1. FGDC Recognition of National Coal Mining Spatial Data Standards Presented by Julie Binder Maitra FGDC Standards Coordinator September 26, 2007

2. Topics What are voluntary consensus standards? How does FGDC participate in voluntary consensus standards bodies? Does ASTM International qualify as a voluntary consensus standards body? What is the FGDC standards process? What is FGDC Policy on endorsement or recommendation of non-Federal standards? Recommendations Resources

3. What are voluntary consensus standards? OMB Circular A-119 defines a voluntary consensus standards standards process as abiding by these principles: Openness Balance of interest Due process – Fair consideration shall be made to objections, and parties are informed about how and why their objections were resolved in a particular manner An appeals process Consensus, that is, general agreement, but not necessarily unanimity

4. FGDC participation in voluntary consensus standards bodies OMB Circular A-119 Directs Federal agencies to use voluntary consensus standards whenever possible Directs Federal agencies to participate in voluntary consensus standards bodies

5. Does ASTM International qualify as a Voluntary Consensus Standards Body? ASTM International has been accredited by ANSI to develop "technical standards for materials, products, systems, and services. In addition, ASTM International is an ANSI Audited Designator, which means that it has the authority to designate its standards as American National Standards, without approval by the ANSI Board of Standards Review (BSR), given its track record in developing voluntary consensus standards. In short, the answer is a resounding “Yes”!

6. What is the Federal Geographic Data Committee Process and how is a standard developed? FGDC Standards Process

7. From FGDC Standards Reference Model, http://www.fgdc.gov/standards/refmod97.pdf Recommendation Draft standard Recommendation Proposed standard Comment document Draft standard Public comments Draft standard Active proposal Step 4 – Produce working draft Step 1 – Develop proposal Step 2 – Review proposal Proposal Step 3 – Set-up project Project Step 5 – Review working draft Working draft Step 6 – Review and evaluate committee draft Committee draft Step 7 – Review and evaluate committee draft Step 8 – Coordinate public review Committee draft Step 9 – Respond to public comments Step 10 – Evaluate responsiveness to public comments Step 11 – Approve standard for endorsement Step 12 – Endorsement Proposal Draft Standard

8. FGDC Standards Process FGDC Steering Committee12 – EndorsementFINAL CG11 - Approve Standard for Endorsement SWG10 - Evaluate Responsiveness to Public Comments Standards Development Group9 - Respond to Public Comments FGDC Secretariat8 - Coordinate Public Review FGDC Coordination Group (CG)7 - Approve Standard for Public Review SWG6 - Review and Evaluate Committee DraftREVIEW SC/WG5 - Review Working Draft Standards Development Group4 - Produce Working DraftDRAFT FGDC Subcommittee or Working Group (SC/WG) 3 - Set Up ProjectPROJECT SWG2 - Review Proposal FGDC Standards Working Group (SWG)1- Develop ProposalPROPOSAL CUSTODIANSTEPSTAGE From FGDC Standards Reference Model, http://www.fgdc.gov/standards/refmod97.pdf

9. FGDC standards in E-gov The National Institute of Standards and Technology (NIST) asserts that FGDC-endorsed standards are "validated" for use in the E-Gov initiatives and Lines of Business. NIST has been assigned to the OMB/GSA project to validate E- Gov standards. OMB/GSA policy mandates the use of validated E-Gov standards for the acquisition and deployment of E-Gov services. According to NIST, "Because the FGDC standards already undergo an extensive public/private sector review process, NIST has decided to declare the FGDC standards as already validated by the FGDC process without having them go through an additional NIST evaluation panel process." FGDC-endorsed standards will be listed on the NIST E-Gov Standards Resource Center Web pages at http://ts.nist.gov/standards/e-gov/. http://ts.nist.gov/standards/e-gov/

10. FGDC Policy on Endorsement or Recommendation of External Standards Presented by Julie Binder Maitra FGDC Standards Coordinator September 26, 2007

