NASA Procedures and Guidelines
This Document is Obsolete and Is No Longer Used.
|| TOC | Change | Preface | Chapter1 | Chapter2 | Chapter3 | Chapter4 | Chapter5 | Appendix1 | Appendix2 | Appendix3 | Appendix4 | Appendix5 | Appendix6 | Appendix7 | Appendix8 | Appendix9 | ALL ||
This chapter restates and outlines the review and approval policies through which NASA (a) ensures the integrity of its scientific and technical information to the greatest degree practicable, and (b) protects information that cannot, by statute, be generally disseminated.
4.2.1 Distribution of NASA STI
The NASA STI Program is responsible for providing the distribution of information produced by and for NASA to the public. This function fulfills the mandate of section 203(a) of the National Aeronautics and Space Act of 1958, which requires NASA to "provide for the widest practicable and appropriate dissemination of information concerning its activities and the results thereof." Reinforcing this Space Act requirement, the Office of Management and Budget (OMB), in Circular A-130, establishes the clear policy that the Agency is responsible and expected to disclose information to the public consistent with the Agency's mission.
4.2.2 Protection of Certain STI Information
Pursuant to law, certain types of information are required to be protected from public disclosure. The Freedom of Information Act provides guidance as to categories of protected information that are exempt from mandatory release. Types of information to which public access may be prohibited or limited include national security classified information, export-controlled information, trade secret information, documents disclosing inventions, and personal information subject to the Privacy Act. Unless a determination is made that the information must be prohibited or restricted, NASA STI is made available to the public. Any questions regarding whether or not certain types of information are required to be protected from public disclosure should be referred to the NASA Headquarters or Chief Intellectual Property or Patent Counsel.
4.2.3 Review of NASA STI
All NASA STI must be reviewed before it is released to (a) verify its adherence to NASA STI publications policy, (b) ensure its conformance to standards for professional reports and technical accuracy, and (c) determine whether public access to the information must be prohibited or restricted. Such review is applicable whether publication is accomplished through printing, submission to external channels for publication through any media, or electronic release on systems accessible by persons or institutions outside NASA. This review is also applicable to presentations to be made before professional audiences, whether or not the presentation is accompanied by written material. Grant reports are exempt from this requirement unless specifically stated in the grant, since reviews of grant reports published in the NASA STI Report Series are controlled and implemented by the cognizant NASA Headquarters Program Office in accordance with internal review requirements; however, it remains the responsibility of either the grantee or the NASA office issuing the internal review requirements to ensure that such reports are properly reviewed for possible publication restrictions.
The review for adherence to publications policy is required to ensure that NASA technical reports meet the requirements of NPD 2200.1, "Management of NASA Scientific and Technical Information (STI)" and this NPR. NASA Lead Center or Center Technical Publications Managers are responsible for this review.
Professional reviews are performed by individuals or groups with technical knowledge or background tempered by interdisciplinary expertise in history, education and program management. Such reviews assess the quality of the document content in terms of its readability, its communication of information, and its suitability for a particular audience without particular focus on content.
Technical reviews are performed by peer(s) having expertise within the technical discipline of the activity or research being documented. Such reviews assess the technical integrity and merit of the activity or research being performed and the results being documented without regard to the effectiveness of the document at communicating the information.
Professional and technical reviews are required to ensure that NASA STI reports conform to NASA Headquarters office and Center standards for professional reports and technical accuracy. The Officials-in-Charge of Headquarters Offices and Directors of Centers have the responsibility to ensure the appropriate review and approval of the content of NASA-sponsored STI resulting from work conducted under their authority for presentation or publication through any channels and in any media, including electronic dissemination. Implicit in this approval is the approval for the preparation, printing, and appropriate dissemination of the STI as a work of NASA.
4.4.3 Review Requirements
The officials mentioned in paragraph 4.4.2 will ensure that the appropriate minimum review of the STI Report Series is completed, as indicated by the following levels of NASA STI Report Series professional and technical review requirements:
The author or the technical monitor, in collaboration with his or her technical supervisor, will initially recommend the availability category for a NASA document or contractor report in accordance with the following criteria.
