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NASA Ball NASA
Procedural
Requirements
NPR 2200.2C
Effective Date: April 19, 2011
Expiration Date: April 19, 2016
COMPLIANCE IS MANDATORY
Printable Format (PDF)

(NASA Only)

Subject: Requirements for Documentation, Approval, and Dissemination of NASA Scientific and Technical Information (Updated w/change 1, 2/13/14)

Responsible Office: Office of the Chief Information Officer


| TOC | ChangeHistory | Preface | Chapter1 | Chapter2 | Chapter3 | Chapter4 | Chapter5 | AppendixA | AppendixB | AppendixC | AppendixD | AppendixE | AppendixF | AppendixG | AppendixH | AppendixI | AppendixJ | AppendixK | ALL |

Appendix D. Types of NASA Scientific and Technical Information (STI) Publications and Related Procedural and Standards Information

D.1 Description of the NASA Scientific and Technical Information (STI) Report Series

D.1.1 For additional information regarding the selection of a report series, see the following table. This table lists the types of documents that may be published and disseminated in the NASA Scientific and Technical Information (STI) Report Series.

Manuscript contents Appropriate series
Article for a professional journal None required; Technical Publication (TP) for expanded treatment and Technical Memorandum (TM) for preprint
Article for a technical magazine None required; TP for expanded treatment and TM for preprint
Atlas of scientific imagery TP or SP
Bibliography
   Continuing
   Extensive annotation

SP
TP
Minimal annotation TM
Contractor or grantee results and findings Contractor Report (CR), TP, or SP
Critical review of the literature TP
Critical tables TP
Data compilation
   Extensive use
   Limited use

TP
TM
Design standards TP
Dissertation or thesis by employee, relating to work TM
Dissertation or thesis by NASA contractor or grantee (if funded by NASA) CR
Engineering report TP
Handbook TP
History SP
Letter (e.g., for a professional journal) None required
Limited distribution report TP, TM, CR
Literature survey, review TP
Management report SP (6000 series)
Manual TP or TM
Monograph TP
Preliminary results report TM
Preprint of paper for a professional meeting TM
Proceedings of a workshop, conference, seminar, etc. Conference Publication (CP)
Program description or summary SP
Report to another agency TM
Research report TP
Review paper TP
Security-classified report TP, TM, CR
Sponsored research report
   NASA sponsor
    Non-NASA sponsor

CR
TM
State-of-the-art review TP
Technical report--complete, comprehensive TP
Textbook, scientific or technical TP
Translation Technical Translation (TT)
Working paper (external circulation) TM

D.1.2 The TP series comprises reports of completed research or of a significant phase of research that present the results of NASA programs. TPs usually include extensive data or theoretical analysis but they may also be compilations of significant scientific and technical data or information deemed to be of continuing reference value. TPs are the NASA counterpart to peer-reviewed formal professional papers but have less stringent limitations on manuscript length and extent of graphic presentations. In addition to reports documenting research, the types of documents assigned to this series include the following:

D.1.2.1 Bibliographies of STI literature in defined subject areas with abstracts and/or extensive annotation

D.1.2.2 Technical handbooks, critical tables, and extensive data compilations

D.1.2.3 Design standards. Authors document their design standards in the NASA Technical Standards Program, in accordance with NPD 8070.6

D.1.2.4 Scientific and technical textbooks and manuals

D.1.2.5 State-of-the-art summaries, including critical reviews or surveys of a body of scientific or technical literature

D.1.2.6 Technical reports or monographs that provide complete and comprehensive treatment of significant contributions to scientific and technical knowledge or a critical evaluation of selected, previously published research

D.1.3 The TM series records scientific and technical findings that are preliminary or of specialized interest (e.g., quick-release reports, working papers, and bibliographies) that contain minimal annotation. TMs do not contain extensive analysis. The types of documents assigned to this series include:

D.1.3.1 Preliminary data (quick-release reports)

D.1.3.2 Working papers for professional peers beyond the basic work unit or for external circulation

D.1.3.3 Individual papers prepared for presentation at or preprints for professional meetings or symposia which may or may not be published in proceedings or journals

