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Circular A-119 -- Federal Participation in the Development and Use of Voluntary
Consensus Standards
CIRCULAR NO. A-119
Revised
February 10, 1998
MEMORANDUM FOR HEADS OF EXECUTIVE DEPARTMENTS AND AGENCIES
SUBJECT: Federal Participation in the Development and Use of Voluntary
Consensus Standards and in Conformity Assessment Activities
Revised OMB
CircularA-119 establishes policies on Federal use and development
of voluntary consensus standards and on conformity assessment activities.
Pub. L. 104-113, the "National Technology Transfer and Advancement
Act of 1995," codified existing policies in A-119, established reporting
requirements, and authorized the National Institute of Standards
and Technology to coordinate conformity assessment activities of
the agencies. OMB is issuing this revision of the Circular in order
to make the terminology of the Circular consistent with the National
Technology Transfer and Advancement Act of 1995, to issue guidance
to the agencies on making their reports to OMB, to direct the Secretary
of Commerce to issue policy guidance for conformity assessment,
and to make changes for clarity.
Franklin D. Raines
Director
Circular No. A-119
Revised
(Accompanying
Federal Register Materials - 2/10/98)
TO THE HEADS OF EXECUTIVE DEPARTMENTS AND ESTABLISHMENTS
SUBJECT: Federal Participation in the Development and Use of Voluntary
Consensus Standards and in Conformity Assessment Activities
TABLE
OF CONTENTS
BACKGROUND
1.
What Is The Purpose Of This Circular?
2. What Are The Goals Of The Government Using Voluntary
Consensus Standards?
DEFINITIONS
OF STANDARDS
3.
What Is A Standard?
4. What Are Voluntary, Consensus Standards?
a. Definition
of voluntary, consensus standard.
(1) Definition
of voluntary, consensus standards body.
b. Other types
of standards.
(1) Non-consensus
standards, industry standards, company standards, or de facto
standards.
(2) Government-unique standards.
(3) Standards mandated by law.
POLICY
5.
Who Does This Policy Apply To?
6. What Is The Policy For Federal Use Of Standards?
a. When must
my agency use voluntary consensus standards?
(1) Definition
of "Use."
(2) Definition of "Impractical."
b. What must
my agency do when such use is determined by my agency to be inconsistent
with applicable law or otherwise impractical?
c. How does this policy affect my agency's regulatory authorities
and responsibilities?
d. How does this policy affect my agency's procurement authority?
e. What are the goals of agency use of voluntary consensus standards?
f. What considerations should my agency make when it is considering
using a standard?
g. Does this policy establish a preference between consensus and
non-consensus standards that are developed in the private sector?
h. Does this policy establish a preference between domestic and
international voluntary consensus standards?
i. Should my agency give preference to performance standards?
j. How should my agency reference voluntary consensus standards?
k. What if no voluntary consensus standard exists?
l. How may my agency identify voluntary consensus standards?
7.
What Is The Policy For Federal Participation In Voluntary Consensus
Standards Bodies?
a. What are
the purposes of agency participation?
b. What are the general principles that apply to agency support?
c. What forms of support may my agency provide?
d. Must agency participants be authorized?
e. Does agency participation indicate endorsement of any decisions
reached by voluntary consensus standards bodies?
f. Do agency representatives participate equally with other members?
g. Are there any limitations on participation by agency representatives?
h. Are there any limits on the number of federal participants in
voluntary consensus standards bodies?
i. Is there anything else agency representatives should know?
j. What if a voluntary consensus standards body is likely to develop
an acceptable, needed standard in a timely fashion?
8.
What Is The Policy On Conformity Assessment?
MANAGEMENT
AND REPORTING OF STANDARDS USE
9.
What Is My Agency Required To Report?
10. How Does My Agency Manage And Report On Its Development
and Use Of Standards?
11. What Are The Procedures For Reporting My Agency's
Use Of Standards In Regulations?
12. What Are The Procedures For Reporting My Agency's
Use Of Standards In Procurements?
a. How does
my agency report the use of standards in procurements on a categorical
basis?
b. How does my agency report the use of standards in procurements
on a transaction basis?
AGENCY RESPONSIBILITIES
13.
What Are The Responsibilities Of The Secretary Of Commerce?
14. What Are The Responsibilities Of The Heads Of
Agencies?