4.5.1 For Official Use Only (FOUO)
See the requriements specified in NPD 2200.1, "Management of NASA Scientific and Technical Information (STI) NPR 1620.1, "Security Procedural Requirements".
4.5.2 National Security Review
Originating NASA Headquarters and Center offices are responsible for the review of STI to determine whether the information is subject to security classification. Final security classification rests with NASA Headquarters Security, and documents containing information subject to security classification are addressed in NPR 1620.1A, "Security Procedures and Guidelines" and NPR 2810.1, "Security of Information Technology." Originating NASA Headquarters and Center offices, in conjunction with Headquarters and Center Export Administrators, are also specifically responsible for the review and approval of policy and plans for the intended release of NASA technical and programmatic information to a foreign government. The originating NASA Headquarters and Center offices are also specifically responsible for the review and approval of all material intended for release or publication when such material contains information pertaining to the Department of Defense, e.g., aeronautics programs, space launches, or space operations, regardless of the source of the materials.
4.5.3 Export Control Review
Export control limitations are applied to information subject to (a) the Arms Export Control Act, 22 U.S.C. 2778 et seq.; (b) the Export Administration Act of 1979, Pub. L. 96-72 Stat. 503, 50 U.S.C. app. 2401 et seq.; (c) the International Traffic in Arms Regulations (ITAR), 22 CFR Part 120-130; and (d) Export Administration Regulations (EAR), 15 CFR Parts 730-774. These regulations establish lists or categories of technical data subject to export control and may not be exported or disclosed to foreign nationals without proper authority. The term exported includes the provision of information to a foreign national (including U.S. citizens representing foreign nationals if that individual intends to provide the information to a foreign national) either within the United States or abroad. Placing information on the World Wide Web in an unrestricted manner is deemed an export.
184.108.40.206 Review Requirements
The export control limitations review is required to ensure that NASA STI reports; conference, meeting, and symposia presentations; and external publications containing information subject to control under pertinent U.S. export laws or regulations are suitably protected. Each such publication or presentation must be reviewed on a case-by-case basis by or in conjunction with the Headquarters or Center Export Administrator prior to release through publication or presentation at a meeting open to the public in which foreign participation is likely or invited. Under certain conditions, officials overseeing specific contracts or projects may be granted limited delegations of authority to approve publications when the contracts or projects are restricted to topics exempt from export controls. These limited delegations are coordinated on a case-by-case basis through the NASA Office of External Relations and the cognizant NASA Headquarters Program Office.
4.5.4 International Traffic in Arms Regulations (ITAR - 22 CFR 120-130)
ITAR regulations implement the Arms Export Control Act, and contain the United States Munitions List (USML). The USML lists articles, services, and related technical data that are designated as "Defense Articles" and "Defense Services," pursuant to Sections 38 and 47(7) of the Arms Export Control Act. The ITAR is administered by the U.S. Department of State. "Technical Data" as defined in the ITAR does not include information concerning general scientific, mathematical, or engineering principles commonly taught in schools, colleges, and universities or information in the public domain (as that term is defined in 22 CFR 120.11). It also does not include basic marketing information on function and purpose or general system descriptions. For purposes of the ITAR, the following definitions apply.
"Defense Article" (22 CFR 120.6). A "Defense Article" is any item or "Technical Data" on the United States Munitions List (22 CFR 121.1). The term includes "Technical Data" recorded or stored in any physical form, models, mockups, or other items that reveal "Technical Data" directly relating to items designated in the USML. Examples of "Defense Articles" included on the USML are (1) launch vehicles, including their specifically designed or modified components, parts, accessories, attachments, and associated equipment, (2) remote sensing satellite systems, including ground control stations for telemetry, tracking, and control of such satellites, as well as passive ground stations if such stations employ any cryptographic items controlled on the USML, or they employ any uplink command capability, all components, parts, accessories, attachments, and associated equipment (including ground support equipment) that is specifically designed, modified, or configured for such systems. (See 22 CFR 121.1 for the complete listing.)
"Technical Data" (22 CFR 120.10). Information which is required for the design, development, production, manufacture, assembly, operation, repair, testing, maintenance, or modification of "Defense Articles." This includes information in the form of blueprints, drawings, photographs, plans, instructions, and documentation.
