NTTAA–OMB A119 Training

1. 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

2. Outline • Discuss background • NTTAA • OMB Circular A-119 • NIST • Standards Executive roles • ICSP • Define key terms • Resources

3. The NTTAA and OMB Circular A-119 What are they and what do they require?

4. 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

5. 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)

6. 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 Technology Act (15 U.S.C. 271 et seq.) Fastener Quality Act (15 U.S.C. 5401)

7. NTTAA (continued) The NTTAA brought civilian agencies into the practice of using private sector standards in place of government unique standards.

8. 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

9. 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)

10. 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

11. 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

12. 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

13. 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

14. 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

15. 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

16. 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

17. Limitations on Agency Participation Agencies must not: Get involved in internal management issues Dominate standards activities Exert undue influence

18. 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

19. 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

20. 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

21. 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

22. 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

23. 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

24. Definitions Clearing up some terms of confusion

25. “Standard” The term “standard” or “technical standard” as cited in the NTTAA, includes all 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

26. Voluntary Consensus Standard For NTTAA purposes , a “voluntary consensus standard (VCS)” is a standard developed or adopted by voluntary consensus standards bodies, both domestic and international. These standards include provisions requiring that owners of relevant intellectual property have agreed to make that intellectual property available on a non-discriminatory, royalty-free or reasonable royalty basis to all interested parties. For purposes of reporting, “technical standards that are developed or adopted by voluntary consensus standard bodies” is an equivalent term.

27. “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.

28. “Government-unique standards” The Government develops government-unique standards (GUS) for its own uses when, for security or uniqueness of application, no other standard is acceptable. Examples include Military and Federal Specifications, and individual agency standards.

29. “Non-consensus standard” “Non-consensus standards,” “industry standards,” “company standards,” or “de facto standards,” are standards that are developed in the private sector but not in the full consensus process.

30. 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.

31. 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.”

32. 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.

33. “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.”

34. 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

35. 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.

36. 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

37. 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

38. Department 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 – non voting member) U.S. Postal Service Federal agencies that report

39. 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

40. 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.

41. 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

42. 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