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 Activities

For 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