D.1.3.4 Preliminary proceedings of professional meetings or symposia sponsored or cosponsored by NASA. When the proceedings are not complete, the extent of the content (e.g., abstracts only or primarily projected visuals) is indicated in block 13, SUPPLEMENTARY NOTES, of Standard Form (SF) 298, Report Documentation Page (RDP)

D.1.3.5 Theses or dissertations that relate to Agency work, written by NASA employees only

D.1.3.6 Bibliographies that are written by NASA employees, contractors, and grantees that present listings of STI literature with minimal annotations

D.1.3.7 Computer program application documentation in an STI report or item (actual computer programs fall outside the STI Program)

D.1.3.8 Limited-use data compilations

D.1.3.9 Reports to other agencies or non-NASA-sponsored research results

D.1.4 The CR series comprises reports of scientific and technical findings by NASA-sponsored contractors, grantees, and cooperative agreement participants and dissertations or theses by NASA contractors or grantees (if funded by NASA).

D.1.4.1 CRs may contain findings of completed or significant scientific and technical work or findings of preliminary or specialized interest. All CRs are subject to the minimum review requirements listed in Section 4.2.4. See also Appendix E.

D.1.4.2 A final report or nonrequired report authored by a contractor, grantee, or cooperative agreement participant may be selected by the NASA COTR or technical management for publication as a NASA SP, TP, or as part of a CP in lieu of publication as a CR (see Appendix D.1.5.2 for CP requirements.) A given report may be published in one series only. (See Appendix D.1.5.2 for CP exception.) Such reports meet all criteria for the selected series and are reviewed and approved at the level(s) required for that series.

D.1.5 The CP series contains collected papers from scientific and technical conferences, symposia, seminars, or other meetings sponsored or cosponsored by NASA.

D.1.5.1 Conference proceedings may be preprinted as a TM and distributed to attendees at conferences even though distribution as a CP is planned.

D.1.5.2 It is sometimes practical to publish a conference proceedings in both series. For example, if a significant amount of time will elapse between presenting the abstracts and illustrations as a TM and the full proceedings as a CP, or if handouts of the abstracts are needed for the conference and the papers have not yet been collected, publication in both series would be appropriate. When abstracts have been published as a TM and the proceedings are subsequently published as a CP, an entry in block 13, SUPPLEMENTARY NOTES, of SF-298 (RDP) for the CP indicates that the CP supersedes the TM.

D.1.6 The SP series--which records scientific, technical, or historical information from NASA programs, projects, and missions--is most often concerned with subjects having substantial public interest. Examples of topics covered by this series and the ranges of numbers assigned to the various topics include the following:

D.1.6.1 General series (numbered below 3000, e.g., NASA/SP--2010-2999)

D.1.6.2 Handbooks and data compilations (numbered in 3000 series, e.g., NASA/SP--2010-3000)

D.1.6.3 The history and chronology series (numbered in 4000 series, e.g., NASA/SP--2010-4000) follows:

D.1.6.4 4000: Reference works

D.1.6.5 4100: Management histories

D.1.6.6 4200: Project histories

D.1.6.7 4300: Center histories

D.1.6.8 4400: General histories

D.1.6.9 4500: Monographs in Aerospace History

D.1.6.10 4600: Electronic media (compact disks (CDs) and digital video disks (DVDs))

D.1.6.11 4700: Historical conference proceedings

D.1.6.12 4800: Societal impact

D.1.6.13 Numbers in the 5000 range were originally assigned to technology utilization information, but this type of information is now published outside the NASA STI Report Series

D.1.6.14 The management publications series (numbered from 6000 to 6999, e.g., NASA/SP--2010-6000) documents requirements, plans, theories, or techniques for management or administration of NASA-sponsored scientific and technical work. It includes NASA projects or programs that have application to more than one Center, to other Government agencies, or to partnerships with industrial or international organizations. Although reports discussing methods of scheduling, funding, or staffing may be included, reports containing specific costs or labor figures are not appropriate. When the primary content of a report is scientific findings or technical development, another series, such as TM or TP, is to be used.

D.1.6.15 The bibliographic series (numbered from 7000 to 7999, e.g., NASA/SP--2010-7000) includes regularly published abstracts, continuing bibliographies, indexes, publication guides, and announcement journals.