15. What Are The Responsibilities Of Agency Standards
Executives?
SUPPLEMENTARY
INFORMATION
16.
When Will This Circular Be Reviewed?
17. What Is The Legal Effect Of This Circular?
18. Do You Have Further Questions?
BACKGROUND
1.
What Is The Purpose Of This Circular?
This Circular establishes policies to improve the internal management
of the Executive Branch. Consistent with Section 12(d) of P.L. 104-113,
the "National Technology Transfer and Advancement Act of 1995"
(hereinafter "the Act"), this Circular directs agencies
to use voluntary consensus standards in lieu of government-unique
standards except where inconsistent with law or otherwise impractical.
It also provides guidance for agencies participating in voluntary
consensus standards bodies and describes procedures for satisfying
the reporting requirements in the Act. The policies in this Circular
are intended to reduce to a minimum the reliance by agencies on
government-unique standards. These policies do not create the bases
for discrimination in agency procurement or regulatory activities
among standards developed in the private sector, whether or not
they are developed by voluntary consensus standards bodies. Consistent
with Section 12(b) of the Act, this Circular directs the Secretary
of Commerce to issue guidance to the agencies in order to coordinate
conformity assessment activities. This Circular replaces OMB Circular
No. A-119, dated October 20, 1993.
2. What Are The Goals Of The Government
In Using Voluntary Consensus Standards?
Many voluntary consensus standards are appropriate or adaptable
for the Government's purposes. The use of such standards, whenever
practicable and appropriate, is intended to achieve the following
goals:
a. Eliminate the cost to the Government of developing its own standards
and decrease the cost of goods procured and the burden of complying
with agency regulation.
b. Provide
incentives and opportunities to establish standards that serve national
needs.
c. Encourage long-term growth for U.S. enterprises andpromote efficiency
and economic competition through harmonization of standards.
d. Further the policy of reliance upon the private sector to supply
Government needs for goods and services.
WHAT
DEFINITIONS OF STANDARDS
3.
What Is A Standard?
a. The term "standard," or "technical standard"
as cited in the Act, 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.
b. The term
"standard" does not include the following:
(1) Professional standards of personal conduct.
(2) Institutional codes of ethics.
c. "Performance
standard" is a standard as defined above that states requirements
in terms of required results with criteria for verifying compliance
but without stating the methods for achieving required results.
A performance standard may define the functional requirements for
the item, operational requirements, and/or interface and interchangeability
characteristics. A performance standard may be viewed in juxtaposition
to a prescriptive standard which may specify design requirements,
such as materials to be used, how a requirement is to be achieved,
or how an item is to be fabricated or constructed.
d. "Non-government standard" is a standard as defined
above that is in the form of a standardization document developed
by a private sector association, organization or technical society
which plans, develops, establishes or coordinates standards, specifications,
handbooks, or related documents.
4.
What Are Voluntary, Consensus Standards?
a. For purposes of this policy, "voluntary consensus standards"
are standards 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 this Circular, "technical standards that are
developed or adopted by voluntary consensus standard bodies"
is an equivalent term.
(1) "Voluntary consensus standards bodies" are domestic
or international organizations which plan, develop, establish, or
coordinate voluntary consensus standards using
agreed-upon procedures. For purposes of this Circular, "voluntary,
private sector, consensus standards bodies," as cited in Act,
is an equivalent term. The Act and the 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.
(vi) An appeals process.
(v) Consensus, which is defined as general agreement, but not necessarily
unanimity, and includes a process for attempting to resolve objections
by interested parties, as long as all comments have been fairly
considered, each objector is advised of the disposition of his or
her objection(s) and the reasons why, and the consensus body members
are given an opportunity to change their votes after reviewing the
comments.
b. Other types of standards, which are distinct from voluntary consensus
standards, are the following:
(1) "Non-consensus
standards," "Industry standards," "Company standards,"
or "de facto standards," which are developed in the private
sector but not in the full consensus process.
(2) "Government-unique standards," which are developed
by the government for its own uses.
(3) Standards mandated by law, such as those contained in the United
States Pharmacopeia and the National Formulary, as referenced in
21 U.S.C. 351.
POLICY
5.
Who Does This Policy Apply To?
