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NTTAA–OMB A119 Training. The Who, What, Why, Where, When, and How of NTTAA and OMB A119 Requirements Presented By: Mary Donaldson and Mike Moore. Outline. Discuss background NTTAA OMB Circular A-119 NIST Standards Executive roles ICSP Define key terms Resources. - PowerPoint PPT Presentation
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NTTAA–OMB A119 Training
The Who, What, Why, Where, When, and How of NTTAA and
OMB A119 Requirements
Presented By:Mary Donaldson and Mike Moore
Outline Discuss background
• NTTAA• OMB Circular A-119• NIST • Standards Executive roles• ICSP
Define key terms Resources
The NTTAA and OMB Circular A-119
What are they and what do they require?
National Technology Transfer and Advancement Act (NTTAA) Directs Federal Agencies to use
consensus standards developed by consensus standards bodies
Encourages participation in voluntary consensus standards bodies when compatible with missions, authorities, etc.
Directs NIST to coordinate Federal standards and conformity assessment activities with those of the private sector
The NTTAA
An abbreviation for the National Technology Transfer and Advancement Act of 1995
Was signed into law March 7, 1996
Grew out DoD’s experience of relying more on voluntary consensus standards and less on Military Specifications (MIL SPECs)
NTTAA Modified the Following Existing Laws:
Stevenson-Wydler Technology Innovation Act of 1980 (15 U.S.C. 3710)
Bayh-Dole Act National Institute of Standards and Te
chnology Act (15 U.S.C. 271 et seq.) Fastener Quality Act (15 U.S.C. 5401)
NTTAA (continued)
The NTTAA brought civilian agencies into the practice of using private sector standards in place of government unique standards.
OMB Circular A-119 Federal Participation in the Development and Use of Voluntary Consensus Standards and in Conformity Assessment Activities
• Guides Federal agencies on the implementation of the NTTAA
• Establishes policies on Federal use and development of voluntary consensus standards and on conformity assessment activities
OMB Circular A-119 (continued)
Originally issued in 1982
Revised in 1998 to be consistent with and reinforce the National Technology Transfer and Advancement Act (NTTAA)
OMB Circular A-119 (continued)
Goals of the government’s use of voluntary consensus standards (VCS) are to:
Eliminate costs of developing in-house standards
Decrease cost of goods and services procured by the government
OMB Circular A-119 (continued)
Minimize burden of complying with agency regulation
Provide incentives/opportunities to establish standards that serve national needs
Encourage long-term growth for US enterprises
Promote efficiency and economic competition
Further the government’s policy of reliance upon the private sector to supply goods and services needed by the Federal government
General Agency Requirements
Use voluntary consensus standards (VCSs) in lieu of government-unique standards (GUSs) except where the use is inconsistent with law or otherwise impractical
Participate in standards bodies where appropriate to agency mission
Report on use of government-unique standards
Report on participation in the development and use of voluntary consensus standards
Participation in Standards Bodies
Agencies are directed to: Consult with voluntary consensus bodies,
both domestic and international
Participate in standards development when it is in the public interest and compatible with agency mission, authority, priorities and budget resources
Federal Standards Statistics Federal Agencies send more than 3000
representatives to participate in private sector standards organizations
Reported new uses of Government Unique Standards have steadily declined since the implementation of the NTTAA
NIST’s Roles Under the OMB Circular Include:
Provide Annual Reports to Congress through OMB to track progress on NTTAA and implementation of OMB Circular A-119
Chair the Interagency Committee on Standards Policy (ICSP) and provide secretariat function
Agency Support of VCS Activities
Must not be contingent on the outcome of the activity
Can be no greater than that of other participants except when it is in the direct and predominant interest of the government or development or revision is otherwise unlikely
Forms of support include participation of agency personnel, joint planning with SDOs to identify needed standards, or direct financial, administrative or technical assistance
Limitations on Agency Participation
Agencies must not:
Get involved in internal management issues
Dominate standards activities
Exert undue influence
Responsibilities of Agency Heads