11. Topics Background Objective of Policy Exception Levels of Recognition Steps to Endorsement or Recommendation of external standards

12. Background Executive Order 12906: Coordinating Geographic Data Acquisition And Access: The National Spatial Data Infrastructure, signed by President Bill Clinton on April 11, 1994, established the National Spatial Data Infrastructure (NSDI) as “the technology, policies, standards, and human resources necessary to acquire, process, store, distribute, and improve utilization of geospatial data.” President George W. Bush amended EO 12906 by issuance of Executive Order 13286 on March 5, 2003. OMB Circular A-119 establishes policies on Federal use and development of voluntary consensus standards and on conformity assessment activities. OMB Circular A-16 (Revised August 2002), Coordination of Geographic Information, and Related Spatial Data Activities, provides direction for federal agencies that produce, maintain, or use spatial data, either directly or indirectly, in the fulfillment of their mission.

13. Background OMB Circulars A-16 and A-119 and EO 12906/13286 do not expressly define a mechanism for identifying, selecting, and coordinating the adoption of non- Federally developed standards. Since common standards promote efficient geographic information collection and exchange, and under A-16 and EO 12906/13286, standards adopted through the FGDC process are mandatory for Federal agency use, the FGDC needed such a mechanism.

14. FGDC Policy Objective To provide a mechanism for FGDC endorsement or recommendation of non- Federal standards that are related to the missions and spatial data responsibilities of Federal agencies, as outlined in OMB Circular A-16

15. Exception Nothing in this policy shall be construed as superseding the authority or obligation of an agency or organization to use a standard due to treaty, agreement, or other policy

16. Levels of Recognition Two levels of FGDC recognition Endorsement – same status as FGDC standard: mandatory for use, in accordance with Federal guidance Recommendation – the non-federal standard is recognized as a useful standard, but is not deemed to be of such broad applicability that its use should be mandatory.

17. Steps to Endorsement or Recommendation of External Standards Any FGDC member agency may propose any non-Federal standard for endorsement or recommendation by the FGDC. Because any non-Federal standard proposed for consideration under this policy must be fully developed and approved/endorsed by an external standards process, FGDC process steps for proposal, standards development, and public review are not necessary Intent of policy is not to revisit fully developed and endorsed or approved external standards The standard will only go through the final steps of review, approval, and FGDC endorsement

18. FGDC Standards Process Proposed standard SWG recommendation Recommendation Draft standard Recommendation Proposed standard Comment document Draft standard Public comments Draft standard Active proposal Step 4 – Produce working draft Step 1 – Develop proposal Step 2 – Review proposal Proposal Step 3 – Set-up project Project Step 5 – Review working draft Working draft Step 6 – Review and evaluate committee draft Committee draft Step 7 – Review and evaluate committee draft Step 8 – Coordinate public review Committee draft Step 9 – Respond to public comments Step 10 – Evaluate responsiveness to public comments Step 11 – Approve standard for endorsement Step 12 – Endorsement Proposal Draft Standard

19. FGDC Standards Process FGDC Steering Committee ballot12 – EndorsementFINAL CG 14-day review and ballot for approval11 - Approve Standard for Endorsement SWG 30-day review and ballot for CG approval 10 - Evaluate Responsiveness to Public Comments Standards Development Group9 - Respond to Public Comments FGDC Secretariat8 - Coordinate Public Review FGDC Coordination Group (CG)7 - Approve Standard for Public Review SWG6 - Review and Evaluate Committee DraftREVIEW SC/WG5 - Review Working Draft Standards Development Group4 - Produce Working DraftDRAFT FGDC Subcommittee or Working Group (SC/WG) 3 - Set Up ProjectPROJECT SWG2 - Review Proposal FGDC Standards Working Group (SWG)1- Develop ProposalPROPOSAL CUSTODIANSTEPSTAGE From FGDC Standards Reference Model, http://www.fgdc.gov/standards/refmod97.pdf