This Circular applies to all agencies and agency employees who use
standards and participate in voluntary consensus standards
activities, domestic and international, except for activities carried
out pursuant to treaties. "Agency" means any executive
department, independent commission, board, bureau, office, agency,
Government-owned or controlled corporation or other establishment
of the Federal Government. It also includes any regulatory commission
or board, except for independent regulatory commissions insofar
as they are subject to separate statutory requirements regarding
the use of voluntary consensus standards. It does not include the
legislative or judicial branches of the Federal Government.
6.
What Is The Policy For Federal Use Of Standards?
All federal agencies must use voluntary consensus standards in lieu
of government-unique standards in their procurement and regulatory
activities, except where inconsistent with law or otherwise impractical.
In these circumstances, your agency must submit a report describing
the reason(s) for its use of government-unique standards in lieu
of voluntary consensus standards to the Office of Management and
Budget (OMB) through the National Institute of Standards and Technology
(NIST).
a. When
must my agency use voluntary consensus standards?
Your agency must use voluntary consensus standards, both domestic
and international, in its regulatory and procurement activities
in lieu of government-unique standards, unless use of such standards
would be inconsistent with applicable law or otherwise impractical.
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.
(1) "Use" means incorporation of a standard in
whole, in part, or by reference for procurement purposes, and
the inclusion of a standard in whole, in part, or by reference
in regulation(s).
(2) "Impractical" includes circumstances in which such
use would fail to serve the agency's program needs; would be infeasible;
would be inadequate, ineffectual, inefficient, or inconsistent with
agency mission; or would impose more burdens, or would be less useful,
than the use of another standard.
b. What
must my agency do when such use is determined by my agency to be
inconsistent with applicable law or otherwise impractical?
The head of
your agency must transmit to the Office of Management and Budget
(OMB), through the National Institute of Standards and Technology
(NIST), an explanation of the reason(s) for using government-unique
standards in lieu of voluntary consensus standards. For more information
on reporting, see section 9.
c. How does this policy affect my agency's regulatory authorities
and responsibilities?
This policy does not preempt or restrict agencies' authorities and
responsibilities to make regulatory decisions authorized by statute.
Such regulatory authorities and responsibilities include determining
the level of acceptable risk; setting the level of protection; and
balancing risk, cost, and availability of technology in establishing
regulatory standards. However, to determine whether established
regulatory limits or targets have been met, agencies should use
voluntary consensus standards for test methods, sampling procedures,
or protocols.
d. How does this policy affect my agency's procurement authority?
This policy does not preempt or restrict agencies' authorities and
responsibilities to identify the capabilities that they need to
obtain through procurements. Rather, this policy limits an agency's
authority to pursue an identified capability through reliance on
a government-unique standard when a voluntary consensus standard
exists (see Section 6a).
e. What
are the goals of agency use of voluntary consensus standards?
Agencies should recognize the positive contribution of standards
development and related activities. When properly conducted, standards
development can increase productivity and efficiency in Government
and industry, expand opportunities for international trade, conserve
resources, improve health and safety, and protect the environment.
f. What considerations should my agency make when it is
considering using a standard?
When considering using a standard, your agency should take full
account of the effect of using the standard on the economy, and
of applicable federal laws and policies, including laws and regulations
relating to antitrust, national security, small business, product
safety, environment, metrication, technology development, and conflicts
of interest. Your agency should also recognize that use of standards,
if improperly conducted, can suppress free and fair competition;
impede innovation and technical progress; exclude safer or less
expensive products; or otherwise adversely affect trade, commerce,
health, or safety. If your agency is proposing to incorporate a
standard into a proposed or final rulemaking, your agency must comply
with the "Principles of Regulation" (enumerated in Section
1(b)) and with the other analytical requirements of Executive Order
12866, "Regulatory Planning and Review."
g. Does
this policy establish a preference between consensus and non-consensus
standards that are developed in the private sector?
This policy does not establish a preference among standards developed
in the private sector. Specifically, agencies that promulgate regulations
referencing non-consensus standards developed in the private sector
are not required to report on these actions, and agencies that procure
products or services based on non-consensus standards are not required
to report on such procurements. For example, this policy allows
agencies to select a non-consensus standard developed in the private
sector as a means of establishing testing methods in a regulation
and to choose among commercial-off-the-shelf products, regardless
of whether the underlying standards are developed by voluntary consensus
standards bodies or not.
h. Does this policy establish a preference between domestic
and international voluntary consensus standards?
