of the broad expertise and perspectives that are drawn on in the development of a voluntary standard, and in general, would prefer to adopt an existing voluntary standard or promote the development of a new standard rather than to unilaterally establish its own criteria.

To this end, the NRC staff participates actively on over 350 voluntary standards writing committees.

Following is the NRC response to the reporting provisions of OMB Circular A-119.

1)

The nature and extent of agency participation in the development and utilization of voluntary standards:

l a)

The number of agency employees participating in at least one standards development group:

163 b)

The number of voluntary standards the agency has adopted since October 1. 1995, which resulted from agency participation in a l

standards development aroup:

In final regulatory document:

8 In regulatory document submitted for public comment:

10 Of the six standards endorsed in final regulatory documents, two were incorporated by reference into an NRC regulation, four were endorsed in regulatory guides, and one was referenced in an NRC Generic Letter. The 10 standards referenced in draft regulatory documents were all referenced in draft regulatory guides.

The following two standards were incorporated by reference into 10 CFR 5 50.55a of the NRC regulations.

Subsection IWE (Inservice Inspection of Metal Containments and Liners of Concrete Containments) (1992 Edition with 1992 Addenda) of Section XI, " Rules for Inservice Inspection of Nuclear Power Plant Components" of the ASME Boiler and Pressure Vessel (BPV) Code i

.m t

l l

2 j

e Subsection IWL (Inservice Inspection of Concrete Containments) (1992 Edition with 1992 Adder.da) of Section XI of the ASME BPV Code i

l The following five standards were endorsed in final regulatory guides, as noted:

1 e

IEEE Standard 338-1987, " Periodic Surveillance Testing;"

endorsed in Regulatory Guide 1.118 l-e IEEE Standard 7-4.3.2, " Standard Criteria for Digital i

Computers in Safety Systems of Nuclear Power Generating Stations;" endorsed in Regulatory Guide 1.152 l

e IEEE Standard 603-1991, " Criteria for Safety Systems for l

Nuclear Power Generating Stations;" endorsed in Regulatory l

Guide 1.153 e

ANS 3.5-1993, " Nuclear Power Plant Simulators for Use in j

Operator Training and Examination;" endorsed in Regulatory l

Guide 1.149 e

ASTM Standard E 399-83, " Standard Test Method for Plain-Strain Fracture Toughness of Metallic Materials;" endorsed in Regulatory Guide 1.162 The following standard was endorsed through an NRC Generic Letter:

l l

e ASME Code Case OMN-1, " Alternative Rules for Preservice and Inservice Testing of certain Electric Motor Operated valve Assemblies in LWR Power Plants;" endorsed in NRC Generic letter 96-05 l

The following ten standards have been endorsed in draft Regulatory Guides for which the public comment period closed after the period of this annual report.

e IEEE Standard 1012-1986, " Software Verification and Validation Plans" e

IEEE Standard 1028-1988, " Software Reviews and Audits" o

IEEE Standard 828-1990, " Software Configuration Management" e

IEEE Standard 1042-1987, " Guide to Software Configuration Management" 1

(

3 e

IEEE Standard 829-1983, " Software Test Documentation" e

IEEE Standard 1008-1987, " Software Unit Testing" e

IEEE Standard 830-1993, " Recommended Practice for Software Requirements Specifications" e

IEEE Standard 1074-1991, " Developing Software Life Cycle Processes" IEEE Standard 450-1987, " Recommended practice for Maintenance, Testing, and replacement of large Lead Storage Batteries for Generating Stations and Substations" e

ANS 3.1-1993, " Selection, Qualification, and Training of Personnel for Nuclear Power Plants" c)

The number of standards the agency has replaced with appropriate voluntary standards as a result of reviewing existing standards per the five year review cycle specified in paragraph 8b.(3) of the Circular.

None.

NRC's use of voluntary standards in its regulatory process is a longstanding and ongoing part of its regulatory activities.

While additional standards are added to the process, it has been more common to update references to incorporate the latest version of the many referenced standards.

The following ongoing activities at NRC will result in a significant number of additional new and revised standards being incorporated into the regulatory process during subsequent reporting cycles for OMB Circular A-119.

i)

Periodic Update of ASME Boiler and Pressure Vessel Code References in NRC Regulations: The NRC incorporates by reference into its regulation (i.e.,10 CFR 50.55a, codes and standards) the nuclear portion of the ASME Boiler and Pressure Vessel (B&PV) Code and, therein, auxiliary referenced standards.

Rather than promulgate NRC developed requirements that cover construction, inservice inspection, and inservice testing of certain components used in nuclear power plants, NRC incorporates by reference applicable ASME consensus standards into its regulation.

Addenda to the ASME B&PV Code are issued on an annual basis and new editions are issued every three years. The NRC staff participates actively on many of the committee that develop the ASME B&PV Code.

Routinely, the staff reviews the later edition and addenda for acceptability and, as appropriate, updates the i

regulations to incorporate the latest revisions with any necessary limitations and modifications.

The NRC staff is presently preparing a proposed rule that would incorporate the 1989 through

t k

4 1995 Addenda of the ASME B&PV Code,Section III " Rules for Construction of Nuclear Power Plant Components," and Section XI,

" Rules for Inservice Inspection of Nuclear Power Plant Components." The proposed rule would also incorporate the 1990 through 1995 Addenda of the ASME Code for Operation and Maintenance of Nuclear Power Plants."

ii)

NRC Adoptfon of Code Cases: As noted above, the ASME B&PV Code is, in part, incorporated by reference into the NRC regulations to serve as the regulatory requirement for certain aspects of the i

construction, inspection, and testing of components used in j

nuclear power plants.

Four times a year, the ASME issues Code Cases, which provide ASME approved alternatives to the ASME B&PV Code.