Implement policies of the OMB Circular
Ensure agency compliance with NTTAA and the Circular
Appoint a Standards Executive to serve on the ICSP
Transmit information to NIST for the annual report to OMB
Standards Executive Responsibilities
Promote effective use of agency resources and participation
Promote development of appropriate agency positions on standards that are clearly defined, do not conflict with each other, are in the public interest, and are consistent with administrative policy
Assure agency participation consistent with agency mission, authority, goals and budget
SE Responsibilities (continued)
Assure that agency participants understand and accurately represent agency positions
Coordinate multi-agency committee participation
Assure that necessary internal policies are in place for managing standards use and participation
Cooperate with DoC/NIST in implementing the OMB Circular
SE Responsibilities (continued)
Prepare agency input to OMB report
Develop processes for ongoing review and update of agency standards use
Develop processes to ensure that participation is properly reviewed for compliance with applicable law
Serve as agency representative to the Interagency Committee on Standards Policy
Interagency Committee on Standards Policy (ICSP)
Consists of Standards Executives and their designated representatives
NIST has committee chair and secretariat roles
Typically meets 3 - 4 times per year Provides participants opportunities to share
agency experiences, expertise, standards management tools, etc.
Supports working groups
ICSP Responsibilities Encourages Federal agency use of
voluntary consensus standards
Encourages Federal agency participation in voluntary consensus standards activities
Considers agency views
Advises the Secretary of Commerce and agency heads on standards policy
DefinitionsClearing up some terms of
confusion
“Standard”The term “standard” or “technical standard” as cited in the
NTTAA, includesall of the following:
(1) Common and repeated use of rules, conditions, guidelines or characteristics for products or related processes and production methods, and related management systems practices(2) The definition of terms; classification of components; delineation of procedures; specification of dimensions, materials, performance, designs, or operations; measurement of quality and quantity in describing materials, processes, products, systems, services, or practices; test methods and sampling procedures; or descriptions of fit and measurements of size or strength
The term “standard” does not include the following: (1) Professional standards of personal conduct(2) Institutional codes of ethics
Voluntary Consensus Standard
For NTTAA purposes , a “voluntary consensusstandard (VCS)” is a standard developed or
adopted byvoluntary consensus standards bodies, both
domesticand international. These standards include
provisionsrequiring that owners of relevant intellectual
propertyhave agreed to make that intellectual property
availableon a non-discriminatory, royalty-free or
reasonableroyalty basis to all interested parties. For
purposes ofreporting, “technical standards that are
developed oradopted by voluntary consensus standard
bodies” is anequivalent term.
“Voluntary consensus standards bodies”
…are domestic or international organizations that plan, develop, establish, or
coordinate voluntary consensus standards using agreed-upon procedures.
For purposes of reporting, "voluntary, private sector, consensus standards
bodies," as cited in NTTAA, is an equivalent term. The NTTAA and the OMB
Circular encourage the participation of federal representatives in these bodies
to increase the likelihood that the standards they develop will meet both
public and private sector needs.
A voluntary consensus standards body is defined by the following attributes:
(i) openness,(ii) balance of interest,(iii) due process, and(vi) an appeals process.
“Government-unique standards”
The Government developsgovernment-unique
standards (GUS)for its own uses when, for
security oruniqueness of application, no
otherstandard is acceptable.
Examples include Military and
Federal Specifications, andindividual agency standards.
“Non-consensus standard”
“Non-consensus standards,” “industrystandards,” “company standards,” or
“de factostandards,” are standards that are
developed inthe private sector but not in the full
consensusprocess.
Non-government Standard (NGS)
Private Sector Standard
…a standardization document developed by a private
sector association, organization or technical society that
plans, develops, establishes or coordinates standards,
specifications, handbooks, or related documents.