This policy
does not establish a preference between domestic and international
voluntary consensus standards. However, in the interests of promoting
trade and implementing the provisions of international treaty agreements,
your agency should consider international standards in procurement
and regulatory applications.
i. Should
my agency give preference to performance standards?
In using voluntary
consensus standards, your agency should give preference to performance
standards when such standards may reasonably be used in lieu of
prescriptive standards.
j. How
should my agency reference voluntary consensus standards?
Your agency should reference voluntary consensus standards, along
with sources of availability, in appropriate publications, regulatory
orders, and related internal documents. In regulations, the reference
must include the date of issuance. For all other uses, your agency
must determine the most appropriate form of reference, which may
exclude the date of issuance as long as users are elsewhere directed
to the latest issue. If a voluntary standard is used and published
in an agency document, your agency must observe and protect the
rights of the copyright holder and any other similar obligations.
k. What if no voluntary consensus standard exists?
In cases where no voluntary consensus standards exist, an agency
may use government-unique standards (in addition to other standards,
see Section 6g) and is not required to file a report on its use
of government-unique standards. As explained above (see Section
6a), an agency may use government-unique standards in lieu of voluntary
consensus standards if the use of such standards would be inconsistent
with applicable law or otherwise impractical; in such cases, the
agency must file a report under Section 9a regarding its use of
government-unique standards.
l. How may my agency identify voluntary consensus standards?
Your agency may identify voluntary consensus standards through databases
of standards maintained by the National Institute of Standards and
Technology (NIST), or by other organizations including voluntary
consensus standards bodies, other federal agencies, or standards
publishing companies.
7. What Is The Policy For
Federal Participation In Voluntary Consensus Standards Bodies?
Agencies must
consult with voluntary consensus standards bodies, both domestic
and international, and must participate with such bodies in the
development of voluntary consensus standards when consultation and
participation is in the public interest and is compatible with their
missions, authorities, priorities, and budget resources.
a. What are the purposes of agency participation?
Agency representatives should participate in voluntary consensus
standards activities in order to accomplish the following purposes:
(1) Eliminate
the necessity for development or maintenance of separate Government-unique
standards.
(2) Further such national goals and objectives as increased use
of the metric system of measurement; use of environmentally sound
and energy efficient materials, products, systems, services, or
practices; and improvement of public health and safety.
b. What are the general principles that apply to agency
support?
Agency support
provided to a voluntary consensus standards activity must be limited
to that which clearly furthers agency and departmental missions,
authorities, priorities, and is consistent with budget resources.
Agency support must not be contingent upon the outcome of the standards
activity. Normally, the total amount of federal support should be
no greater than that of other participants in that activity, except
when it is in the direct and predominant interest of the Government
to develop or revise a standard, and its timely development or revision
appears unlikely in the absence of such support.
c. What
forms of support may my agency provide?
The form of agency support, may include the following:
(1) Direct financial support; e.g., grants, memberships, and contracts.
(2) Administrative
support; e.g., travel costs, hosting of meetings, and secretarial
functions.
(3) Technical support; e.g., cooperative testing for standards evaluation
and participation of agency personnel in the activities of voluntary
consensus standards bodies.
(4) Joint planning with voluntary consensus standards bodies to
promote the identification and development of needed standards.
(5) Participation
of agency personnel.
d. Must agency participants be authorized?
Agency employees who, at Government expense, participate in standards
activities of voluntary consensus standards bodies on behalf of
the agency must do so as specifically authorized agency representatives.
Agency support for, and participation by agency personnel in, voluntary
consensus standards bodies must be in compliance with applicable
laws and regulations. For example, agency support is subject to
legal and budgetary authority and availability of funds. Similarly,
participation by agency employees (whether or not on behalf of the
agency) in the activities of voluntary consensus standards bodies
is subject to the laws and regulations that apply to participation
by federal employees in the activities of outside organizations.
While we anticipate that participation in a committee that is developing
a standard would generally not raise significant issues, participation
as an officer, director, or trustee of an organization would raise
more significant issues. An agency should involve its agency ethics
officer, as appropriate, before authorizing support for or participation
in a voluntary consensus standards body.
e. Does agency participation indicate endorsement of any
decisions reached by voluntary consensus standards bodies?
Agency participation in voluntary consensus standards bodies does
not necessarily connote agency agreement with, or endorsement of,
decisions reached by such organizations.
f. Do
agency representatives participate equally with other members?