The NRC staff reviews these code cases and makes a determination at to whether, with respect to other applicable regulatory criteria, they represent acceptable alternatives to the existing ASME B&PV Code incorporated by reference into the ragulations.

The acceptability of tSese code cases is specified in three regulatory guides (i.e., Regulatory Guide (RG) 1.84 (Design), RG 1.85 (Materials), and RG 1.147 (Inservice Inspection and testing).

Revisions to these regulatory guides have been prepared for public comment.

Their final issuance during the next annual report cycle will result in more than 35 new or revised code cases being incorporated into the NRC regulatory process.

iii) Update of References to Codes and Standards in NRC Regulatory Documents: Voluntary codes and standards are incorporated into many NRC regulatory documents.

This includes NRC Regulations, j

Bulletins, Information Notices, Generic Letters, Regulatory Guides, and the Standard Review plan. A program has been implemented to systemctically identify all references to voluntary codes and standards in NRC regulatory documents to permit an evaluation of the need to update the existing references. The results of this review have been published in NUREG/CR-5973, Rev.2, " Codes and Standards and Other Guidance Cited in Regulatory Documents."

2)

Identification of any voluntarv standards that have been adopted for the i

purpose of promoting environmentally sound and energy efficient i

materials, systems, services or practices:

None.

3)

In addition, each agency should address its current or planned implementation of the provisions of the revised Circular.

In particular, this should include name, title, address, and telephone no.

of the agency Standards Executive and steps taken (or to be taken) as to how the executive's agency-wide resDonsibilities are to be carried out:

)

i

l I

e 1

l 5

a)

The Standards Executive for the NRC is:

]

John W. Craig, Deputy Director U.S. Nuclear Regulatory Commission 1

Office of Nuclear Regulatory Research i

Division of Engineering Technology i

Mail Stop T-10020 Washington, D.C. 20555 Telephone:

(301) 415-6982 e-mail:

jwcl@nrc. gov l

b)

Establishing agency views on standards issues and decisions:

In general, NRC positions on new standards and revisions of existing standards are developed in a two part process.

The f>st part involves NRC staff participation in standards organizatioc.

This part applies to a significant portion of the standards i

activities in which the NRC is engaged.

It involves development l

of ballot positions by NRC staff committee members through a l

process that includes discussing the issue with other cognizant i

NRC headquarters and regional staff.

This coordination of views continues as the revision is elevated through the committee review l

process, to be balloted by the standards development organization i

consensus committee and applicable board. The positions establir.hed in this manner by the staff participants on the t

various committees do not represent formal agency positions, They represent the positions of the staff members on each committee, and reflect the views and comments of other knowledgeable NRC staff members.

The second part of the process establishes a formal NRC position.

i This occurs when a standard is incorporated by reference into a regulation, regulatory guide, or other generic. regulatory document. The implementing regulatory document and appropriate supporting regulatory analysis, which addresses cost-benefit aspects of using the standard as a. requirement or as an alternative to an existing requirement, are prepared for formal NRC review and approval.

Following public comment period and resolution of comments, the item is resubmitted for NRC review and approval for final issuance and use of the standard in the regulatory process.

\\

c)

Coordinating Participation Within the Agency and With Others.

t i

The two-part process noted above for establishing staff positions on standards has a mechanism for coordinating participation within the agency, and obtaining public comments.

For example, staff positions for ASME committee ballot actions are coordinated with i

cognizant NRC staff through meetings which are held prior to codes and standards meetings.

The purpose of the coordination meeting f

i l'

6 i

l is for the staff to exchange views and background information on l

proposed revisions for the purpose of providing the staff i

committee member with a basis for establishing a ballot position.

l A record is provided in trip reports and letter ballots of individual staff ballot actions as items move through the standards development process to successively higher standards writing committees.

Information gained at each level is factored into the staff committee member for subsequent ballot action.

The formal NRC position on the standard is established when the published standard is incorporated into an NRC regulation, regulatory guide, or other generic regulatory document. The public comment process provides interested members of the public j

and the nuclear industry with an opportunity to express their views.

Assurance that a specific standard is incorporated into the regulatory process consi tent with related standards and other s

criteria used by the NRC is one of the responsibilities of the NRC l

Committee for Review of Generic Requirements (CRGR).

The CRGR, which is comprised of NRC senior managers, is responsible for ensuring that adequate basis exists for imposing a specific l

standard as a requirement, and for ensuring that star ;rds that

(

are proposed as acceptable alternatives to existing requirements do not permit an unacceptable relaxation. Additionally, the NRC process includes review, as appropriate, by advisory committees l

(i.e., Advisory Committee for Reactor Safety (ACRS) and Advisory l

Committee for Nuclear Waste)..

I In order to coordinate the assignment of NRC staff on voluntary standards committees, all appointments to and resignations from voluntary standards committees are approved and issued by the Director of the Office of Nuclear Regulatory Research.

This follows concurrence by the NRC Standards Executive and other senior level managers, i

i d)

Meeting reporting reouirements:

The NRC Standards Executive has assigned specific staff to coordinate the gathering and compiling of NRC -wide information necessary to satisfy OMB Circular A-119 reporting requirements.

In addition, The Office of Nuclear Regulatory Research, which is responsible for coordinating standards activities within the j

agency, has established and staffed a new position of Program Manager, Codes and Standards. This individual has full-time responsibility for coordinating agency wide development and r

i implementation of codes and standards, and is designated to support the specific activities of the Standards Executive in the i

agency's implementation of OMB Circular A-119.

i I

l

7 e)

Establishing a procedure to ensure a 5-year standards review cycle. when applicable i

NRC staff are continually alert to the need to identify voluntary standards whose references need to be updated in regulatory documents, and to incorporate new standards in lieu of staff developed criteria where acceptable or no standards previously existed. This is an ongoing process, which is consistent with the extensive participation of NRC staff on voluntary standards committees.

