OASD SD-9-2005 DOD GUIDANCE ON PARTICIPATION IN THE DEVELOPMENT AND USE OF NON-GOVERNMENT STANDARDS《国防部指导参与非政府标准的发展和使用》.pdf

1、SD-9Defense Standardization Program9 March 2005DoDGuidance onParticipationin theDevelopment andUseof Non-Government StandardsSD_9_v2.qxd 3/11/05 4:01 PM Page 1Source: http:/assist.daps.dla.mil - Downloaded: 2005-03-17T15:43ZCheck the source to verify that this is the current version before use.Provi

2、ded by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-C o n t e n t sBackground2Purpose2History 3Federal Policy 3DoD Policy 5NGS Environment6What Is a Standard?6What Is a Voluntary ConsensusStandard? 6What Is an NGS?7What Is a Consortia Standard?7Due Process 8N

3、 o n - G ov e rnment S t a n d ards Bodies10Types of Non-GovernmentStandards Bodies10Trade Associations1Professional Societies1Standards DevelopingOrganizations12Testing and LaboratoryOrganizations12Industry Consortia13American National Standards Institute14Non-U.S.StandardsOrganizations14Internatio

4、nal StandardsOrganizations15DoD Participation in NGSBs18Guidance for DoD Representatives to NGSBs19Criteria for Participation19General Responsibilities20Participants Responsibilities21Funding Participation26Organizational Membership26DoD Support to an NGSB27Adopting an NGS28What Is Adoption?28Advant

5、ages of Adoption28Adoption Criteria28Adopting Activity Responsibilities29Replacing Government Documents with NGSs30Inactivation or Cancellation30Qualification and NGSAdoption30AppendixNon-GovernmentStandards Bodies32SD_9_v2.qxd 3/11/05 4:02 PM Page 2Source: http:/assist.daps.dla.mil - Downloaded: 20

6、05-03-17T15:43ZCheck the source to verify that this is the current version before use.Provided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-d s p. d l a . m i l1Congress passed the National Technology Transfer and Advancement Act of 1995to promote the comm

7、ercialization of technology and industrial innovation.TheAct requires all federal agencies and departments to use technical standards thatare developed or adopted by voluntary consensus standards bodies,unless suchuse is impractical or inconsistent with law.To implement this Act,the Office ofManagem

8、ent and Budget issued Circular A-119,“Federal Participation in theDevelopment and Use ofVoluntary Consensus Standards and in ConformityAssessment Activities”(February 1998).The Circular reiterates the Acts require-ments for the use of voluntary standards and provides guidance to promote con-sistent

9、application of the Act across federal agencies and departments.It is Department of Defense (DoD) policy to participate in the development ofn o n - G ove rnment standards (NGSs) and to adopt and use them to the extent feasi-bl e,p r a c t i c a l ,and economical.DoD 4120.24-M,Defense Standardization

10、 Progra mPolicies and Procedures,re q u i res that DoD first consider using an existing NGS ors u p p o rt revising or developing an NGS to meet DoD needs,in pre f e rence to usingm i l i t a ry or federal documents whenever feasible and consistent with law and re g u-l a t i o n .The use of NGSs su

11、pports the DoD commercial acquisition goals,c o n s e rve sDoD re s o u rc e s ,s u p p o rts the U. S.i n d u s t rial base,a l l ows for dual-use technolog y,and improves DoDs mobilization capabilities.In recent ye a rs ,dramatic changes brought on by acquisition re f o rm ,the grow i n gnumber of

12、 consortia standard s ,the emphasis in industry for global standards to sup-p o rt global marke t s ,and expanded development and use of third - p a rty cert i f i c a t i o nand qualification have raised questions about DoD participation in the deve l o p-ment and use of NGSs.This document provides

13、 a better understanding of DoDsNGS policies and pro c e d u res and addresses the most commonly asked questions.If you have any questions or comments about this document or DoDs NGSpolicies,please contact the Defense Standardization Program Office,8725 John J.Kingman Road,ATTN:J-307,Stop 6233,Fort B

14、elvoir,VA 22060-6221 or e-mailDSPOdla.mil.Gregory E.SaundersDirectorDefense Standardization Program OfficeF o re wo rdSD_9_v2.qxd 3/11/05 4:02 PM Page 3Source: http:/assist.daps.dla.mil - Downloaded: 2005-03-17T15:43ZCheck the source to verify that this is the current version before use.Provided by