Agency representatives
serving as members of voluntary consensus standards bodies should
participate actively and on an equal basis with other members, consistent
with the procedures of those bodies, particularly in matters such
as establishing priorities, developing procedures for preparing,
reviewing, and approving standards, and developing or adopting
new standards. Active participation includes full involvement in
discussions and technical debates, registering of opinions and,
if selected, serving as chairpersons or in other official capacities.
Agency representatives may vote, in accordance with the procedures
of the voluntary consensus standards body, at each stage of the
standards development process unless prohibited from doing so by
law or their agencies.
g. Are
there any limitations on participation by agency representatives?
In order to
maintain the independence of voluntary consensus standards bodies,
agency representatives must refrain from involvement in the internal
management of such organizations (e.g., selection of salaried officers
and employees, establishment of staff salaries, and administrative
policies). Agency representatives must not dominate such bodies,
and in any case are bound by voluntary consensus standards bodies'
rules and procedures, including those regarding domination of proceedings
by any individual. Regardless, such agency employees must avoid
the practice or the appearance of undue influence relating to their
agency representation and activities in voluntary consensus standards
bodies.
h. Are
there any limits on the number of federal participants in voluntary
consensus standards bodies?
The number
of individual agency participants in a given voluntary standards
activity should be kept to the minimum required for effective representation
of the various program, technical, or other concerns of federal
agencies.
i. Is
there anything else agency representatives should know?
This Circular
does not provide guidance concerning the internal operating procedures
that may be applicable to voluntary consensus standards
bodies because of their relationships to agencies under this Circular.
Agencies should, however, carefully consider what laws or rules
may apply in a particular instance because of these relationships.
For example, these relationships may involve the Federal Advisory
Committee Act, as amended (5 U.S.C. App. I), or a provision of an
authorizing statute for a particular agency.
j. What if a voluntary consensus standards body is likely
to develop an acceptable, needed standard in a timely fashion?
If a voluntary consensus standards body is in the process of developing
or adopting a voluntary consensus standard that would likely be
lawful and practical for an agency to use, and would likely be developed
or adopted on a timely basis, an agency should not be developing
its own government-unique standard and instead should be participating
in the activities of the voluntary consensus standards body.
8. What Is The Policy On Conformity Assessment?
Section 12(b) of the Act requires NIST to coordinate Federal, State,
and local standards activities and conformity assessment activities
with private sector standards activities and conformity assessment
activities, with the goal of eliminating unnecessary duplication
and complexity in the development and promulgation of conformity
assessment requirements and measures. To ensure effective coordination,
the Secretary of Commerce must issue guidance to the agencies.
MANAGEMENT
AND REPORTING OF STANDARDS USE
9.
What Is My Agency Required to Report?
a. As required
by the Act, your agency must report to NIST, no later than December
31 of each year, the decisions by your agency in the previous fiscal
year to use 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.
(In addition, an agency is not required to report on its use of
other standards. See Section 6g.) Your agency must include an explanation
of the reason(s) why use of such voluntary consensus standard would
be inconsistent with applicable law or otherwise impractical, as
described in Sections 11b(2), 12a(3), and 12b(2) of this Circular.
Your agency must report in accordance with format instructions issued
by NIST.
b. Your agency must report to NIST, no later than December 31 of
each year, information on the nature and extent of agency participation
in the development and use of voluntary consensus standards from
the previous fiscal year. Your agency must report in accordance
with format instructions issued by NIST. Such reporting must include
the following:
(1) The number of voluntary consensus standards bodies in which
there is agency participation, as well as the number of agency employees
participating.
(2) The number of voluntary consensus standards the agency has
used since the last report, based on the procedures set forth
in sections 11 and 12 of this Circular.
(3) Identification
of voluntary consensus standards that have been substituted for
government-unique standards as a result of an agency review under
section 15b(7) of this Circular.
(4) An evaluation of the effectiveness of this policy and recommendations
for any changes.
c. No later than the following January 31, NIST must transmit to
OMB a summary report of the information received.
10.
How Does My Agency Manage And Report Its Development and
Use Of Standards?