D.1.7 The TT series consists of English-language translations of non-English scientific and technical material pertinent to NASA's mission. A translation of material protected by copyright is a derivative work, the distribution of which is constrained by international copyright law. However, TTs are retained at NASA CASI for U.S. Government use subsequent to the initial request for the translation. See Appendix D.6.6.4 for more information on translations.

D.2 NASA STI Report Series Procedural Information

D.2.1 Authors use the STI Report Series for all documents in this series.

D.2.2 The STI program uses a standard numbering system based on American National Standards Institute (ANSI)/National Information Standards Organization (NISO) Z39.23, "Standard Technical Report Number (STRN) Format and Creation," to ensure the assignment of unique report numbers to the NASA STI Report Series. The report numbers are composed essentially of the Agency acronym (NASA), a series acronym (e.g., TM), a publication year (e.g., 2010), and the report number. The report number appears on the front cover, title page, and SF-298 (RDP) of all NASA STI Report Series in the standard STI report number format (e.g., NASA/TM--2010-123456). Report numbers for revised reports, reports comprising more than one volume, or reports with supplements include the appropriate suffix(es) (e.g., NASA/TM--2010-123456/REV2, NASA/TM--2005-123456/VOL2, or NASA/TM--2010-123456/SUPPL2). If more than one suffix is used, it is connected to the other suffix(es) with a hyphen (e.g., NASA/TM--2010-123456/REV2-VOL2).

D.2.3 For documents that are published in English and another language, use the same NASA number but add the language in parentheses (e.g., NASA/TP--2010-123456 (in English) and NASA/TP--2010-123456 (in Russian)).

D.2.4 Report numbers are requested during the development of a NASA STI Report Series document. Report numbers are obtained by sending a request for the report number to the Center STI Manager, who requests the number from the NASA CASI Help Desk via mail, fax, or e-mail (http://www.sti.nasa.gov).

D.2.4.1 The request is made by a Center Publications Office representative.

D.2.4.2 The request includes the requester's name, phone number, fax number, mail stop, e-mail address, and the type of report number requested. The report number is issued to the recipient within one working day of the request receipt.

D.3 Standards for NASA Scientific and Technical Information (STI) Report Series Publications

D.3.1 These standards apply to the NASA STI Report Series regardless of the medium chosen (e.g., electronic, audio, CD, DVD, Web site, etc.). Although the data elements detailed here are required, the formatting of the STI may be adapted as necessary to fit the media.

D.3.2 Publication of NASA STI in any media conforms to NASA's information technology standards and guidelines as specified in NPR 2810.1. See Section 1.4.4 for minimum standards for cases in which there is limited funding for producing the documents or media. Page mechanics for the NASA STI Report Series standard front and back covers and title pages are depicted in Appendix F of this document. Appendix F also illustrates the use of the standard elements (report number, title, etc.) described in Appendix D.3.5.1. The covers and title pages in Appendix F are available on the NASA STI program home page (http://www.sti.nasa.gov, Publish STI). The use of the standard covers and title pages depicted in Appendix F is required for printed STI.

D.3.3 For electronic or alternative media, layouts may be adapted as needed; however, the standard data elements are to be included regardless of media.

D.3.4 Use of Color

D.3.4.1 The use of color in printed publications increases printing costs; therefore, color printing is used in printed versions of NASA STI Report Series publications only when it is necessary to convey scientific and technical material in a clear and unambiguous fashion rather than when it is desired to use decorative elements. The added design and production costs for the portrayal of information in color are justified and authorized by the NASA Headquarters' or Center Printing Officer. The use of color in duplicating or printing is in accordance with NPD 1490.1.

D.3.4.2 Color printing and duplicating is approved by the Agency or Center Printing Officer for legality and necessity. Contact your Center technical publications office or Graphics Coordinator to determine alternative methods to portray content (such as in charts and graphs) so that they do not require the use of color. See Appendix D.3.4.3 and D.3.5.3.

D.3.4.3 If color enhances the content of NASA STI Report Series publications in electronic format, its use is appropriate. However, authors must not use color alone to indicate scientific data in charts and graphs.

D.3.4.4 In situations in which color is used, additional symbols (such as dots, crosshatch, etc.) are used to indicate the meaning of the color.