Classified information relating to "Defense Articles" and "Defense Services."
Information covered by an invention secrecy order (35 U.S.C. 181 et seq.; 35 CFR Part 5).
Software directly related to "Defense Articles," including, but not limited to, system functional design, logic flow, algorithms, application programs, operating systems, and support software for design, implementation, test, operations, diagnosis, and repair.
"Technical Data" as defined in the ITAR does not include information concerning general, scientific, mathematical, or engineering principles commonly taught in schools, colleges, and universities or information in the public domain (as that term is defined in 22 CFR 120.11). It also does not include basic marketing information on function and purpose or general system descriptions.
220.127.116.11 Notice of Availability Limitation
If NASA STI contains "Technical Data" or "Defense Articles" as defined above, it is restricted by ITAR and all copies must bear the "ITAR Notice" shown in Exhibit 4-1 at the end of this chapter. Release or distribution of the same information by NASA contractors is subject to the same notice.
4.5.5 Export Administration Regulations (EAR - 15 CFR 730-744)
EAR regulations implement the Export Administration Act and contain the Commerce Control List (CCL). The CCL lists commodities, technology, and software subject to the export control authority of the U.S. Department of Commerce. The items on this list are export controlled for reasons of national security, foreign policy, proliferation, and/or short supply. These regulations are administered by the U.S. Department of Commerce. Information subject to EAR export restrictions includes that specific "Technology" identified in the CCL (15 CFR 774).
"Technology" (Supplement 2 to 15 CFR 774). Specific information necessary for the development, production, or use of a product on the CCL. The information may be in the form of technical data or technical assistance.
"Technical Data." Information that may take forms such as blueprints, plans, diagrams, models, formulae, tables, engineering designs and specifications, manuals, and instructions written or recorded on other media or devices such as disk, tape, or read-only memories.
"Software." A collection of one or more computer or microcomputer programs fixed in any tangible medium of expression.
"Development Information." Specific information necessary for any stages prior to serial production, such as design, design research, design analyses, design concepts, assembly and testing of prototypes, pilot production schemes, design data, process of transforming design data into a product, configuration design, integration design, and integration design layouts.
"Production Information." Specific information necessary on any production stages, such as product engineering, manufacture, integration, assembly (mounting), inspection, testing, and quality assurance.
"Use Information." Specific information necessary for operation, installation (including onsite installation), maintenance (checking), repair, overhaul, and refurbishment.
Examples of information not subject to export control under the EAR. Such examples include (a) information that is publicly available via literature, library, patent, or seminar; (b) fundamental, basic and applied research in which the resulting information is ordinarily published and shared broadly within the scientific community, as well as university-based, corporate, or FFRDC (Federally Funded Research and Development Center-based) research that has no restrictions on publication of the resulting information; (c) educational information taught in a college catalog course; (d) information contained in patent applications that are not subject to 37 CFR Part 5 secrecy orders; or (e) basic marketing information on function or purpose or general system descriptions that the producer would make available to its closest competitors at no more than the cost of reproduction.
18.104.22.168 Notice of Availability Limitation
If NASA STI contains "Technology" controlled by EAR, all copies must bear the "EAR Notice" shown in Exhibit 4-2 at the end of this section. Release or distribution of the same information by NASA contractors is subject to the same notice.
4.5.6 Presentations and Publications
Approval by the NASA Headquarters or Center Export Administrator is required prior to the release of NASA STI to audiences that may include foreign nationals through any media. Examples are (a) presentations at "open" meetings in the U.S., which may include foreign nationals, or presentations at meetings held in foreign countries; (b) publications intended for public dissemination and/or distribution in foreign countries; and (c) electronic releases through global networks such as the Internet.
4.5.7 Confidential Commercial Material
Confidential commercial documents are those containing trade secrets and SBIR documents.
22.214.171.124 Trade Secret
A "trade secret" is information (1) that is used in a business, (2) that is secret, and (3) that gives a competitive advantage to the person with knowledge of it. Trade secrets include confidential commercial information.