How do VCS and NGS Compare? A voluntary consensus standard can only
originate from a private sector organization that follows the principles of consensus, openness, transparency, and due process.
A non-government standard can be a VCS but can also be a standard originating from other, non-consensus private sector organizations.
The OMB Circular “does not establish a preference among standards developed in the private sector.”
Federal Agency “Use” of Standards
The OMB definition for use is:• the incorporation of a standard in whole, in part,
or by reference for procurement purposes, and/or • the inclusion of a standard in whole, in part, or by
reference in regulations.
By this definition, other uses of standards such as in references in
citation notices, in internal agency guidelines or policies, or in
other non-procurement or non-regulatory documents are outside
the definition of the term for the purposes of Federal agency
reporting.
“in lieu of” Use of Standards
Quotes from the OMB Circular:• “In all cases, your agency has the discretion to
decline to use existing voluntary consensus standards if your agency determines that such standards are inconsistent with applicable law or otherwise impractical.”
• “The head of your agency must transmit to OMB, through NIST, an explanation of the reason(s) for using government-unique standards in lieu of voluntary consensus standards.”
• “If no voluntary consensus standard exists, your agency does not need to report its use of government-unique standards.”
Examples of Reportable Standards Uses
Reference to a standard in rules
Reference to a standard in a procurement action
Inclusion of a standard on an agency list of standards approved for use
Standards ActivitiesFor reporting purposes, standards activities include the participation of employees in voluntary consensus standards bodies.
Such activities must be authorized and include participating on a standards developing committee, or serving as an officer, director or trustee, as appropriate.
Why does my agency report?
Mandated by the Congress in the NTTAA and by OMB under OMB Circular A-119
To inform the Congress about your agency’s activities to conform with the mandates of the NTTAA
To measure and demonstrate the effectiveness of your agency’s efforts under the NTTAA
Who must report? Federal agencies that use voluntary
consensus standards in their regulatory or procurement activities
The Standards Executive of those agencies must submit their agency’s report to NIST
NIST must submit a final summary report to OMB
Federal agencies that reportDepartment of Agriculture
Department of Defense
Department of Commerce
Department of Education
Department of Energy
Department of Health and Human Services
Department of Homeland Security
Department of Housing and Urban Development
Department of the Interior
Department of Justice
Department of Labor
Department of State
Department of Transportation
Department of the Treasury
Department of Veterans Affairs
Federal Trade Commission
General Services Administration
International Trade Commission
Consumer Product Safety Commission
Environmental Protection Agency
Federal Communications Commission
National Aeronautics and Space Administration
National Archives and Records Administration
National Science Foundation
Nuclear Regulatory Commission
U.S. Agency for International Development
U.S. Government Printing Office (legislative liaison – nonvoting member)
U.S. Postal Service
When must my agency report?
According to the OMB Circular,
Agency reports are due to NIST no later than December 31 for the previous fiscal year
NIST must provide a summary report to OMB no later than January 31 for the previous fiscal year
Who reads the Annual Report?
The Secretary of Commerce sends the report to the Office of Management and Budget for further distribution to Congress and others that OMB determines may have an interest in it. NIST also posts the report on Standards.gov for public review and use.
Primary readers in Congress are staff of members of Congress serving on Committees related to the work of Federal agencies and their use of voluntary consensus standards in compliance with the NTTAA. However, each member of Congress receives a copy of the report.
In the public sector, standards developing organizations and other groups interested in the Federal government’s use of standards often read the report.
How does my agency report?
Reporting is accomplished via NIST’s electronic reporting system:
• Accessible at www.standards.gov • Facilitates input of agency information online • Data and information is captured in a database for reporting and analysis • Access is password protected
Standards Resources Standards.gov -
• Standards Executive contacts by Agency• Training Resources• ICSP meeting notes• Standards Incorporated by Reference
Database• Standards Related Laws, Policies and
Guidance• Annual Reports• NTTAA Library including resources for
federal standards executives