6/23/2016 From the ANSI President Email not displaying correctly?     View it in your browser      American National Standards Institute Dear colleagues: When it comes to standards that are incorporated by reference (IBR), the standards community has had a number of significant wins in the past several years. The Administrative Conference of the United States (ACUS) came out with a  recommendation in December 2011 that supports our views on reasonable availability of IBR‐ed standards. The Office of the Federal Register (OFR) issued a final rule on IBR in November 2014 that again supported our viewpoints and asserted that IBR‐ed standards maintain their copyright. OFR also released an IBR Handbook in April 2016 further underscoring these points. And most critically, the Office of Management and Budget (OMB) released in January 2016 its long‐awaited revision to Circular A‐119, “Federal Participation in the Development and Use of Voluntary Consensus Standards and in Conformity Assessment Activities.” This document is broadly supportive of the standardization system and supports our views on IBR. It’s important to note that each of these activities took place in a public forum, with opportunity for public comments from everyone – supporters and detractors alike. All viewpoints were considered, and ultimately, we are fortunate that the final guidance documents are in alignment with our views. Each federal agency concluded that reasonable availability was the best path forward, and that SDOs and agencies should work together in each case to determine how the IBR‐ed standards could be made available in a way that meets the needs of all parties. But an effort is currently underway at the American Bar Association (ABA) that seeks to challenge the conclusions reached by ACUS, OFR, and OMB. A proposed ABA Resolution, which will be up for vote before the entire ABA House of Delegates in August, encourages Congress to amend the Administrative Procedure Act to require agencies to make IBR‐ed standards accessible, without charge, to members of the public – at minimum: online, read‐only access to the incorporated portion of the standard. The Resolution further requests that agencies review their historical incorporations by reference, and make such arrangements for these standards as well, or amend or repeal the regulation to eliminate the incorporation by reference. This significant change could not only jeopardize the U.S. standardization system, but may also put some SDOs out of business. I’m writing today to encourage you to review the proposed ABA Resolution, read ANSI’s comments on it, and share your views with ABA members, including in particular ABA State Delegates, who may be sensitive to our viewpoints. Because this matter is being considered by the ABA House of Delegates, only certain ABA members may vote, and there is no meaningful opportunity for outside voices or commentary. It strikes me as ironic that those who advocate so strongly for the public’s right to information are now trying to force a significant decision through a closed forum. In effect, our system’s future may be determined by a room full of individuals who have never heard our perspective, and have little to no knowledge of who we are and what we do. It’s incumbent upon all of us to help educate the ABA House of Delegates and change hearts and minds. http://www.standardslearn.org/emails/Bhatia_messages/message-from-the-president-june-16.html 1/2 6/23/2016 From the ANSI President As an ANSI member, you are impacted by this issue. Please read the materials, forward them to your outside counsel (who may be able to help you find your ABA State Delegate) and other ABA members, and encourage them to contact their delegates to help impact this critical vote. Should you have any questions or need assistance, ANSI stands ready to help you – contact Patty Griffin, ANSI vice president and general counsel (pgriffin@ansi.org). Best regards, S. Joe Bhatia © 2016 American National Standards Institute http://www.standardslearn.org/emails/Bhatia_messages/message-from-the-president-june-16.html 2/2  Print Article American Bar Association Resolution on IBR Scheduled for August Vote Standards Community Urged to Speak Up, Contact ABA Delegates   06/21/2016 A proposed American Bar Association (ABA) Resolution encourages Congress to amend the Administrative Procedure Act to require agencies to make standards that have been incorporated by reference (IBR) accessible, without charge, to members of the public – at minimum: online, read­only access to the incorporated portion of the standard. The Resolution further requests that agencies review their historical incorporations by reference, and make such arrangements for these standards as well, or amend or repeal the regulation to eliminate the incorporation by reference. “This significant change could not only jeopardize the U.S. standardization system, but may also put some standards developing organizations out of business,” said S. Joe Bhatia, president and CEO of the American National Standards Institute (ANSI), in a recent message to ANSI members. Mr. Bhatia encouraged members to review the proposed ABA Resolution, read ANSI’s comments on it, and share their views with ABA