A party to a NASA contract, grant, or cooperative arrangement may deliver information which constitutes a trade secret, is otherwise confidential commercial information, or is subject to disclosure restrictions. Under certain limited circumstances, NASA employees may produce technical information which may be treated as a trade secret or confidential commercial information. The cognizant program or project office is responsible for ensuring that such data is properly identified and marked to indicate restricted dissemination. Such information may also be subject to export control under the provisions cited above, in which case markings applicable to both restrictions are required. Any questions regarding such information should be referred to the NASA Headquarters or Chief Intellectual Property or Patent Counsel.
In the performance of a contract, grant, or cooperative arrangement, usually which is cost-shared, the contractor, grantee, or partner may produce technical data which qualifies as trade secret information. The objective of most cost-shared arrangements is the development of products or processes which have potential commercial applications. If such data are properly marked by its originator, NASA agrees to protect it from disclosure as long as the data remains trade secret information.
Section 303 of the National Aeronautics and Space Act provides that information produced by NASA employees, in carrying out NASA's participation in a cooperative arrangement, may be protected for a period of up to 5 years, if such information would constitute a trade secret or confidential commercial information if it had been produced by the non-Government party. This provision is generally applicable to cooperative arrangements which have the objective of developing commercial products or processes. Such data should be properly marked by the cognizant NASA project office. NASA agrees to protect the data for the period of time (up to 5 years) established in the cooperative arrangement between NASA and the other party.
126.96.36.199.3 Notice of Availability Limitation
If NASA STI is restricted due to trade secrets or confidential commercial information, all distributed copies must contain the marking or legend supplied by the originator of the trade secret or confidential commercial information and, if applicable, one of the document limitations listed below along with the appropriate expiration. Copying and dissemination of such marked information must be consistent with such markings or legends and any applicable document limitations. Any questions regarding the appropriate marking or legend and any applicable document limitations to apply to such information and to whom such information may be distributed should be referred to the NASA Headquarters or Chief Intellectual Property or Patent Counsel.
U.S. Government Agencies and U.S. Government Agency Contractors Only
NASA Contractors and U.S. Government Agencies Only
U.S. Government Agencies Only
NASA Personnel and NASA Contractors Only
NASA Personnel Only
Available Only with Approval of Issuing Office (Program Office or NASA Center)
Limited until _____/____/____ (if applicable)
188.8.131.52 SBIR Data
Small Business Innovation Research (SBIR) program reports may be publicly available immediately if a letter of permission from the contractor is on file, or must be restricted per the SBIR agreement, usually for 4 years.
184.108.40.206.2 Notice of Availability Limitation
SBIR program documents must bear the "SBIR Rights Notice" shown in Exhibit 4-3 and one of the document limitations listed in paragraph 220.127.116.11.3, along with the appropriate expiration. Copying and disseminating of such documents must be done in conformance with this notice.
Contracts, grants, and cooperative arrangements often permit the contractor, grantee, or recipient to assert copyright in reports and other publications first produced in the performance of the specified activity. Ordinarily, the Government receives a license to publicly distribute these documents for governmental purposes. Public distribution of the results of work funded by the Government is a governmental purpose. The cognizant program or project office provides written notification to the responsible NASA Lead Center or Center Publications Office of instances in which documents containing a copyright notice are provided without a license authorizing public distribution. Documents produced by Government employees in the performance of official duties are not subject to copyright protection in the United States.
18.104.22.168.2 Notice of Availability Limitation
If NASA STI is restricted due to copyrighted content, all distributed copies must bear the "Notice for Copyrighted Information" shown in Exhibit 4-4 at the end of this chapter. Release or distribution of the same information by NASA contractors is subject to the same notice.
4.5.8 Publicly Available Documents
All NASA STI not meeting any of the criteria for distribution limitation described herein will be considered approved for public release. Information approved for public release will be made available through the NASA CASI, the National Technical Information Service, the Federal Depository Library Program, and any and all other pertinent distribution channels, in keeping with the policy set forth in OMB Circular A-130.
4.5.9 Documents Disclosing Inventions
Under 35 U.S.C. 205 and implementing regulations, agencies are to withhold from release to the public documents that contain information about an invention in which the Government owns or may own a right, title, or interest (including a nonexclusive license). This applies to inventions made and reported by NASA employees and inventions made and reported by NASA contractors and grantees. Release is delayed in order for a patent application to be filed.