15、IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-B a c k g ro u n dPurposeThe purpose of this document is to promote more effective DoD use of NGSs andparticipation in their development.To achieve this purpose,this documentDescribes the different types of NGSs an

16、d the organizations that develop them,Provides general guidance and practices relative to DoDs involvement in devel-oping or using NGSs,Identifies criteria that should be considered regarding requirements and verifica-tion before developing an NGS or replacing an existing military or federal docu-me

17、nt with an NGS,Clarifies the roles and responsibilities of DoD personnel when participating inNGS activities,andExplains the meaning of DoD adoption of an NGS and its importance.This document provides guidance to three key stakeholders:DoD participants (and their management),so that they may have a

18、more thor-ough understanding of non-Government standards bodies (NGSBs),and theirroles and responsibilities as participants in NGSB activitiesNGSBs,so that they might better understand DoDs practices and policies,espe-cially related to the DoD NGS adoption process.NGSBs will gain understandingof the

19、 Defense Standardization Program (DSP) and learn how to interface withDoD in the development,adoption,and use of NGSsDefense industry and individual firms involved in standards development activi-ties,so that they may consider the DoD market in their application of researchand development (Rclassifi

20、cation of components;delineationof procedures;specification of dimensions,materials,performance,designs,or opera-tions;measurement of quality or quantity in describing materials,processes,products,systems,services,or practices;test methods and sampling procedures;or descriptions offit and measuremen

21、ts of size or strength.”What Is a Voluntary Consensus Standard?Voluntary consensus standards are developed or adopted by domestic and internationalNGSBs in compliance with practices and procedures that include provisions requiringthe owners of relevant intellectual property agree to make their intel

22、lectual propertyavailable on a nondiscriminatory and royalty-free (or for a reasonable royalty) basis toall interested parties.The following standards are not voluntary consensus standards:Industry standards,company standards,de factostandards,or other standards devel-oped in the private sector but

23、not through the full consensus processGovernment-unique standards,which are developed by the Government for itsown uses but not through the full consensus processStandards mandated by law.While the term“voluntary consensus standard”is widely used among standardsdeveloping organizations,industry,and

24、Government,the term has caused confusionand even created some resistance to their use.The term“voluntary”means the decisionto use it is voluntary and it is voluntarily developed.However,once a voluntary con-sensus standard is placed on contract,cited as a requirement,or required by law or reg-S D -

25、96SD_9_v2.qxd 3/11/05 4:04 PM Page 8Source: http:/assist.daps.dla.mil - Downloaded: 2005-03-17T15:43ZCheck the source to verify that this is the current version before use.Provided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-d s p. d l a . m i l7ulation,c

26、ompliance is mandatory,not voluntary.Even the term“consensus”has lead tothe misperception that 100 percent agreement is required before a standard isapproved.Consensus is defined differently by standards developers,but it is usuallymore than 60 percent and less than unanimity.What Is an NGS?An NGS i

27、s a standard developed by a private-sector organization that plans,develops,establishes,or coordinates standards,specifications,handbooks,or related documents.NGSBs include professional,scientific,and engineering societies;dedicated standardsbodies;trade associations;consortia;and international stan

28、dards bodies.The Depart-ment prefers to use the term“non-Government standard”instead of voluntary consen-sus standard,partly to avoid the confusion noted above,but also because it is a broaderterm which includes consortia standards.As with voluntary consensus standards,NGSsdo not include company sta

29、ndards or de factostandards.What Is a Consortia Standard?Consortia standards are developed by companies or organizations which share similarstrategic standardization goals,need to develop standards quickly to meet marketdemand,or are trying to harmonize or differentiate requirements in a specific in

30、dustry.In 1990,there were comparatively few consortia standards;however,as time progresses,thousands more documents are being created,particularly in the information technolo-gy area.There is discussion in some federal agencies concerning the permissibility of usingconsortia standards and whether OM

31、B Circular A-119 authorizes their use.While theCircular does not specifically address consortia standards,it clearly authorizes their useand gives them preference to Government standards.The Circular states,“This policydoes not establish a preference among standards developed in the private sector.T