members, including in particular ABA State Delegates, who may be sensitive to the viewpoints of the standardization community. The Resolution will be up for vote before the ABA House of Delegates in August 2016. Other recent significant decisions on IBR – including the December 2011 Administrative Conference of the United States (ACUS) recommendation; the November 2014 Office of the Federal Register (OFR) final rule; and the January 2016 Office of Management and Budget (OMB) revision to Circular A­119 – have all provided opportunity for public comments. No such open, public comment structure is available for the ABA Resolution. “It strikes me as ironic that those who advocate so strongly for the public’s right to information are now trying to force a significant decision through a closed forum,” said Mr. Bhatia. “It’s incumbent upon all of us to reach out to ABA members, help educate the ABA House of Delegates, and change hearts and minds.” Further questions may be directed to Patty Griffin, ANSI vice president and general counsel (pgriffin@ansi.org). For more information and history on the IBR issue, visit www.ansi.org/ibr. Close This Window ANSI Comments to the American Bar Association Resolution on Incorporation by Reference June 2016 On behalf of the U.S. standardization community, the American National Standards Institute1 (ANSI) respectfully submits the following comments on the American Bar Association (ABA) Resolution that deals with the matter of standards that have been incorporated by reference (IBR) into law. In summary, the Resolution would request that Congress amend the Administrative Procedure Act to require agencies to make IBR-ed standards accessible, without charge, to members of the public – at minimum: online, read-only access to the incorporated portion of the standard. The Resolution further requests that agencies review their historical incorporations by reference, and make such arrangements for these standards as well, or amend or repeal the regulation to eliminate the incorporation by reference. ANSI disagrees with this position and takes this opportunity to present four specific concerns about the Resolution to interested ABA members. 1. First, ANSI is concerned that the ABA may be making decisions in a vacuum and without the significant input and analysis already developed on this subject by three government agencies:  Administrative Conference of the United States (ACUS) Recommendation: Incorporation by Reference (December 2011)2  Office of the Federal Register (OFR) Final Rule: Incorporation by Reference (November 2014)3 o OFR IBR Handbook (April 2016)4  OMB Circular A-119: Federal Participation in the Development and Use of Voluntary Consensus Standards and in Conformity Assessment Activities (January 2016)5 1 ANSI is a private, non-profit organization that administers and coordinates the U.S. voluntary standards and conformity assessment system. http://www.ansi.org/ 2 https://www.acus.gov/recommendation/incorporation-reference 3 https://www.federalregister.gov/articles/2014/11/07/2014-26445/incorporation-by-reference 4 https://www.archives.gov/federal-register/write/handbook/ibr.pdf 5 https://www.whitehouse.gov/sites/default/files/omb/inforeg/revised_circular_a-119_as_of_1_22.pdf ANSI comments on ABA Resolution – page 1 of 4 These groups have considered all sides of this issue during the past 5 years, and each agency has ultimately supported the need for copyright protection and a flexible approach for assuring the reasonable availability of IBR-ed material. This effort to push the matter through ABA in the form of a Resolution feels like an end run around multiple fairly and publicly developed government guidance documents. In particular, the ink is barely dry on the 2016 revision of OMB Circular A-119, so it is hard to give credence to any assertion that the system isn’t working when the latest approaches suggested in that document have hardly been given a chance to be implemented. In summary, it strikes ANSI as ironic that those who advocate so strongly for the public’s right to information are now trying to force a significant decision through a closed forum. 2. Second, prohibiting agencies from using IBR without first obtaining the free and unlimited access to copyright-protected documents will severely constrain an agency’s ability to make use of consensusdriven standards, which is directly counter to federal policy set forth in OMB Circular A-119 and to the National Technology Transfer and Advancement Act of 1995 (NTTAA).6 Generally speaking, ANSI would discourage agencies from bearing the cost of making materials available for free online. If agencies subsidize the costs of standards, then budgets will need to be substantially increased in order to pay such costs (e.g., through taxes or additional interest on the national debt).7 In addition, new staff and contracting mechanisms would be required to negotiate with SDOs on appropriate compensation for standards development and dissemination. Consider the following findings of the Federal Energy Regulatory Commission (FERC), published in the Federal Register in December 20098: When the Commission weighed the advantages achieved by the North American Energy Standards Board (NAESB) standards development process against the cost to the Commission and the industry of developing these standards through notice and comment rulemaking, we found, and continue to find, that the benefits of having a wellestablished, consensus process outweigh whatever costs non-members may incur in having to obtain copies of the standards. 