For this reason, the NRC has not implemented a specific 5-year review program'.

A summary of the results of the ongoing process as it affects the NRC use of voluntary standards j

will be reported on an annual basis.

1

~

.;6 I.

i EDO Principal Correspondence Control 1

FROM DUE: 12/13/96 EDO CONTROL: G960880-DOC DT: 10/26/93 i

FINAL REPLY:

OMB 7

[ TO:

NRC.

i sFOR SIGNATURE OF :

• • GRN CRC NO:

e rm DESC:

ROUTING:

ANNUAL REPORT TO DEPT. OF COMMERCE ON STATUS OF Taylor AGENCY INTERACTIONS WITH VOLUNTARY STANDARDS Milhoan BODIES Thompson Blaha j

i DATE: 11/21/96 I

ASSIGNED TO:

CONTACT:

RES Morrison NRR Miraglia NMSS Paperiello SPECIAL INSTRUCTIONS OR REMARKS:

RES, NRR, & NMSS provide input for report by 12/13/96 to Gilbert Millman, RES, in accordance with instructions in the attached 11/21/96 memo from John Craig.

RES prepare annual report to Commerce by 12/27/96.

n

i 98 Kf ou o

t UNITED STATES s

g NUCLEAR REGULATORY COMMISSION 2

WASHINGTON, D.C. 20555 0001

\\

November 2, W96 MEMORANDUM TO:

David L. Morrison, Director 1

Office of Nuclear Regulatory Research

^

Frank J. Mirr.,lia, Acting Director Office of Nuclear Reactor Regulation Carl A. Paperiello, Director S0ffice of Nuclear Material Safety and f

S ard onW.Craig,DepufyDirector

~

FROM:

/(

Division of Engineeting Technology Office of Nuclear Regulatory Research

SUBJECT:

0FFICE INPUT FOR OMB CIRCULAR A-119 ANNUAL REPORT OMB Circular A-119, " Federal Participation in the Development and Use of Voluntary Standards," (Enclosure 1) requires that each Federal agency submit an annual report on the status of agency interaction with voluntary standards j

bodies. The Circular provides for designation of an agency Standards Executive who is responsible for agency-wide implementation of the Circular's provisions. As the designated NRC Standards Executive, I am requesting input from you for the noted annual report. Although the Circular addresses many issues associated with staff participation on codes and standards activities, which will be addressed in the future, the response to this memorandum focuses on the information needed to prepare the annual report, which must be submitted to the Department of Commerce, National Institute of Standards and Technology by December 31, 1996. identifies the specific information required for the annual report.

Information relevant to Item No. I has already been obtained through a survey in March 1996 of each program, staff, and regional office; therefore, you need not address that item. Your office is requested to provide the information identified in Enclosure 2 Item Nos. 2 through 5 for the period October 1, 1995, through September 30, 1996.

Item Nos. 2 and 3 should include the applicable standard and method of adoption, and Item Nos. 4 and 5 should include the method of adoption for each standard identified.

Please provide the requested information to Gilbert C. Millman (Program Manager, Codes and Standards) by December 13, 1996.

If your staff have questions or require further information, please have them contact Mr. Millman at 415-5843.

l

{

i

' ~

j Federal Register */ Vcl. 58, Na. 205 / Tussd2y, Octzber 26, 1993 / Notices

'57643 i

cosmetic surgery are et the full reimbursement rete, entided Impatient and Outpetient Rates. The patient will be sosponalble for b the cost of the implant (s) and prescribed rotos.

l Note: The implante and procedures used for the augmentation=====plamy are in compliance with Federal Drug Administration e

gua.. e.

}

• Ends regions! lipectomy will carry a esperate charge. Itagloos laclude bend and neck, a6ta=== flanks. and hine e These - ---

-ere incluelve la stie minar sua lesions. However, DIAMPUS esperates them ~as motel. bars. All, charges are for the entire treenneet regardlese of the amnber of visite requhod.

i For the period bestaalog ruah-1, sees, the rates prescribed herein'euperseded those established by the Director of the Ofim of '=.

t and Budget en October 27,19e2 (57 O'R 4864rl.

I

. Deted:Ocamber se,1ess.

j-laen E. Femena.

messor, offias e/sw====randsudset.

r l

IFR Doc. 93-26322 Filed 10-25-es; s:45 aml j

- oses -

l Revlalon of OMB ClscularNo. A-119 the guidance letter froen the Depastment PolicyGuidelines 1

Noticeof"=" totiert of Justice that was attadied to the 1982 version of the Oscular also be attached One===aat was receind from the Acescyt OEm of Management and i

Budget.

to se revind Orcular.OMB requahd EnvimamentalProtection Agency fmm b Depermient of Judice a om m-ading that in b opening l

Acn004:N OfEco of Management and guidance letter, or a letter reeBraing paragraph a clause be added stating that i

Budget (OMB)is issuing a revised b 1982 letter.Jusdce has provided when properly conducted standards j

version of OMP Orcular No. A-119 OMB with a letter ofreafErmation.Nt could " promote the conopts of t

Federal Participation in the letter and the 1982 guidance letter Pollution pmwntion and b use of j

Development and Use of Voluntary follow b text of the Orcular, tecycled content materials." Rat has Standards."De Orcular has been been added to the Orcular.

revised to foster greater agency use of DeEnitions Numerous comments wm recolved

{-

voluntary standards, particularly in Many commenters requested the regarding section 7.a.on Reliana on

{

light of remotly stated national deletion of b term " conformity Voluntary Standards. Many commenters objectives, and to increase the

=========t procedures" as j

effectiveness of b Q cular.

definition of a" standard." part of b were concerned about the terminology j

used in paragraph 7.a.(2) governing i

suanaAny:OMB Grcular No. A-119 Consequently,many of these voluntary standards"that are j

Provides policies on Federal use of msnmenters felt that all reference'to insernationally recognised or accepted."