32、hispolicy allows agencies to select a non-consensus standard developed in the private sec-tor as a means of establishing testing methods in a regulation and to choose amongcommercial-off-the-shelf products,regardless of whether the underlying standards aredeveloped by voluntary consensus standards b

33、odies or not.”SD_9_v2.qxd 3/11/05 4:04 PM Page 9Source: http:/assist.daps.dla.mil - Downloaded: 2005-03-17T15:43ZCheck the source to verify that this is the current version before use.Provided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-S D - 98Due Proces

34、sTo some extent,most standards,including those in Government,are developed follow-ing certain principles of due process.Due processas applied to the development,approval,revision,reaffirmation,and cancellation of standardsmeans any person(organization,company,Government agency,individual,and so on)

35、with a direct andmaterial interest has a right to participate by expressing a position and its basis,havingthis position considered,and having the right to appeal.Due process allows for equityand fair play.The following are the criteria which define due process in NGS development.It is important to

36、understand if,and to what extent,NGSB organizations adhere to these principles in the development of their standards,since it may affect participationdecisions.Openness.Participation is open to all people directly and materially affectedwithout unreasonable financial barriers.Voting membership on th

37、e standardsbody is usually not conditional upon membership in any organization,nor unrea-sonably restricted by technical qualifications or other such requirements.Lack of dominance.No single interest category,individual,or organization domi-nates the standards development process.Dominance means a p

38、osition or exerciseof dominant authority,leadership,or influence through superior leverage,strength,or representation to the exclusion of fair and equitable consideration ofother viewpoints.Balance.The standards development process has a fair and representative diversityof interests.NGSB organizatio

39、ns seek participants from diverse interests with theobjective of achieving balance.Notification of standards development.The NGSB gives notification of standardsactivity in suitable media as appropriate to provide an opportunity for participa-tion by all directly and materially affected people.Consi

40、deration of views and objections.An NGSB promptly considers the writtenviews and objections of all participants.Consensus vote.The NGSB documents evidence of consensus in accordancewith the requirements and procedures of the standards developer.NGSB partici-SD_9_v2.qxd 3/11/05 4:04 PM Page 10Source:

41、 http:/assist.daps.dla.mil - Downloaded: 2005-03-17T15:43ZCheck the source to verify that this is the current version before use.Provided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-d s p. d l a . m i l9pants are advised to review the bylaws to ensure bal

42、loting procedures are under-stood.Appeals.Written procedures contain an identifiable,realistic,and readily availableappeals mechanism for the impartial handling of procedural complaints about anyaction or inaction.The NGSB addresses appeals promptly and makes decisionsexpeditiously.Appeals procedure

43、s provide for participation by all parties con-cerned without imposing an undue burden on them.Consideration of appeals isfair and unbiased and fully addresses the concerns expressed.Written procedures.Written procedures govern the methods used for standardsdevelopment and are available to any inter

44、ested person.SD_9_v2.qxd 3/11/05 4:05 PM Page 11Source: http:/assist.daps.dla.mil - Downloaded: 2005-03-17T15:43ZCheck the source to verify that this is the current version before use.Provided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-N o n - G overnmen

45、t Standards BodiesTypes of Non-Government Standards BodiesNGSBs are private-sector organizations that plan,develop,establish,or coordinate stan-dards.There are many kinds of organizations with a variety of different membership,voting,standards development,and funding models.These variations are ofte

46、n reflectedin the manner in which these organizations produce standards.In general,NGSBscome under one of four categories:trade association,professional society,standardsdeveloping organization,and consortia.Some NGSBs develop standards intended onlyfor a very narrow application by their members,som

47、e organizations develop standardsintended for application in specific geographical areas,and some NGSBs develop stan-dards intended for the global market.Most NGSBs operate by some form of a consensus process,which typically requiresa defined degree of openness,balance,due process,general agreement,

48、participation ofinterested and affected parties,and a formal process for attempting to resolve differ-ences of opinion.The process of developing standards is usually governed by writtenprocedures covering each step of the process.Consortia and trade associations typicallyare more restrictive with re

49、gard to openness,may not allow certain kinds of represen-tatives to participate,and may not allow all participants to vote.At the other extreme,some standards developers allow any interested party to participate without qualifica-tion,have strict rules concerning balance of different types of participants (users,pro-ducers,general interest),and may require a certain balance in the voting in order to