6 http://www.nist.gov/standardsgov/nttaa-act.cfm 7 Requiring that U.S. government agencies pay license fees for access to standards introduces another challenge: it would likely make the U.S. government the monopoly purchaser of standards, and could compromise balanced influence and representation of all stakeholders within the standards development process. These changes would fundamentally undermine the current market-based standardization system. 8 http://edocket.access.gpo.gov/2009/E9-28619.htm ANSI comments on ABA Resolution – page 2 of 4 !s one of the biggest users of standards, the U.S. government’s participation in and support of standards development activities as mandated by the NTTAA are of the utmost importance. The standardization community highly values the expert input that government employees provide and the reliance that agencies demonstrate by adopting voluntary consensus standards and compliance programs. ANSI feels that forcing agencies to obtain free and unlimited access to IBR-ed materials could have a chilling effect on agencies’ willingness to refer to voluntary standards in support of regulatory actions. 3. Third, a requirement of read-only online access is problematic for many SDOs. Practically speaking, this will devastate the market for purchasing the standards from the SDO, and will eliminate the primary source of funding for the development of these standards. Some SDOs believe that the Resolution’s proposed limitation to “read-only” disclosure of copyrighted material, as well as the suggestion that proposed legislation would not impact copyright “rights or defenses,” is illusory in today’s global technology world. Technical professionals increasingly access and work in the field with documents on mobile devices, as opposed to desktop computers or hard copies. Calling up a standard on a tablet or a personal phone to “read” its contents is precisely how such standards tend to be utilized. ANSI agrees that public and private interests must be balanced and, to that end, everyone should have the right to access standards referenced into law and be able to review such work at government facilities and libraries on a read-only basis. Depending on the nature of the standard and its intended use, many such standards could also be electronically available for viewing for free on either a long- or short-term basis, but a blanket “one size fits all” mandate is not in the public interest. Reasonable access does not mean that everyone has the right to own a free copy or that SDOs should have their copyrights rendered meaningless because their standards are available for free on the web. Copyright protection must be afforded to standards developers for their original works of authorship. SDOs that have only a small portion of their standards IBR-ed may not feel this burden as acutely, and so they may be comfortable with read-only access. But for those SDOs that produce a single, massive standard that has been IBR-ed, it’s clear to see how this Resolution would destroy, or at least fundamentally alter, that business. If a government agency is now forced to provide funding for an IBR-ed standard, and an SDO’s sole work product is that standard, then the SDO is essentially no longer a consensus-based non-profit organization; it is in effect operating as a de facto government entity. This not only disrupts the business model of that organization, it also significantly alters the very nature of our nation’s private-sector-led, market-driven standardization system. The destructive potential of this Resolution could also leave a safety vacuum that cannot be easily filled – if SDOs are forced to go out of business, then what will happen to the hundreds upon hundreds of standards that protect health, safety, and the environment? This could put the general ANSI comments on ABA Resolution – page 3 of 4 public at serious risk. How will the government, without the presence of SDOs, efficiently convene thousands of subject-matter experts from industry, insurers, regulatory authorities, unions, end users, and other interested parties to draft and maintain highly technical standards addressing a multitude of specialized disciplines? Who will pay for this activity? How quickly will progress advance? And how many injuries and avoidable accidents will occur in the interim? 