Your agency
must establish a process to identify, manage, and review your agency's
development and use of standards. At minimum, your agency must have
the ability to (1) report to OMB through NIST on the agency's use
of government-unique standards in lieu of voluntary consensus standards,
along with an explanation of the reasons for such non-usage, as
described in section 9a, and (2) report on your agency's participation
in the development and use of voluntary consensus standards, as
described in section 9b. This policy establishes two ways, category
based reporting and transaction based reporting, for agencies to
manage and report their use of standards. Your agency must report
all uses of standards in one or both ways.
11.
What Are The Procedures For Reporting My Agency's Use Of
Standards In Regulations?
Your agency
should use transaction based reporting if your agency issues regulations
that use or reference standards. If your agency is issuing or revising
a regulation that contains a standard, your agency must follow these
procedures:
a. Publish
a request for comment within the preamble of a Notice of Proposed
Rulemaking (NPRM) or Interim Final Rule (IFR). Such request must
provide the appropriate information, as follows:
(1) When your
agency is proposing to use a voluntary consensus standard, provide
a statement which identifies such standard.
(2) When your
agency is proposing to use a government-unique standard in lieu
of a voluntary consensus standard, provide a statement which identifies
such standards and provides a preliminary explanation for the proposed
use of a government-unique standard in lieu of a voluntary consensus
standard.
(3) When your
agency is proposing to use a government-unique standard, and no
voluntary consensus standard has been identified, a statement to
that effect and an invitation to identify any such standard and
to explain why such standard should be used.
b. Publish
a discussion in the preamble of a Final Rulemaking that restates
the statement in the NPRM or IFR, acknowledges and summarizes any
comments received and responds to them, and explains the agency's
final decision. This discussion must provide the appropriate information,
as follows:
(1) When a voluntary consensus standard is being used, provide a
statement that identifies such standard and any alternative voluntary
consensus standards which have been identified.
(2) When a
government-unique standard is being used in lieu of a voluntary
consensus standard, provide a statement that identifies the standards
and explains why using the voluntary consensus standard would be
inconsistent with applicable law or otherwise impractical. Such
explanation must be transmitted in accordance with the requirements
of Section 9a.
(3) When a government-unique standard is being used, and no voluntary
consensus standard has been identified, provide a statement to that
effect.
12.
What Are The Procedures For Reporting My Agency's Use Of
Standards In Procurements?
To identify, manage, and review the standards used in your agency's
procurements, your agency must either report on a categorical basis
or on a transaction basis.
a. How does my agency report the use of standards in procurements
on a categorical basis?
Your agency must report on a category basis when your agency identifies,
manages, and reviews the use of standards by group or category.
Category based reporting is especially useful when your agency either
conducts large procurements or large numbers of procurements using
government-unique standards, or is involved in long-term procurement
contracts which require replacement parts based on government-unique
standards. To report use of government-unique standards on a categorical
basis, your agency must:
(1) Maintain a centralized standards management system that identifies
how your agency uses both government-unique and voluntary consensus
standards.
(2) Systematically
review your agency's use of government-unique standards for conversion
to voluntary consensus standards.
(3) Maintain
records on the groups or categories in which your agency uses government-unique
standards in lieu of voluntary consensus standards, including an
explanation of the reasons for such use, which must be transmitted
according to Section 9a.
(4) Enable potential offerors to suggest voluntary consensus standards
that can replace government-unique standards.
b. How
does my agency report the use of standards in procurements on a
transaction basis?
Your agency should report on a transaction basis when your agency
identifies, manages, and reviews the use of standards on a transaction
basis rather than a category basis. Transaction based reporting
is especially useful when your agency conducts procurement mostly
through commercial products and services, but is occasionally involved
in a procurement involving government-unique standards. To report
use of government-unique standards on a transaction basis, your
agency must follow the following procedures:
(1) In each solicitation which references government-unique standards,
the solicitation must:
(i) Identify such standards.
(ii) Provide potential offerors an opportunity to suggest alternative
voluntary consensus standards that meet the agency's requirements.
(2) If such suggestions are made and the agency decides to use government-unique
standards in lieu of voluntary consensus standards, the agency must
explain in its report to OMB as described in Section 9a why using
such voluntary consensus standards is inconsistent with applicable
law or otherwise impractical.
c. For those solicitations that are for commercial-off-the-shelf
products (COTS), or for products or services that rely on voluntary
consensus standards or non-consensus standards developed in the
private sector, or for products that otherwise do not rely on government-unique
standards, the requirements in this section do not apply.