Pnvete standards,and agency confonnity assessment pre aedures 1,s bt language has besc u^.anged to pation in voluntary standards deleted from the documer1.Some of reflect b comments received from the es and standards <leveloping g,,-aaak suped ed b luue Othee dee Unimd StewsTrede i

of conformity assessmer i be covered in Representative (UST.4).

gu. Participatio such groupc a separate OMB circula. while others Sevwal an== ants were received on carw n pu j

1iteam and is compatible with believed that the lesue was simply not subesc11ons 7.a.(4) and 7.b.(4) giving a government lasus. At thletime.OMB preimace to voluntary standards

• 8 Pd ridm an budget believes A-119 is not the proper vehicle reDecting the metric systeen.Many DATES:De revised Orcularis effectin to address the complexlasue of.

==-ts received --- H =that conformity maman-mneand therefom all metric units always be listed Brst'with immediately upon !---

refamocu to confond asmssment Engush unitsin b oisore d j

FoM FuRTHER 9er0M4ATION CONTACT:

procedures havebeen metric units be only units listed.

Qvis Jordan, Policy Analyd, Office of Senrol commenters recommended Other==-ters were concerned that

. Federal T.ec.

,ent Policy,72517th that th i definitions.arrently in use in OMB advocating a "hard" conversion to Street.NW., Washington.DC 20503.

Orcular A-119 may be ambiguous,and metdc could lead to economic Telephone (202) 395-4803. To obtain a therefore should be altered to reDect the hardshipsin someind sectors or i-copy of the Orcular, please contact the definitions beingusedin the GATT how an adverse a5sd on Executive OfEco of the President's Standards Code. Alth OMB considerations.OMB believes tthe Publications Office at (202) 395-7332.

undastands b reti for this

. Oralar, as it is currently written, suertasENTAnY DWORA4ATION.

m-ad=*Iaa it is om belief that the adequately reGects the intention of.

current definitions in the Oscular are.

Executive Order 12770, to ote b

{

Commats Remind

^

not beingmisinterpteted and have use of the snetric system Comments were received imm 43 served their well.nerefore,we measurementsin allespeds of I

private sedor organlastions, from 12 believe that these definitions government business,where Federal Government entitles, and from et this time confuse matters and

==aa=Imti feasible. As is stated at the 34 private ladividuals in response to the would, therefore, be inappropriate, beginning paragraph 7, standards 4

for an== ant published in the Other===ane=s activities, not properlyconduded, j

F ral Registeron Mard 20,1992.b deEnitions should be to the can have en adverse aflect on health and following is an an'alysis of the Orcular for the terms "envir====atany safety, trade and commerce,and can mm==nts received and the changes sound"and " energy etScient".OMB suppass free and fair competition. lt is j

made to the Orcular.

,, believes that these terms are adequately not intended that the promotion of An initial:=<===aadI='laa was made described in Executive Onler12780, standards usingthe metric system i

by theIn th==Ittee on and therefore should not be redeBaed in supersede the concerns expressed j

' Standards Po

.ney requested that en OMB Q:cular.

earlier in the Orcular regarding possible f

EDO -- G960880

,,, +

- - ~ -, -,

n e w

- - - - - -,. - ~, -,,

~

t

)

57644 Federal Register / Vol. 58,' No. 205 / 'Ibesday, October 26, 1993 / Notices 4

j economic hardships or health und safety evallable to b public. OMB agrees with should not prove to be overly considerations.

both of these comments, and has added burdensome, given the important nature Sixteen cornmenters, including 6 a new paragraph e.a.(4) which states of this policy.OMB believes that ' '

Federal agencies and b Interagency

"(N Secretary will) establish following the development of agency Committee on Standards Policy, pmcadures by which aganel== will directories,the process bywhich th addressed issues stated to agency develop the harmonized dirodorles individual agency reports wiu be employee partidpation in standards desaibed in paragraph s.b.(2)d., and pmduced should not be excessively t

developing bodies. A key lasue with all establish procedures to make these time em== lag.

the mm-tors focused on ethics,and directories available to the public."

Several m===arans addressed the 4

under what circumstances an Under sealon s.b.canarning the subject of what specific data should be j

employee ma partidpate.To that responsibilities of the hands of agencies, included in the report.Most of these matter.OMB asked for an opinion there was a in sub -

ph 2.

=====ts suggested that the pmposed the OfBee of Government Ethics (OGE). that the agency designate dets request was too broad, and Dat opinion specismlly states that a senior level ofBdal "with agency-wide

'bly, not -Ible by the agencies.

"from en ethics point ofview,the responsibility"to implement the b past OMB has not been spedfic i

~Orcular does not reise maior concerns." Orcular. At the ofthe on this subjed;however OMB believes i

H: wever, OMB reminds federal la on Standards that in order to allow the agency to i

cmployees parrtelaada-in standards

Policy, hasbeen modiGed develop trend data,and more developing emivities tlist they, as the to state that Standardss w ive adequatsly assess a compliance l

Grcular states, should refrain ime must be a senior level olBela!"who will with b Orcular, a c data must be i

dedslanmaking involvement in the be responsible for

-wide requested. Derefore, the data request bodies., day-to day mana8ement of such irnplementation of

." The laternal hu been changed to more adequately original Sq7 was to reflect current a partidpation in ensure that the issue o vo untary standards devel bodies and the ResPonsIhnat standards was given proper stemastaa extent to which a partidpation has Another revision to the Orcular was throughout each agency; however OMB led to the adoption of voluntary ths paragraph added as section a.a.(4) agrees tht the proposed language may standards. In addition OMB will j

macerning resoonsibilities of the have been too restrictive for some request identification of all voluntary I

Secretary of Commerce.%is proposed

agendes, 1

section read:"The Secretary will Also under section 8.b., language was standards adofted by each agency for the

,3y,P,y,,o P, rom,,otinj,,,,,7 ursue,with obr nations and

{aternational organizations, the mutualproposed in subparagraph b. that would

,33,,,,

" ensure" that two or more agencies recognition of standards, including partidpatingin a given voluntary efficient materials, products, systems, conformance==*===aat pmcodures."

standards body, coordinate their views

,,,yg

,,, P,gg,,,

OMB received many comments from on matters of groot importana. Several N ed h a 1993.

j industry organizations and standards commenters noted that this could be in Atlas V.Bunman.

developers m=anding that this violation of some procedural rules of Adminissroror, ofpar ofrederal procurement i

section be deleted.nelt concern was certain standards developirgbodies.