4. Finally, as ACUS, OFR, and OMB have each recognized in their guidance documents, this matter cannot be solved with a single-size solution. While the report attached to the ABA Resolution attempts to address some of this complexity, ANSI believes that there is much more to understand, both in terms of the business/market implications and the technical complexity of implementing the Resolution as currently written. !nd !NSI believes the government’s extensive multi-year review of this issue and guidance to agencies reflecting substantial, diverse public input ought to be given sufficient time to work before the ABA engages on this controversial issue. ANSI has an Organizational Member Forum (OMF), which consists of nearly 250 ANSI-accredited standards developers. We would be pleased to assist the ABA by convening a meeting of the ABA and the OMF, so the potential effects of this Resolution’s proposals can be more thoroughly explored and understood. The ABA should not lend its considerable voice to this issue without due consideration of the very real ramifications that this Resolution presents. For further information on !NSI’s position on IBR, please visit www.ansi.org/ibr, where you may also read our public comments submitted to OFR (and its National Archives and Records Administration, NARA) and OMB when those agencies weighed the same issue. ANSI appreciates this opportunity to share more information about the U.S. standardization system, and welcomes further dialogue on this critical issue. We thank you for this opportunity to provide comments. ANSI comments on ABA Resolution – page 4 of 4 efile GRAPHIC rint - DO NOT PROCESS As Filed Data - DLN:93493121006334 OMB No 1545-0047 Return of Organization Exempt From Income Tax Form990 ~ ~ Department of the Treasury Intemal Revenue Service ~ A For the 2013 calendar year, or tax year beginning 01-01-2013 C Name of organization B Check If applicable AMERICAN NATIONAL STANDARDS INSTITUTE I Address change DOing Business As I Name change I Initial return , 2013, and ending Open to Public Inspection 12-31-2013 D Employer identification number 13-1635253 Number and street (or PObox If mall IS not delivered to street addreSs)1 Room/suite 25 WEST 43RD STREET 4TH FLOOR I Terminated 2013 Under section 501(e), 527, or 4947(a)(1) of the Internal Revenue Code (except private foundations) Do not enter Social S ecurity numbers on this form as It may be made public By law, the IRS generally cannot redact the Information on the form Information about Form 990 and ItS Instructions IS at www.IRS.qov/form990 E Telephone number (212) 642-4900 I Amended return City or town, state or proVince, country, and ZIP or foreign postal code NEW YORK, NY 10036 I Application pending G Gross receipts $ 47,025,418 F Name and address of principal officer SARANJIT BHATIA 25 WEST 43RD STREET 4TH FLOOR NEWYORK,NY 10036 Tax-exempt status I J Website: ~ ... I 501(c) ( ) "'II1II (Insert no ) I Trust I ASSOCiation I IYeslNo If "No," attach a list (see Instructions) 4947(a)(1) or 1527 H(e) P- Corporation I IYesp-No H(b) Are all subordinates Included? WWWANSI ORG K Form of organization 111111 P- 501(c)(3) H(a) Is thiS a group return for subordinates? Other ~ Group exemption number L Year of formation 1918 ~ M State of legal domicile NY Summary 1 Briefly describe the organization's mission or most significant activities TO ENHANCE BOTH THE GLOBAL COMPETITIVENESS OF US BUSINESS AND THE U S QUALITY OF LIFE BY PROMOTING AND FACILITATING VOLUNTARY CONSENSUS STANDARDS AND CONFORMITY ASSESSMENT SYSTEMS, AND SAFEGUARDING THEIR INTEGRITY ~ ~ ~ 0 ~ 2 C heck thiS box ~ 3 Numberofvotlng members ofthe governing body (Part VI, line 1a) 3 ~ 4 Number of Independent voting members ofthe governing body (Part VI, line 1 b) 4 46 5 134 ~ Ifthe organization discontinued ItS operations or disposed of more than 25% of ItS net assets >6 46 -l> ~ 5 Total number of Individuals employed In calendar year 2013 (Part V, line 2a) 6 Total number of volunteers (estimate If necessary) 6 7a Tota I unrelated bus Iness revenue from Part V I II, column (C), line 12 7a b Net unrelated bUSiness taxable Income from Form 990-T, line 34 7b Prior Year ~ c (]) ::0- & ~ Vl ii S Contributions and grants (Part VIII, line 1 h) 0 0 9 Progra m service revenue (P a rt V II I, line 2 g) 36,207,174 36,574,558 309,349 750,842 0 0 10 Investment Income (Part VIII, column (A), lines 3,4, and 7d ) 11 Other revenue (Part VIII, column (A), lines 5, 6d, 8c, 9c, 10c, and 11e) 12 Total revenue-add lines 8 through 11 (must equal Part VIII, column (A), line 12) 36,516,523 37,325,400 13 Grants and Similar amounts paid (Part IX, column (A), lines 1-3 ) 0 0 14 Benefits paid to or for members (Part IX, column (A), line 4) 0 0 15 Salaries, other compensation, employee benefits (Part IX, column (A), lines 5-10) 15,285,633 16,321,489 0 0 16a ProfeSSional fundralslng fees (Part IX, column (A), line 11e) b Total fundralslng expenses (Part IX, column (D), line 25) ~O 17 Other expenses (P art I X, column (A), lines 11 a-11 d, 11 f- 24 e) 22,160,048 20,448,447 18 Total expenses Add lines 13-17 (must equal Part IX, column (A), line 25) 37,445,681 36,769,936 19 Revenue less expenses Subtract line 18 from line 12 _. ct:'i1 -6,274 Current Year 8 -929,158 3~ ~~ q,.