AGENCY
RESPONSIBILITIES
13.
What Are The Responsibilities Of The Secretary Of Commerce?
The Secretary of Commerce:
a. Coordinates and fosters executive branch implementation of this
Circular and, as appropriate, provides administrative guidance to
assist agencies in implementing this Circular including guidance
on identifying voluntary consensus standards bodies and voluntary
consensus standards.
b. Sponsors and supports the Interagency Committee on Standards
Policy (ICSP), chaired by the National Institute of Standards and
Technology, which considers agency views and advises the Secretary
and agency heads on the Circular.
c. Reports to the Director of OMB concerning the implementation
of the policy provisions of this Circular.
d. Establishes procedures for agencies to use when developing
directories described in Section 15b(5) and establish procedures
to make these directories available to the public.
e. Issues guidance to the agencies to improve coordination on conformity
assessment in accordance with section 8.
14.
What Are The Responsibilities Of The Heads Of Agencies?
The Heads of Agencies:
a. Implement the policies of this Circular in accordance with procedures
described.
b. Ensure agency compliance with the policies of the Circular.
c. In the case of an agency with significant interest in the use
of standards, designate a senior level official as the Standards
Executive who will be responsible for the agency's implementation
of this Circular and who will represent the agency on the ICSP.
d. Transmit
the annual report prepared by the Agency Standards Executive as
described in Sections 9 and 15b(6).
15. What Are The Responsibilities Of Agency
Standards Executives?
An Agency Standards
Executive:
a. Promotes the following goals:
(1) Effective
use of agency resources and participation.
(2) The development
of agency positions that are in the public interest and that do
not conflict with each other.
(3) The development of agency positions that are consistent with
administration policy.
(4) The development of agency technical and policy positions that
are clearly defined and known in advance to all federal participants
on a given committee.
b. Coordinates his or her agency's participation in voluntary consensus
standards bodies by:
(1) Establishing
procedures to ensure that agency representatives who participate
in voluntary consensus standards bodies will, to the extent possible,
ascertain the views of the agency on matters of paramount interest
and will, at a minimum, express views that are not inconsistent
or in conflict with established agency views.
(2) To the
extent possible, ensuring that the agency's participation in voluntary
consensus standards bodies is consistent with agency missions, authorities,
priorities, and budget resources.
(3) Ensuring, when two or more agencies participate in a given voluntary
consensus standards activity, that they coordinate their views on
matters of paramount importance so as to present, whenever feasible,
a single, unified position and, where not feasible, a mutual recognition
of differences.
(4) Cooperating with the Secretary in carrying out his or her responsibilities
under this Circular.
(5) Consulting with the Secretary, as necessary, in the development
and issuance of internal agency procedures and guidance implementing
this Circular, including the development and implementation of an
agency-wide directory identifying agency employees participating
in voluntary consensus standards bodies and the identification of
voluntary consensus standards bodies.
(6) Preparing, as described in Section 9, a report on uses of government-unique
standards in lieu of voluntary consensus standards and a report
on the status of agency standards policy activities.
(7) Establishing a process for ongoing review of the agency's use
of standards for purposes of updating such use.
(8) Coordinating
with appropriate agency offices (e.g., budget and legal offices)
to ensure that effective processes exist for the review of proposed
agency support for, and participation in, voluntary consensus standards
bodies, so that agency support and participation will comply with
applicable laws and regulations.
SUPPLEMENTARY
INFORMATION
16.
When Will This Circular Be Reviewed?
This Circular will be reviewed for effectiveness by the OMB three
years from the date of issuance.
17.
What Is The Legal Effect Of This Circular?
Authority for this Circular is based on 31 U.S.C. 1111, which gives
OMB broad authority to establish policies for the improved management
of the Executive Branch. This Circular is intended to implement
Section 12(d) of P.L. 104-113 and to establish policies that will
improve the internal management of the Executive Branch. This Circular
is not intended to create delay in the administrative process, provide
new grounds for judicial review, or create new rights or benefits,
substantive or procedural, enforceable at law or equity by a party
against the United States, its agencies or instrumentalities, or
its officers or employees.
18. Do You Have Further Questions?
For information
concerning this Circular, contact the Office of Management and Budget,
Office of Information and Regulatory Affairs: Telephone 202/395-3785.
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