The party making and disclosing or reporting the invention is responsible for notifying the Agency as to the nature of the information and the invention to which it relates. In the case of reports submitted under contract or grant, notification should be made to the Contracting Officer or Grant Officer, the designated Patent Representative, and the STI Manager. In the case of NASA-prepared documents, notification should be made to the Project Officer, the Center Patent or Intellectual Property Counsel, and the STI Manager.
22.214.171.124 Notification Response
All documents disclosing an invention (except security classified documents disclosing an invention) for which notification has been made must be withheld by the originating office, with notice to the NASA Lead Center or Center Technical Publications Manager until the patent applications process is complete, regardless of availability category and any Blanket Availability Authorization that may have been granted. Such withholding does not require NASA Program Office approval.
4.5.10 Nonstandard Restrictions
Use of restrictions other than those specified in this chapter must receive prior approval from the Director, Information Resources Management Division. Requests for use of nonstandard restrictions must include the following information:
A clear statement of who can and cannot receive the document.
The time limit for the restriction.
The reason for the restriction.
A copy of the legal citation on which the proposed restriction is based.
The Document Availability Authorization process is controlled by the Headquarters Program Offices and the Office of External Relations. The responsibility held by the Officials-in-Charge of Headquarters Offices may be delegated to NASA Centers with notice to the Director, Information Resources Management Division, where applicable, with the provision that such delegations are in writing and approved by the Associate Administrator for External Relations and by the Assistant Administrator for Institutional and Corporate Management. This delegation must not include policy and standards information requiring review by the Office of External Relations. The delegation is sent to the Center Director, and copies are sent to all concurring NASA Headquarters offices and to the Center Document Availability Authorization (DAA) representative and the Center Export Administrator.
4.5.12 Documentation of DAA Review and Approval
Approvals should be documented on NASA Form (NF) 1676, Scientific and Technical Document Availability Authorization (DAA). (See appendix 6.) The DAA also documents which restrictions, if any, must be applied to the distribution of the publication or presentation. Individuals originating STI in any form may consult with the NASA Headquarters or Center DAA representative and, as appropriate, the Headquarters or Center Export Administrator, who can explain the availability categories and authorization requirements, and with their NASA Program or Project Manager or Contract Technical Monitor.
Copies of NF 1676, NASA Scientific and Technical DAA form, are available in print formats (Portable Document Format (PDF) and Postscript (PS)), which can be printed and completed by hand or using a typewriter. They are available on the NASA STI Program home page (http://www.sti.nasa.gov/daa.htm). Electronic versions (in PerFORM PRO, PerFORM PRO Plus, and FormFlow) can be completed online and printed. They are available on the NASA Headquarters Electronic Forms home page (http://www.hq.nasa.gov/help/forms.htm). Use of the form in other media and in other formats is permitted as long as the data elements contained on the printed version of the NF 1676 are retained.
4.6.1 Grant and Cooperative Agreement Releases
In accordance with NPR 5800.1, "Grant and Cooperative Agreement Handbook," the widest practicable dissemination should be made of results of a NASA grant or cooperative agreement, subject to the possible restrictions noted above. Release approval by the NASA grant officer is required only when the grantee requests the information be published as a NASA STI Report (e.g., NASA CR).
4.6.2 Reports Funded by Other Agencies
NASA STI Reports that result from efforts fully funded by other Government agencies, e.g., the Department of Defense or the Department of Energy, do not require a specific NASA release authorization if the report has been subject to the review process of that agency. Such reports will carry the limitations assigned by the other Government agency. If a review has not been made, a DAA form from the appropriate program is required. Reports resulting from efforts funded in part by NASA require a DAA form.
| TOC | Change | Preface | Chapter1 | Chapter2 | Chapter3 | Chapter4 | Chapter5 | Appendix1 | Appendix2 | Appendix3 | Appendix4 | Appendix5 | Appendix6 | Appendix7 | Appendix8 | Appendix9 | ALL |
|| NODIS Library | Legal Policies(2000s) | Search ||