<'I: ~~ 0 26,795 Beginning of Current Year 555,464 End of Year 20 Total assets (Part X, line 16) 18,759,143 20,695,310 21 Total liabilities (Part X, line 26) 12,144,685 13,440,560 6,614,458 7,254,750 Z~ 22 Net assets or fund balances Subtract line 21 from line 20 Signature Block Under penalties of perjury, I declare that I have examined thiS return, Including accompanying schedules and statements, and to the best of my knowledge and belief, It IS true, correct, and complete Declaration of preparer (other than officer) IS based on all Information of which preparer has any knowledge Sign Here ~ 12014-05-01 Date Signature of officer ~ MARGARET JENSEN CPA VP FINANCE & ADMIN Type or pnnt name and title Paid Preparer Use Only Pnnt/Type preparer's name ROBERT LYONS Firm's name ~ Firm's address ~ I Preparer's signature I Date Check I l f self-employed ~ I P00227472 PTIN MARKS PANETH & SHRON LLP Firm's EIN 11-3518842 685 THIRD AVENUE Phone no (212) 503-8800 NEW YORK, NY 10017 May the IRS diSCUSS thiS return With the preparer shown above? (see Instructions) For Paperwork Reduction Act Notice, see the separate instructions. p-Yes INo Cat No 11282Y Form 990 (2013) Form 990 (2013) l!IffiiIll1 Page 2 Statement of Program Service Accomplishments Check If Schedule F 0 contains a response or note to any line In this Part III Briefly describe the organization's mission TO ENHANCE BOTH THE GLOBAL COMPETITIVENESS OF us BUSINESS AND THE U S QUALITY OF LIFE BY PROMOTING AND FACILITATING VOLUNTARY CONSENSUS STANDARDS AND CONFORMITY ASSESSMENT SYSTEMS, AND SAFEGUARDING THEIR INTEGRITY 2 Did the organization undertake any significant program services dUring the year which were not listed on the prior Form 990 or 990-EZ? • I" Yes P- No If "Yes," describe these new services on Schedule 0 3 Did the organization cease conducting, or make significant changes In how It conducts, any program services? • I" Yes P- No If "Yes," describe these changes on Schedule 0 4 Describe the organization's program service accomplishments for each of ItS three largest program serVices, as measured by expenses Section 50 1(c)(3) and 50 1(c)(4) organizations are required to report the amount of grants and allocations to others, the total expenses, and revenue, If any, for each program service reported 4a (Code ) (Expenses $ 1,987,507 Including grants of $ ) (Revenue $ 1,942,739 ) FEE-BASED SERVICESTHE ANSI - HOMELAND DEFENSE AND SECURITY STANDARDIZATION COLLABORATNE(ANSI HDSSC) HAS AS ITS MISSION TO IDENTIFY EXISTING CONSENSUS STANDARDS, OR, IF NONE EXIST, ASSIST GOVERNMENT AGENCIES AND RELEVANT SECTORS TO ACCELERATE DEVELOPMENT AND ADOPTION OF CONSENSUS STANDARDS CRITICAL TO HOMELAND SECURITY AND HOMELAND DEFENSE THE COLLABORATNE SEEKS BROAD ENGAGEMENT WITH THE DEPARTMENT OF HOMELAND SECURITY,DEPARTMENT OF DEFENSE, NATIONAL INSTITUTE FOR OCCUPATIONAL SAFETY AND HEALTH, NATIONAL INSTITUTE OF STANDARDS AND TECHNOLOGY, STATE AGENCIES AND OTHER RELEVANT ENTITIES THE ANSI-HDSSC PROMOTES A POSITNE,COOPERATNE PARTNERSHIP BETWEEN THE PUBUC AND PRNATE SECTORS IN ORDER TO MEET THE NEEDS OF THE NATION IN THE CRITICAL AREA OF HOMELAND DEFENSE AND SECURITY IN 2013, THE NUCLEAR ENERGY STANDARDS COORDINATION COLLABORATNE (NESCC) MET THREE TIMES THE NESCC PUBUSHED THE FINAL REPORTS OF THE REPAIR OF CONCRETE TASK GROUP, THE ELECTRICALCABLE TASK GROUP, AND THE WELDING TASK GROUP THE NESCC ALSO WELCOMED A NEW PRNATE­ SECTOR -CHAIR, WHO WILL BRING MORE INDUSTRY PERSPECTNE AND PARTICIPATION TO THE GROUP IN 2013, THE NESCC APPROVED A NEW FRAMEWORK DOCUMENT THAT OUTUNES ITS MISSION AND OPERATING PROCEDURES THE ANSI NANOTECHNOLOGY STANDARDS PANEL (ANSI-NSP) SERVES AS THE CROSS­ SECTOR COORDINATING BODY FOR FACIUTATING THE DEVELOPMENT OF STANDARDS IN THE AREA OF NANOTECHNOLOGY, INCLUDING NOMENCLATURE/TERMINOLOGY, MATERIALS PROPERTIES, MEASUREMENT METHODS, AND HEALTH, SAFETY AND ENVIRONMENTAL PRACTICES IN 2013, THE ANSI­ NSP LAUNCHED ITS NANOTECHNOLOGY STANDARDS DATABASE TO CAPTURE INFORMATION ABOUT STANDARDS AND ASSOCIATED DOCUMENTS (STANDARDS, BEST PRACTICES, GUIDEUNES) THAT DIRECTLY RELATE TO NANOMATERIALS AND NANOTECHNOLOGY-RELATED PROCESSES APPUCATIONS AND PRODUCTS THE ANSI­ ACCREDITED U S TECHNICAL ADVISORY GROUP (TAG) TO THE INTERNATIONAL ORGANIZATION FOR STANDARDIZATION (ISO) TECHNICAL COMMITTEE (TC) 229, NANOTECHNOLOGIES, FORMULATES U S POSITIONS ON TOPICS RELEVANT TO THIS ISO TC IN 2013,ISO/TC 229 PUBUSHED THE DOCUMENT, "GUIDANCE ON THE VOLUNTARY LABELUNG FOR CONSUMER PRODUCTS CONTAINING MANUFACTURED NANO-OBJECTS," WITH A GREAT DEAL OF INPUT PROVIDED BY U S PARTIES FROM INDUSTRY AND GOVERNMENT IN MAY 2013, ANSI RELEASED THE STANDARDIZATION ROADMAP FOR ELECTRIC VEHICLES - VERSION 2 0 DEVELOPED BY REPRESENTATNES FROM MORE THAN 100 PRNATE- AND PUBUC-SECTOR ORGANIZATIONS, THE DOCUMENT TRACKS PROGRESS TO IMPLEMENT RECOMMENDATIONS MADE IN THE ROADMAP VERSION 1 O,RELEASEDIN APRIL 2012, AND IDENTIFIES ADDITIONAL AREAS WHERE THERE IS A PERCENED NEED FOR STANDARDIZATION WORK TO HELP FACIUTATE THE SAFE, MASS DEPLOYMENT OF ELECTRIC VEHICLES AND CHARGING INFRASTRUCTURE IN THE UNITED STATES THE ANSI ENERGY EFFICIENCY STANDARDIZATION COORDINATION COLLABORATNE (EESCC) IS A CROSS-SECTOR GROUP OF MORE THAN 50 ORGANIZATIONS AND 4 FEDERAL AGENCIES WORKING TO DEVELOP A STANDARDIZATION ROADMAP THE CURRENT ROADMAP DRAFT PROVIDES A NATIONAL FRAMEWORK FOR ACTION AND COORDINATION ON ENERGY EFFICIENCY STANDARDIZATION, CHARTING 116 RECOMMENDATIONS TO ADVANCE ENERGY EFFICIENCY IN THE BUILT ENVIRONMENT IN FNE KEY AREAS THE FINAL EESCC ROADMAP IS EXPECTED TO BE PUBUSHED IN 2014 IN NOVEMBER 2013, ANSI HELD A WORKSHOP TO EXAMINE THE ROLE OF STANDARDIZATION IN ACHIEVING THE PROMISE OF SMART AND SUSTAINABLE CITIES ANSI IS THE OFFICIAL U S REPRESENTATNE TO THE INTERNATIONAL ORGANIZATION FOR