20. Steps to Endorsement or Recommendation of External Standards Supporting Documentation: Category of standard Level of recognition sought, that is, endorsement or recommendation Scope Benefits to the Federal government and FGDC members Restrictions, limitations, and other constraints, e.g., copyright Contact information for sponsor Identification or explanation of the process by which the standard was developed

21. Recommendations 1.Focus on obtaining ASTM International approval first 2.Prepare supporting documentation, as outlined in FGDC Policy on Recognition of Non-Federally Authored Geographic Information Standards 3.Submit standard and supporting documentation to FGDC Secretariat for initiating standards process to endorse ASTM International standard

22. Web resources FGDC policy and planning, http://www.fgdc.gov/policyandplanninghttp://www.fgdc.gov/policyandplanning WTO | Technical barriers to trade, http://www.wto.org/english/tratop_e/tbt_e/tbt_info_e.htm http://www.wto.org/english/tratop_e/tbt_e/tbt_info_e.htm NAFTA Chapter Nine: Standards-Related Measures, http://www.mac.doc.gov/nafta/chapter9.html http://www.mac.doc.gov/nafta/chapter9.html External standards organizations, http://www.fgdc.gov/standards/organization/external-standards- organizations http://www.fgdc.gov/standards/organization/external-standards- organizations American National Standards Institute (ANSI), www.ansi.orgwww.ansi.org ASTM International, www.astm.orgwww.astm.org FGDC standards process, http://www.fgdc.gov/standards/processhttp://www.fgdc.gov/standards/process FGDC Policy on Recognition of Non-Federally Authored Geographic Information Standards, http://www.fgdc.gov/standards/non-Fed- standards-policyhttp://www.fgdc.gov/standards/non-Fed- standards-policy

23. Julie Binder Maitra jmaitra@fgdc.gov jmaitra@usgs.gov 703-648-4627 WWW: fgdc.gov/standardsfgdc.gov/standards Thank you! Any additional questions?

24. What does WTO Technical Barriers to Trade say about voluntary consensus standards? The WTO Technical Barriers to Trade (TBT) Limits WTO member‘s regulatory flexibility by the requirement that technical regulations “are not prepared, adopted or applied with a view to, or with the effect of, creating unnecessary obstacles to trade.” Encourages members to use international standards for national regulations, unless “their use would be ineffective or inappropriate” to fulfill a given policy objective. Encourages members to participate in the work of international bodies for the preparation of standards and guides or recommendations for conformity assessment procedures.

25. What does NAFTA say about voluntary consensus standards? Chapter Nine: Standards-Related Measures, of the North American Free Trade Agreement (NAFTA) Prohibits standards-related measures that create an unnecessary obstacle to trade between the U.S., Canada, and Mexico. Directs the U.S., Canada, and Mexico to use international standards, except where these standards are ineffective or inappropriate for fulfilling legitimate objectives, due to particular climatic, geographical, technological or infrastructural factors, and scientific justification. Permits the U.S., Canada, and Mexico to adopt, maintain, or apply measures that result in a higher level of protection than with an international standard.

26. Standards organizations Is U.S. member body of ISO Technical Committee (TC) 211 American National Standards Institute (ANSI) INCITS Technical Committee L1 InterNational Committee on Information Technology Standards (INCITS) Is accredited by Is a Subcommittee of Is a voting member of Is liaison with Federal Standards FGDC member agencies are members of Accredits U.S. TAG to ISO Is a Technical Committee of NIST Consortia and Academia IAccredited Standards Development Organization Open Geospatial Consortium OMG W3C OASIS etc. Other Standards Development Organizations ICSP FGDCStates Municipalities Chairs MOU Sets Policy For OMB Reports to Participate in standards development FGDC participation in non-Federal standards organizations

27. ISO Technical Committee 211 is focused on abstract specifications, design framework, and international political consensus Open Geospatial Consortium specializes in extending the abstract model into implementation specifications FGDC and INCITS Technical Committee L1 support the development of thematic data content standards FGDC participation in non-Federal standards organizations