Policy.

j pdmarily that the issue of conformanca and could inaease the thM aad of l Circular No. A-119. Revised!

j

- essessment was too complex for b block voting. As m== ended by the To the Heads of Executive scope of this Orcular. In addition, the Interagency Committee on Standards Departments and Estabushments.

US1R stated its oppost.tlon to the Policy, b following clause his been i

inclusion of this ph on the basis added to the end of that section:

Subjed: Federal Partidpation in b j

that delegation o uthority to the

"* *

• and,where not feasible,a Deve ont and Use of Voluntary Stan i

Secretary of t%nmerce would be mutual recognition of differences.

inappropriate because the Trede OMB intends,by making this change to

1. Purpose.nis Orcular utabushes i

Agreements Ad states that the document, that, on matters of Policy to be followed by executive

)

representation of the United States paramount importance, agency.

agencies in working with voluntary.

before laternational standards representatives should meet and discuss standards bodies. It also establishes j

developing bodies shall be arried out their respective positions. If the Policy to be followed by executive i

by the organ 1:stion member-<he different missions of the agendes branch agencies in adopting and using private individual who bolds involved make a compromise not voluntary standards.

+

mornborship in the intomational possible, ha the partidpants should

2. Rand== tons.nis Orcular i

3 standards organization. Derefore, the advocate their respective agency's supersedos OMB Grcular No. A-119, proposed semian s.a(4) has been deleted position to b etandards developing dated October 28,1982, whld is j

bom the Orcular.

group. OMB simply wants to ensure that rescinded.

Several-==nts were received b agency participants make a good

3. Soc 1 ground. Government functions j

recommending danges to b provision faith effort to cmordinate their views on often involve products or services that concerning the development of agency-these important issues.

must meet rollable standards. Many wide diredories of partici tion in such standards, appropriate or standards developing es.'A low R* Porting Esquirements adaptable for the Government's

}

government agencies, including the Twenty <===anters r=m== ended purposes, are available from private -

Interegency Committee on Standards changes to the reporting requirements.

voluntary standards bodies. Government -

4 I

Policy, m==adad that a <===aa ne lateragency Committeeon partidpation in the standards-related format be used in development of these Standards Policy recommended th*at activities of those voluntary bodies i

directories. Other comments were instead of the proposed annual provides incentives and opportunities to j

received from b private sedor reposting requirement, a biennial establish standards that serve national requesting that a provision be added to requirement would be sufBdent. OMB,- needs,and the adoption of voluntary

• ensure that these direderies are made betleves that the annual requirement '

standards, whenever practicable and i

1

~

e e

Tederal Register / Vol. 58 No. 205 / Tuesday, October 26 1992 / Notices 57645 appropriate, olisalama== the costs to the establish, or coordinate voluntary and conflids oflatemet. It should also conmment of develop its own standards.

be noted, however, that the provisions standards.

of untary L Ssandords.dewfopingsmups are of this Orcular are intended for intemal standards also the policy of -

cornmittees, boards,orany other nt purpos.se only and are not reliance upon the private endor to 'and standards bodies.==*=Mahant by such inten3ed to (1) create delayin the principal subdivisions of voluntary supply Government needs for administrative process, (2) provide new savices, as enandan=rt in Orcular bodies for the purpose of developing, de for judicial review, or(3) create No. A-76," Performance of Commercial revising.or rev standards,and hts enforceable agencies Adivides.-

which arebound by i +-in: of or fBcers. n o policy

4. A plicability.nisOrcularapplies those bodies.

. guidelines am pmWded to' ano id 3

amans the use of the govem implementation of the policy to all tive agency vities,pation in

' voluntary sacadards domesdc latest of a voluntary standardla enunciated in paragraph 6..

and international, but not to activitas whole,in part, or by reference for

a. Atelianceon VolunforyStandards.

arried out Pursuant to treetles and procurement nurposes and the inclusion (1) Voluntary standards that will serve latemadm of thelatest e&idon of a voluntary agendes' purposes and are consistent standard in whole,in p(art, orby with applicalile laws and tions

'8'""**

reference la regulation s).

should be adopted and by Federal 5

nidons. As und in th!s g

h.Secretarymeans the of agencies in the interests ofsiester s der economy and ofBelency, unless they are Commerce or that Seastery'f the a.Executlw agency (hminafter

6. Policy,it is the policy o oral specifically prohibited by law imm referred to as " agency,') means any Govemment in'lts procurement and doing so.

ewutive department,inde commission, board, bunau, pendentregulatory adivities to:

(2) International standards should be

office,

s. Rely on veluntary standards,both considered in procurement and agency Gowmment.ownedor domesuc and international, whenever regulatory applicadons in the interests controlled corporation or other feasible and consistent with the law and of promodng trade and implementing establishment of the Federal regulation pursuant to law; the provisions of the Agreement on Government, including regulatory

b. Partiapate in voluntary standards Technical Barriers to Trede and the commission or boani. It does not t-dies when such participation is in the Agreement on Govemment Pmcurement include the legislative or judicial public interest and is compatible with (commonly referred to as the " Standards brarmhes of the Fedwal Govemment.

agencies' missions, authorities.