STANDARDIZATION (ISO) AND, VIA THE U S NATIONAL COMMITTEE, THE INTERNATIONAL ELECTROTECHNICAL COMMISSION (IEC) THIS ENABLES U S PRNATE- AND PUBUC-SECTOR INTERESTS TO BE ACTNE PARTICIPANTS IN THE INTERNATIONAL STANDARDIZATION ACTNITIES OF 576 ISOAND 160 IEC TECHNICAL COMMITTEES AND SUBCOMMffiEES IN ADDITION TO ACTNE U S PARTICIPATION IN THESE COMMITTEES THROUGH ANSI AND THE USNC/IEC, U S INTERESTS HOLD KEY LEADERSHIP ROLES, SERVING AS CHAIR AND/OR SECRETARY TO 117 ISO AND 54 IEC COMMITTEES ANSI STAFF CURRENTLY MANAGES 20 INTERNATIONAL SECRETARIAT PROGRAMS THESE SERVICES ARE ADMINISTERED ON A COST-RECOVERY BASIS WITH FUNDS PROVIDED BY THE SPECIFIC INDUSTRY SECTOR ASSOCIATED WITH THE ACTNITY TECHNICAL AREAS RANGE FROM AGRICULTURAL EQUIPMENT TO TOY SAFETY TO BIOMETRICS (FINGERPRINTS, IRIS SCANS, FACIAL RECOGNITION) IN JUNE 2013, ANSI ASSUMED SECRETARIAT RESPONSIBIUTY FOR ITS NEWEST PROGRAM,ISO 285, COOK STOVES ANSI OFFERS FEE-BASED "ENHANCED SERVICES" TO SUPPORT TO ANSI MEMBERS SERVING AS ADMINISTRATORS TO ANSI-ACCREDITED U S TAGS OR ANSI-DELEGATED ISO SECRETARIATS AS PART OF THIS SERVICE, ANSI STAFFSERVES IN AN ONGOING MENTORING ROLE FOR A DEFINED PERIOD OF TIME AND PROVIDES THE MEMBER WITH PRACTICAL GUIDANCE AND ADVICE ON ALL ASPECTS OF ADMINISTRATION OF A US TAG AND/OR AN ISO SECRETARIAT ANSI IS THE REGISTRATION AUTHORITY FOR THE U S FOR ORGANIZATION NAMES UNDER THEGLOBAL REGISTRATION PROCESS ESTABUSHED BY ISO AND THE INTERNATIONAL TELECOMMUNICATION UNION (ITU) A FORMAL PROCEDURE HAS BEEN DEVELOPED WITHIN ANSI TO ADMINISTER THIS PROCESS THESE PROCEDURES SPECIFY THE SYNTAX OF NAMES ASSIGNED BY THIS REGISTRATION AUTHORITY, DESCRIBE THEWAY IN WHICH APPUCATIONS FOR ORGANIZATION NAMES ARE HANDLED, INCLUDING MECHANISMS FOR ASSURING THE ASSIGNING OF UNIQUE NAMES AT THIS LEVEL IN THE HIERARCHY, AND PROVIDE FOR THE ASSIGNMENT OF ORGANIZATION NAMES ANSI IS THE U S REGISTRATION MANAGEMENT GROUP FOR IINS THE PURPOSE OF THE NUMBERING SYSTEM IS TO UNIQUELY IDENTIFY A CARD ISSUING INSTITUTION IN AN INTERNATIONAL INTERCHANGE ENVIRONMENT ALL IINS ASSIGNED ARE SIX DIGIT NUMBERS AND EACH CARD ISSUER IS ENTITLED TO ONE IIN (OUTSIDE OF ITS MEMBERSHIP OF ANY CARD SCHEMES, FOR EXAMPLE AN IIN ASSIGNED FROM VISA) THEREFORE ONLY ONE IIN WILL BE ASSIGNED TO EACH CARD ISSUER THIS IIN MUST BE USED ONLY TO IDENTIFY THE CARD ISSUER 4b (Code ) (Expenses $ 6,694,990 Including grants of $ ) (Revenue $ 6,985,621 ) ACCREDITATION SERVICESANSI ADMINISTERS A BROAD PORTFOUO OF THIRD-PARTY ACCREDITATION PROGRAMS THAT RECOGNIZE THE COMPETENCE OF BODIES TO CARRY OUT CERTIFICATION OF PRODUCTS, PROCESSES, PERSONNEL, SERVICES, OR SYSTEMS IN ACCORDANCE WITH SPECIFIC REQUIREMENTS DEFINED IN INTERNATIONAL STANDARDS CONTINUALLY EXPANDING, ANSI CURRENTLY OFFERS HIGHLY REGARDED ACCREDITATION PROGRAMS FOR ORGANIZATIONS THAT CERTIFY PRODUCTS AND PERSONNEL, VAUDATION/VERIFICATION BODIES ENGAGED IN THE REDUCTION AND REMOVAL OF GREENHOUSE GASES, AND ORGANIZATIONS THAT ISSUE EDUCATION AND TRAINING CERTIFICATES TO US WORKERS THIS PORTFOUO IS FURTHER EXTENDED VIA PARTNER PAYMENTS FROM THE ANSI-ASQ NATIONAL ACCREDITATION BOARD AFFlUATE'S ACCREDITATION SERVICES UNDER THE ANAB, ACLASS, AND FQS BRANDS ANAB SERVES AS THE U S ACCREDITATION BODY FOR MANAGEMENT SYSTEMS AND CERTIFICATION BODIES ACLASS ACCREDITS TESTING AND CAUBRATION LABORATORIES, INSPECTION BODIES, REFERENCE MATERIAL PRODUCERS, AND, UNDER THE FQS BRAND, FORENSICS TESTING AGENCIES 4c (Code ) (Expenses $ 6,486,879 Including grants of $ ) (Revenue $ 960,365 ) INTERNATIONAL STANDARDS PROGRAMSANSI IS THE SOLE U S REPRESENTATNE AND DUES-PAYING MEMBER OF THE TWO MAJOR NON-TREATY INTERNATIONAL STANDARDS ORGANIZATIONS, THE INTERNATIONAL ORGANIZATION FOR STANDARDIZATION (ISO) AND THE INTERNATIONAL ELECTROTECHNICAL COMMISSION (IEC) VIA THE U S NATIONAL COMMffiEE (ALL IEC ACTNITIES ARE UNDERTAKEN BY THE USNC, A COMMffiEE OF ANSI), AS WELL AS THE PACIFIC AREA STANDARDS CONGRESS (PASC) AND THE PAN AMERICAN STANDARDS COMMISSION (COPANT) ANSI IS ALSO A MEMBER OF THE INTERNATIONAL ACCREDITATION FORUM (IAF) AND THE PACIFIC ACCREDITATION COOPERATION (PAC) THROUGH ANSI AND ITS USNC, THE U S HAS IMMEDIATE ACCESS TO THE FULL SPECTRUM OF TECHNICAL ACTNITIES OF ISO AND IEC AND ADMINISTERS MANY KEY INTERNATIONAL COMMffiEES AND SUBGROUPS THROUGH ITS U S TECHNICAL ADVISORY GROUPS (TAGS), OVER 5,000 U S POSITIONS ON ACTNITIES AND BALLOTS OF THE VARIOUS INTERNATIONAL TECHNICAL COMMffiEES ARE DEVELOPED AND ADVOCATED ANNUALLY IN 2013, THE U S WAS ACTNE IN 576 ISO AND 160 IEC TECHNICAL COMMITTEES AND SUBCOMMffiEES IN ADDITION TO ACTNE US PARTICIPATION IN THESE COMMffiEES, THROUGH ANSI AND ITS USNC, US INTERESTS ARE ABLE TO HOLD KEY LEADERSHIP ROLES, SERVING AS CHAIR AND/OR SECRETARY TO 117 ISO AND 54 IEC COMMITTEES AND SUBCOMMffiEES IN ADDITION, ANSI AND ITS USNC PLAY STRONG LEADERSHIP ROLES IN THE GOVERNING BODIES OF BOTH ISO AND IEC WITHIN ISO, ANSI'S VICE PRESIDENT OF ACCREDITATION PROGRAMS SERVES AS THE CHAIRMAN OF THE ISO POUCY COMMITTEE ON CONFORMITY ASSESSMENT, AND THE ANSI PRESIDENT AND CEO SERVES ON THE ISO COUNCIL GOVERNANCE GROUP WITHIN THE IEC, INDMDUALS FROM THE U S CURRENTLY HOLD KEY LEADERSHIP POSITIONS INCLUDING THAT OF IEC VICE PRESIDENT AND CHAIRMAN OF THE IEC STANDARDIZATION MANAGEMENT BOARD AS WELL AS THAT OF MEMBER OF THE IEC COUNCIL BOARD (A POSITION HELD BY THE PRESIDENT OF THE USNC) IN 2013, ANSI ORGANIZED THE FIRST-EVER JOINT PLENARY OF PASC AND PAC IN HONOLULU, HAWAII AND AFTER A SUCCESSFUL US-HOSTED IEC GENERAL MEETING IN 2010, THE USNC HAS EXTENDED AN INVITATION TO HOLD THE 2022 IEC GENERAL MEETING IN THE U S ONCE AGAIN IN 2013, THE USNC, FOR THE FOURTH YEAR, NOMINATED 3 INDMDUALS FOR THE IEC YOUNG PROFESSIONALS PROGRAM, WHICH BROUGHT TOGETHER SOME 60 YOUNG PEOPLE FROM AROUND THE WORLD FOR A WORKSHOP IN CONJUNCTION WITH THE IEC GENERAL MEETING IN NEW DELHI IN OCTOBER 2013 ONE OF THE USNC'S 2013 YOUNG PROFESSIONALS WAS SELECTED BY HIS PEERS AS A PROGRAM LEADER FOR 2014, THE THIRD U S LEADER IN AS MANY YEARS ANSI ACTNELY REPRESENTS THE US IN VARIOUS REGIONAL STANDARDIZATION FORA AND ADVANCES U S OBJECTNES AND PERSPECTNES THROUGH BILATERAL RELATIONSHIPS WITH ITS PEER STANDARDIZATION BODIES IN 2013 ANSI'S PRESIDENT AND CEO BEGAN TO SERVE HIS TERM AS THE PRESIDENT OF COPANT, WHERE HE PROVIDES FUNDAMENTAL STRATEGIC DIRECTION AND REINFORCES U S LEADERSHIP IN THIS REGIONAL ORGANIZATION ANSI ALSO ADVANCES U S OBJECTNES AND PERSPECTNES THROUGH THE ADMINISTRATION OF TECHNICAL ASSISTANCE AND CAPACITY BUILDING INITIATNES IN 2013 ANSI LAUNCHED TWO SUCH INITIATNES THE U S ­ CHINA STANDARDS AND CONFORMITY ASSESSMENT COOPERATION PROGRAM, WITH FUNDING FROM THE U S TRADE AND DEVELOPMENT AGENCY (USTDA), AND THE STANDARDS ALUANCE, A PUBUC-PRNATE PARTNERSHIP BETWEEN ANSI AND THE U S AGENCY FOR INTERNATIONALDEVELOPMENT (USAID) FINALLY, ANSI HELD BILATERAL MEETINGS AND/OR SIGNED MEMORANDA OFUNDERSTANDING WITH A NUMBER OF ITS PEER STANDARDIZATION BODIES WITH THE AIM OF ADVANCING U S GOALS AND PRIORITIES FOR STANDARDIZATION INTERNATIONALLY (Code ) (Expenses $ 14,495,535 Including grants of $ ) (Revenue $ 26,685,830 ) GOVERNANCE EXPENSES 1,166,658 REVENUE OPUBUCATIONS EXPENSES 12,160,864 REVENUE 20,777,721FEDERATION PROMOTION EXPENSES 678,381 REVENUE OGOVERNMENT AFFAIRS EXPENSES 489,632 REVENUE OMEMBERSHIP DUES AND ASSESSMENT FEES EXPENSES 0 REVENUE 5,908,112 4d Other program services (Describe In Schedule (Expenses $ 4e 14,495,535 Total program service expenses ~ 0 ) Including grants of$ ) (Revenue $ 26,6 8 5 ,8 30 ) 29,664,911 Form 990 (2013) Form 990 (20 1 3 ) litil!)'" Page 9 Statement of Revenue C h ec kIf Sc hdl e u e 0 contains a response or note to any Ine In t IS Part VIII la Federated campaigns la b Membership dues lb E e Fundralslng events le ! .. d Related organizations ld le lf (A) (8) (C) Total revenue Related or exempt function revenue Unrelated business revenue (D) Revenue exc Iuded from tax under sections 512-514 -!!-!! :.: :.: I."i:I .... ~ :: 0 ~CX .- I."i:I ~ ~= E e Govemment grants (contnbutlons) ;;(1) :.;::::: .... Q) f All other contnbutlons, giftS, grants, and similar amounts not Included above .;:: 0 9 Noncash contnbutlons Included 1a-lf $ h Total. Add lines 1a-lf VI ._ --=- :: .Q .:.: :.: 0 U :.: I."i:I In ~ 2a ~ b q.. <.;> S; $ C ~ v PUBUCATION 900099 20,777,721 20,750,926 ACCREDITATION SERVICES 900099 6,985,621 6,985,621 e DUES & ASSESSMENTS 900099 5,908,112 5,908,112 d FEE-BASED PROGRAMS 900099 1,942,739 1,942,739 e INTL STANDARDS PROG 900099 960,365 f All other program service revenue Investment Income (Including dividends, Interest, and other similar amounts) 4 Income from Investment of tax-exempt bond proceeds 5 Royalties 6a Gross rents b Less rental expenses Renta I Income or (loss) e d I I e d Net gain or (loss) b Sa ev ::::I 960,365 36,574,558 279,088 279,088 471,754 471,754 ... Net rental Income or (loss) Gross amount from sales of assets other than Inventory Less cost or other baSIS and sales expenses Gain or (loss) 7a 26,795 (II) Personal (I) Securities (11)Other 9,700,018 9,228,264 471,754 .... Gross Income from fundralslng events (not Including $ ¥ of contributions reported on line 1c) See Part IV, line 18 :> ev a:: ... - ... ... ... ... 9 Total. Add lines 2a-2f 3 (I) Real ~ I ... 0 &: I BUSiness Code (],l ~ I lines a .c b Less direct expenses 0 e Net Income or (loss) from fundralslng events 9a b ... Gross Income from gaming activities See Part IV, line 19 a b Less direct expenses e Net Income or (loss) from gaming activities lOa b .... Gross sales of Inventory, less returns and allowances a b Less cost of goods sold e Net Income or (loss) from sales of Inventory Miscellaneous Revenue b ... BUSiness Code lla b e d A II other revenue e Total. Add lines lla-lld 12 Total revenue. See Instructions ... ... 