Code" and the " Procurement Code",

b.Standardmeans a prescribed set of priorities, and budget resources: and rapectively.)

rules, conditions, or requirements

c. Coordinate agency pation in (3) Voluntary standards should be concemed with the definition of terms:

voluntary standards es so that (1) given preference over non-mandatory classification of com is; the most effective use is made of agenc Government standards unless use of delineation or p uses, specification resources and representatives; and (2) y such voluntary standards would l

of dimensions, materials, performance, the views expressed by such adveisely affect performana or cost, design, or operadons; measurement of representatives ano in the public interest reduce competition, or have othw quality and quandty in describing and, as a minimum, do not conflid with significant disadvantages.

materials, products, systems, services, the interests and established views of (4)la adopting and using voluntary or procdcas: or descriptions of fit and the agencies.

standards, forence should be given to measurement of size.

7. Policy Guidelines. In implementing those ha on performance criteria

c. VoluntaryStandards are the policy established by this Circular, when such criteria may reasonably be established generstly by private sector agencies should recognise the positive used in lieu ofdesign, material,or bodies,both domestic and intwnational, contribution of standards development construction criteria. P sference should and am available for use by any person and related activities. When properly also be given,in light of stated national or organization, private or conduded, standards development can goals and objectives, to the adoption governmental.'Ibe term includes what inaense productivity and efficiency in and use of voluntary standards that (1) are commonly seferred to as " industry Govwninent and industry, expand reflect the metric system of standards"as well as " consensus opportunities for international trede, measurement, and (ii) foster materials, standards",but does not include conserve resources, improve health and products, systems, services, or practices professional standSrds of personal safety, and promote the concepts of that are environmentally sound and undua, institutional codes of ethics, pollution prevention and the use of enerity ofRelent.

private standards ofladividual firms, or recycled content materials. it also must (5fVoluntary standards adopted by stendards mandated by law, such as be recognized,however,that these Federal agencies should be referenced, those contained in the United States activities, ifimproperly conduded, can along with their dates ofissuance and Pharmacopeia and the National suppress free and fair com

tion, sources of availability,in appropriate Formu'.ary, as referenced in 21 U.S.C.

Impede innovation and 8 ale =I publiations, regulatory orders, and 351.

progress, exclude safer and less related in-house documents.Such

d. Gowrnment Standottisinclude expensive products,or otherwise adoption should take into account the individual agency standards and adversely alied trade, commerce, requirements of apyright and other sped 6 cations as well as Fedwal ana health,or safety. Full account in

. - similar restrictions.

3dllitary asandards and specification,

carrying out this policy shall be taken of (6) Agencies should not be inhibited,

e. Voluntarystonderds bodies are the impact on the economy, op liable if within their statutory authorities, private sedor domestic or intomational Federailaws, policies, and na from developing and using Govanment organizations-such as nonprofit objectives, induding, for example, laws standards in the event that voluntary i

organlaations, industry==l societies,

• ariations, and regulations relating to antitrust, standards bodies cannot ordo not.

professional and technica national security,smallbusiness, develop a needed, acceptable standard s lastitutes, or groups, and recognized test product safety, environment, in a timely fashion.Nor should the' i

laboratorim-< hat plan, develop, metrication, technologial development, policy contained in this Circular be I

~

57646 Federal Register / Vol. 58, No. 205 / Tuesday, October 26, 1993 / Notims I

construed to commit any agency to the be limited to that which is clearly in

8. Responsibilities.

i.

use of avoluntary standard which,after furtherana of an agency's mission and

a. %e Secretary will:

d ue consideration, is, In its opinion, responsibility, Normally, the total (1) Coordinate and foster executive inadequate,does not meet statutory amount of Federal support should be no branch implementation of the policy in 4

criteria, or la otherwise inappmpriate.

greater than that of all private sedor :

paragraph 6 of this Orcular,and may

b. Partice

'on in Voluntary, partidpants in that activity except when Provide administrative guidance to Standartis It is in the direct and predominant assist agencies in implementing (1) Partidpats'on by knowledgeable interest of the Government to develop a ' paragraph 8.b.(2)(d) of this Orcular; agency employees in the standards standard or revision thereto and its (2) Establish an interagency l

activities of voluntary standards bodies development appears unlikely in the consultative medianism to advise the and =saaAarda developing ps,both absence of such sup he form of Secretary and agency heads in,

d:mestic and internatio, should be agency support,sub. to Iand implementing the policy contained i

actively enmuraged and promoted by budgetary authority,l support; e.g.,

herein. hat ma4=ntsm shall provide mayi ude:

agency offidals when consistent with (a) Dired finanda for partidpation by all affected agencies thi provisions of phsb.

grants, sustaining memberships, and.

and ensure that their views are (2) Agency emp who, at contracts:

considered:

Covernment expense, partidpate in (b) Administrative support;e.g.,trevel (3) Report to the Office of st:ndards activities of voluntary costs, hosting of meetings, and Management and Budget concerning standards bodies and standards-secretarial functions:

Implementation of this Orcular; and

]

dweloping groups should do so in their (c) Technical support; e.g..

(4) Establish procedures by which governmental capacities as specifically cooperative testing for standards egencies will develop the directories authorized a8ency representatives.

evaluation and partidpation of a8ency described in paragraph 8b(2)(d), and 4

(3) Agency apation in voluntary personnelin the scilvities of standards-establish procedures to make these st:ndarda

-es and standards-developing groups; and directories available to the public.

d sveloping groups does not, of itself, (d) Jcint planning with voluntary b.The heads of agencies concerned connote agency speement with, or standards bodies to facilitate a with standards will:

4 endorsement of, decisions reached by coordinated effort in identifying and (t) Implement the policy in paragraph 4

such bodies and gmups or of standards developing needed standards.

6 of this Orcular in accordan:m with the (8) Participation by aget cy approved and published by voluntary representatives in the poh;eymaking policy Suidelines in paragraph 7 within 4

standards bodies.

120 days ofissuance:

(4) Participation by agency process of voluntary standards bodies, (2) V'ithin 120 days of issuance, shall representatives should be aimed at in accordance with the promdures of designate a senior level official as the contributing to the development of those bodies,is encouraged-Standards Executi e who will be voluntary standards that (a) will particularly in matters such as responsible for agency wk's eliminate the necessity for development establishing priorities, developing implementation of this Orcular. 'fhe or maintenance of sepsrete Govemment Proadures for preparing, reviewing, Standards Executive's responsibilities ettndards, and (b) will further such and approving standards, and creating willinclude, but not be limited to:

nxtional goals and objectives as standards-developing groups. In order to (a) Establishing procedures to ensure increased use of(i) the metric system of maintain the private, nongovernmental that agency representatives participating measurenent, and (ii) environmentall nature of such bodies, however, agency in voluntary standards bodies and 1

sound and energy effident materials, y representatives should refrain from standards-developing groups will, to the products, systems, services, or practices. decisionmaking involvement in the extent possible, ascertain the views of (5) Agency represantatives serving as internal day-to-day management of such the agency on matters of paramount m:mbers of standards-developing bodies (e.g, selection of salaried officers interest and wl!!, as a minimum,' express -

groups should partidpate actively and and employees, establishment of staff views that are not inconsistent or in -

on a basis of equality with private sector salaries and administrative policies).

conflict with estsb!!shed agency views; representatives. In doing so, agency (9) This Orcular does not provide (b) Ensuring.when two or more representatives should not seek to Suldance concerning the internal agendes partidpate in a given voluntary dominate such groups. Actke Operating procedures that may be -

standards body or standards-developing perticipation la intended to include full applicable to voluntary standards bodies group, that they coordinate their views involvement in discussions and because of their relationships to on matters of paramount importance so technical debates, registering of agencies under this Orcular. Agencies as to present, whenever feasible, a opinions and,if soleded, serving as should, however, carefully consider single, unified position and, where not ch:Irpersons or in other official what laws or rules may apply in a feasible, a mutual recognition of capacities. Agency sepresentatives may particular instance because of these differences; vote, in acxmrdance with the promdures relationships. For example', these (c) Cooperating with the Secretary in l

of the voluntary standards body, at eadi relationships may involve the Federal arrying out his responsibilities under ctrge of standards development, unless Advisory committee Ad, as amended (5 this Orcular; specifically prohibited imm doing so by U.S.C. App. I), or a provision of an (d) Consulting with the Secretary, as hw or their agencies, authorizing statute for a particular necessary,in the development and (6) The number ofindividual agency agency. Agencies are best able to issuance of intemal agency procedures.

partidpe.nts in a given voluntary determine what laws and policies and guidance implementing this -

stzndards activity abould be kept to the should govern particular relationships Orcular, including the development minimum required for effedive and to assess the extent to which and harmontred implementation of an presentation of the various prognun, competition may be enhanced and cost-agency-wide directory identifying 4

technical, or other concerns of Federal effectiveness increased. Questions agency employees participating in agtncies. -

relating to anti-trust implications of standards developing groups; and (7) The providing of Agency support such relationships should be addressed (e) Submitting,in response to the to a voluntary standards activity sbould tothe AttorneyGeneral.

request of the Seastary, reports en the I

---

.--- ----~--

I l

Federal Register / Vol. 58, No. 205 / Tuesday. October 26,19'n / Notloes 57647 i

i I

l.

status of agency interaction with the development of voluntary standards and which would eliminate the d "due i

voluntary standards bodaes, b use of such standerria 8.

pmcurement.

process" precondition to inderal (3) Review their existing standards regulatory and other applications.

participe6on in private standants activtues.

within Bee years oflamanc= of this At the time that Circular A-119 was last Such a preconditior. ls overly metdcuve.

• re* ed.* a gr-e t or>-a w ai-o i

arouia,.and aiienst on.

nve a ni m tierioderareg.naes a-- a g required to adopt b mandafds 22.1v82 letter

.a Acting Assistant will often years beaAw,and topla those for Attorney General for Antitrust Ronald C.

developed ess of federal partidpauon 4

j which an adequate and appropriate Carr, advised OMB concerning the -

in their deve nt. Ms. In our view, b voluntary standerd can be substituted, compeutive beno6ts and potential better solution is to participate in standards j

9. ReportJrqg fleguirements. One year that an result from ladustry deve at of setting bodies and work within them to from the date oflasuance of this voluntary standards. I beve that assure that appropriate procedures ese i

Orcular. and every year theresher, the latter, e enpy of which is encloemd. in light adopted.

Secretary willsubmit to the OfEco of of cus's current zwision of orcular A-11e W Department believes that federal

- - t and Sudget a brief.

and I have determined that it aa=a=

participants should encourage the adopdon on the status o accairately to state the --

- s views of preadums to foster access to standard '

r i

comerningFederalpartihpation..antary setdog activities and transparency in such voluntary stan bodies. As a minimum.the report will standards esttingorganisations.

ectivities. Such procedures incilitate the ~

Fmm the - it of tion poh,cy, development of standards acceptable to the 1

include the following information:

Federal employee's who in the entire afiscted industry as well as to l

a.De nature and extent of agency development ofindustry should be consumers. In particular, notim and participation in the development and aware that the potential for anticompetitiw opportunity fur comment help assure that d

I utilization of voluntary standards, hann resulting from industry standards standards will be based on adequate