37,325,400 36,547,763 26,795 750,842 Form 990 (2013) Form 990 (20 1 3 ) 'UMia Page 10 Statement of Functional Expenses Section 501(c)(3)and 501(c)(4)organlzatlons must complete all columns All other organizations must complete column (A) C h ec kf I Sc hdl e u e 0 contains a response or note to any Ine In t h IS Part IX Do not include amounts reported on lines 6b, 7b, 8b, 9b, and lOb of Part VIII. 1 Grants and other assistance to governments and organizations In the United States See Part IV, line 21 2 Grants and other assistance to Individuals In the United States See Part IV, line 22 3 Grants and other assistance to governments, organizations, and Individuals outside the United States See Part IV, lines 15 and 16 4 Benefits paid to or for members 5 Compensation of current officers, directors, trustees, and key employees 6 Compensation not Included above, to disqualified persons (as defined under section 4958(f)(1)) and persons described In section 4958(c)(3)(B) ~ (8) (A) Total expenses (e) (D) Program service Management and general expenses expenses 3,289,715 2,626,649 663,066 6,234,114 2,970,971 7 Other salaries and wages 9,205,085 8 Pension plan accruals and contributions (Include section 401 (k) and 403(b) employer contributions) 1,361,458 1,016,970 344,488 9 Other employee benefits 1,688,105 1,227,064 461,041 777,126 547,704 229,422 10 Payroll taxes 11 Fees for services (non-employees) a Management b Legal c Accounting d LobbYing 165,104 165,104 75,000 75,000 70,763 70,763 e Profess lona I fundra IS I ng services See Part IV, line 17 f Investment management fees 9 Other (Ifllne 11g amount exceeds 10% ofllne 25, column (A) amount, list line 11g expenses on Schedule 0) 3,879,050 3,509,577 Advertising and promotion 1,401,025 1,401,025 562,281 12 369,473 13 Office expenses 868,914 14 Information technology 292,212 15 Royalties 6,827,372 6,827,372 16 Occupancy 1,760,579 1,415,272 345,307 17 Travel 956,815 815,883 140,932 18 Payments oftravel or entertainment expenses for any federal, state, or local public officials 984,123 700,230 283,893 19 Conferences, conventions, and meetings 20 Interest 306,633 292,212 21 Payments to affiliates 22 Depreciation, depletion, and amortization 241,117 241,117 23 Ins ura nce 145,603 145,603 24 Other expenses Itemize expenses not covered above (List miscellaneous expenses In line 24e If line 24e amount exceeds 10% of line 25, column (A) amount, list line 24e expenses on Schedule 0 ) a FOREIGN DUES & OVERSEAS b BAD DEBT EXPENSE Fu nd ra ISing expenses 2,719,928 2,719,928 60,842 60,842 36,769,936 29,664,911 c d e A II other expenses 25 Total functional expenses. Add lines 1 through 24e 26 Joint costs. Complete this line only Ifthe organization reported In column (B) JOint costs from a combined educational campaign and fundralslng solicitation Check here ~ Ilffollowlng SOP 98-2 (ASC 958-720) 7,105,025 ° Form 990 (2013) Form 990, Part VII - Compensation of Officers, Directors,Trustees, Key Employees, Highest Compensate d Emp oyees, an In d e~en d ent Contractors id (A) Name and Title (8) Average hours per week (list any hours for related organizations below dotted line) (C) Position (do not check more than one box, unless person IS both an officer and a director/trustee) Q=, =::'::. a C)~ 2 2 Q..~ ~§- """" .... ;;:: rp rr:­ (I' =' 2 (') ~ ~ ;:;: A .!2 Q.::;­ "='Q (E) Reportable compensation from related organizations (W­ 2/1099-MISC) 2/1099-MISC) ::: ~~ ~ ""0 5" oD° 0 ::: u [> [> [> ~ oDI :30:15 (D) Reportable compensation from the organization (W­ (F) Estimated amount of other compensation from the organization and related organizations C!.. EDWARD MANNS 200 X 0 0 0 X 0 0 0 X 0 0 0 X 0 0 0 X 0 0 0 X 0 0 0 X 0 0 0 X 0 0 0 X 0 0 0 X 0 0 0 X 0 0 0 X 0 0 0 X 0 0 0 X 0 0 0 X 0 0 0 X 0 0 0 X 0 0 0 X 0 0 0 X 0 0 0 X 0 0 0 X 0 0 0 X 0 0 0 X 908,874 0 160,581 X 379,518 0 93,920 X 304,596 0 74,818 DIRECTOR JAMES MATTHEWS 200 DIRECTOR URVASHI RANGAN 200 DIRECTOR JOSEPH MCGUIRE 200 DIRECTOR ALEC MCMILLAN 200 DIRECTOR SUSAN MILLER 200 DIRECTOR STEVE OKSALA 200 DIRECTOR WILLIAM RAISCH 200 DIRECTOR CLAIRE RAMSPECK 200 DIRECTOR BONNIE ROSE 200 DIRECTOR GREG SAUNDERS 200 DIRECTOR DAN ROLEY 200 DIRECTOR ALVIN SCOLNIK 200 DIRECTOR PARIS STAVRIANIDES 200 DIRECTOR ROBERT WILLIAMS 200 DIRECTOR JAMES THOMAS 200 DIRECTOR KATHLEEN THUNER 200 DIRECTOR JAMES TURNER 200 DIRECTOR ANDY UPDEGROVE 200 DIRECTOR RACHEL WEINTRAUB 200 DIRECTOR CYNTHIA WOODLEY 200 DIRECTOR DONALD WRIGHT 200 X DIRECTOR SARANJIT BHATIA 3500 PRESIDENT & CEO FRANCES SCHROTTER 3500 SENIOR VICE PRESIDENT PATRICIA GRIFFIN VP GENERAL COUNSEL 3500 Form 990, Part VII - Compensation of Officers, Directors,Trustees, Key Employees, Highest Compensate d Emp oyees, id an In d e !len d ent Contractors (A) Name and Title (8) Average hours per week (list any hours for related organizations below dotted line) (C) Position (do not check more than one box, unless person IS both an officer and a director/trustee) 0­ =::'::. -=' a C)~ 2 2 ...,,=' Q..~ ~§- ..." ....;;:: rp rr:­ (I' ~ A 2 ....oD (') ~ ;:;: - ~ Q.::;­ ::: ~~ ""0 ....5" oD°='0 [> [> [> ~ oDI :30:15 "='Q (D) Reportable compensation from the organization (W­ (E) Reportable compensation from related organizations (W­ 2/1099-MISC) 2/1099-MISC) ...J ol-' (F) Estimated amount of other compensation from the organization and related organizations ..." ...J u C!.. GARY KUSHNIER 3500 X 256,487 0 138,403 X 289,456 0 111,673 X 277,610 0 96,483 X 208,536 0 76,019 X 273,385 0 97,687 X 252,816 0 76,697 X 161,175 0 39,713 X 168,614 0 70,283 X 165,025 0 73,223 X 170,397 0 28,299 X 180,041 0 51,000 VP INTERNATIONAL POUCY LANE HALLENBECK 3500 VP CONFORMITY MARGARET JENSEN 3500 VP FINANCE & ADMIN SCOTT COOPER 3500 VP PUBUC POUCY AND GOVER GEORGE GULLA 3500 VP PUBUCATIONS MICHAEL PETOSA 3500 VP IT ROBERT HAGER 3500 SENIOR DIRECTOR PUBUSHING ROBERT RUSSOTTI 3500 DIRECTOR ONUNE MARKETING ANNE CALDAS 3500 SENIOR DIRECTOR PSA ROY SWIFT 3500 SENIOR PROGRAM DIRECTOR MARK BROWN DIRECTOR SALES 3500