}

including:

setting can be reduced to the extent that such information as to their utili and (1) the nuEber of agency empi ees Proosedings are open and transparent a.'d consequences. Moreover,it especially i

participating in at least one standards Provide an opportunity for notics and important that performance criteria be given

-8 ament to any Person potenually affected a prominent. perhaps prhiaant, place in i

dev*I P.

by the promulgation of the proposed any standards activity. Federal acy (2) n of voluntary standards standards, & adoption of performana representatives.thesofore shou advocate, j

the agency has adopted since the last re.her then design standards also helps as strongly as possible, procedures designed report which result from agency considerably to reduce competitive concoms. to assure that a broad range ofinformation is

}

participation in a standards developing hs, it is appropriate that Federal personnel solicited. and that performance criteria are who participate in voluntary standards.

central elements of the resu%g standards.

group;he number of standards the dewtoping bodies advocate these principles in addition to the practial advantages of (3)t agency has replead as a result of the wbenever possible. At the same time. Federal open standards proosedings,such safeguards requirements set forth in paragraph Personnel should undestand that their would mitigate the subriantial 8b.(3)

Panicipedon in the standards-estung process anticompeuun powntial inherent la priwte i

b. Identification of any voluntary generally does not confer antitrust immunity standards groups. N importance of ensuring standards that have been adopted for the on industry participants, and Federal ad)uste consideration of competiuon in b personnel should make clear that their wo of rivate standards bodies was noted purpoes of promoting environmentally prmnce does not imply Federal approvcl of recently the Supreme Court in American sound and energy o!!icient matenals, any particular standards-setting process or of Socsery Mechanimf Engineero. ine. v..

products, systems, services or practices. any ruult.ng standards-Hydro Corp.The case involved a j

c. An evaluation of the effectiveness Sincerely, product standard which had been adopted in 3

of the policy promulgated in this Anne K. Biagaman.

46 states and all but one of the Canadian Circular and recommendations for Assistant Attorney Ceneral.

Provinces.N Court obsesved that change.

o'genizatsons creating such standards could

10. PolicyReview."Ihe pol;~

"u" be " rife with opportunities for containedinthisCircularshal be U.S. Department of Justice. Antatrust anticompetitiw edivity." Federal egencies l

reviewed for effectiveness b the Office Divisies ought to Wy enmurage boo priww 7

groups to ensure consideradon of all relevant 4j of Management and Budget three years lune 22.1982, viewpoints and interests including those of i

from the date ofissuance.

Mr. Donald E. Sowie consumers, and potential or existing industry 1

11. Inquiries. For information AdministratorforFederof Procumment perucipants.

I concerning this Circular, contact the Policy. Office ofMonosoment and This country's international obligations k

Office of Management and Budget.

Budget. Washington, DC2050J.

and policy, as empressed in the Standards Office of Federal Procurement Policy,

Dear Mr. Sowle:

I am writing to expres the Code negotiated during the Tokyo Round of telephone 202/395-4803.

views of the Department of Justics on the Multilateral Trade Negotiations, see the W E. Paws

• competition policy issues raised by the Agreement on Technical Barriere to Trade.

1 Revised OMB Circular No. A-119. " Federal codified at 19 U.S.C.A. 2531 et asq. (19 sol.

Dimh Participation in the Deve t and Use of provide another important reason for federal l

U.S. Departament ofJustics, Antitrust Voluntary Standards" for agency participants to encourage the l

Divialen comment in the Register on April 20.

adoptaon of open procedures for private IuI 27* M 1982 (47 Fed. Rag,16,919).

standards groups. This Code, approved by 1

I i

In our -===ts on previous dreAs of the Congress as well as by our leading trading i

Mr. AllanV. Burman, Circular, dated th==har 26.1976 and June partners. eeks to prwent the creation of '

j Administrator. Office of FederoIProcusement t 3,1g78, we have supported a policy of product standards which discriminate j

Policy, Esecutiw Office of the President. federal adoption of privately developed against import competittoa. lt requires j

Offaarof".-

_tendBudget.

standards when appropriate.11uough central

_' bodlas m provide W ".'- DC20503-pelticipation in, and eup for, private noucoandopportunityto-=== intheir 4

i

Dear Mr. Dannen:

I am writing in regard standards snakingactivi, agencies snay

. own standards making activities, and j

to your memorendum of June 25,1993, benefit grostly from vote experties and

, encourages gove'amants to take r==aaMa solici comments concerning OMB's willavoid the duplication ofcost measures to enause that non govonumental changes to OMB Grcular A-119.

and effort involved in developing their own bodies provide similar protection. Where the J

"FpdaralParticipationintheU.

-t in-bouse standards.& Department of federal government is in fact involved in the 1

and Use of Vohtatary Standards." This Justice is not opposed to the private group, the obilgations of the.

Orcular et. courages Federal participation in announced in Revloed OMB A-119.

Standards Code would appear even stronger.

J J

j

i.

• L I,

~

Individual Office Input to OMB Circular A-119 Annual Report Period Covered: October 1. 1995 - September 30. 1996 Office Input;

. Information Request' Item

~No.

. Number-

[ Standard Title -(year '

Method of. Adoption]'*** ), " -

1 Number of agency (office) employees N/A N/A participating in at least one standards developing group [ Identify standards developing organization (SDO)]

2 Number of voluntary standards the agency (office) has adopted since 10/1/95 which resulted from agency participation in a standards developing group. [ Identify standard and method of adoption]

3 Number of internal standards agency (office) has replaced with voluntary consensus standards [ Identify standard and method of adoption]

4 Identify any voluntary standards that have been adopted for the purpose of promoting environmentally sound and energy efficient materials, products, systems, services, or practices.

[ Identify method of adoption]

5 Identify any voluntary standards, for which there is an ongoing action, that could be adopted by the agency during FY 97. [ Identify intended method of adoption]

(2,3,4,5): Indicates applicability to Item Nos.