D.3.4.5 Alternatively, the actual color name may be indicated on the key and data to accommodate Web presentation and Public Law (PL) 105-220, Title IV of the Rehabilitation Act, Subsection 508, compliance requirements. See Appendix D.3.13.4 for additional considerations of Section 508 compliance for documents to be posted on Web sites.

D.3.5 The design and content of the front and back covers and title pages of NASA STI Report Series Publications, except for SPs, are standardized in accordance with industry standards, such as American National Standards Institute (ANSI)/National Information Standards Organization (NISO) Z39.18, Scientific and Technical Reports--Preparation, Presentation and Preservation, and Agency standards, such as those detailed in NPD 1490.1. This standardization provides a recognizable NASA image, speed and economy of production and reproduction, consistency of cataloging information, and lowest recycling cost. Therefore, the front and back covers and title pages of NASA STI reports, except for SPs, contain the standard elements listed in Appendix D.3.5.1 to D.3.5.6. See Appendix F for samples.

D.3.5.1 Standard elements for front covers follow:

a. Report number(s). (If another agency's, Center's, or contractor's report or document number is added to the NASA report number, it is positioned to the right or below the NASA report number).

b. NASA insignia; other logos as appropriate (see Appendix D.3.8)

c. Title of report

d. Author name(s), affiliation(s), and location(s)

e. Optional one-color line art or black-and-white photo or image

f. Distribution notices if applicable, See Chapter 4, including limitations and restrictions such as International Traffic in Arms Regulations (ITAR), Export Administration Regulations (EAR), Sensitive But Unclassified (SBU), Small Business Innovation Research (SBIR), proprietary information, or copyright notices are placed on the cover, title page, SF-298 (RDP), and the appropriate restriction on each inside page on which the SBU information is displayed. Note that other Federal agencies might use the term Controlled Unclassified Information (CUI).

g. Authors may choose to add conference information, such as conference name, location, dates, and sponsor.

h. Joint project or sponsorship information, if appropriate

i. Rule (graphic straight line)

j. Month and year

D.3.5.2 The standard element for the back of front covers follows:

a. NASA STI program profile

D.3.5.3 Standard elements for title pages include all cover elements (except artwork) plus the following:

a. Editor name and affiliation, if applicable (for edited CPs, TPs, or TMs when the editor has contributed scientific and technical expertise and judgment)

b. Agency name and address (corporate source)

c. Contract statement and number, if applicable

d. Joint project or sponsorship information, if appropriate

e. Conference information (name of conference, location, dates, sponsors, etc.), if applicable

f. Distribution notices, if applicable (see Chapter 4)

D.3.5.4 Standard elements for the backs of title pages follow:

a. Acknowledgment, if applicable

b. Disclaimers, if applicable

c. A statement is included announcing that the document is available from NASA CASI. In some cases, the document may also be available from NTIS.

d. Documents that are marked to be available from NTIS are to be unlimited, unclassified (no restricted-access data). See the sample back of the title page in Appendix F.5.

e. International Standard Serial Number (ISSN), International Standard Book Number (ISBN), and/or Library of Congress Control Number (LCCN), if applicable (see Appendix G).

f. Level of technical or professional review

D.3.5.5 The back cover is blank except for a rule (e.g., graphic straight line) at the bottom of the cover. If documents are printed, a mailing label that includes the addressee, the return address, and appropriate postage may be affixed to the Center of the back cover. No text or images other than the rule may be placed below the last line of the address on the mailing label.

D.3.5.6 Standard elements for spines follow (see Appendix F for a sample):

a. Report number

b. Title

D.3.6 NASA recommends the use of one-color line art and black-and-white photography on the front cover of NASA STI Report Series publications only in the image area, as illustrated in Appendix F. Such line art and photographs are required to meet the graphics standards of the originating Center. Line art on a cover is required to be approved by the Center's Graphics Coordinator.

D.3.7 The figure used on the cover is from the report that it is used on to ensure that it has received export review.

D.3.8 When NASA partners with or jointly funds work with another agency, noncommercial organization, or a university, the logo or seal of the cosponsor may appear on the cover to the right or below the NASA insignia and is in accordance with the NASA guidelines for the use of logos and insignia at http://www.hq.nasa.gov/office/pao/insignia.

D.3.8.1 The NASA insignia does not appear with the logos of private companies on publications. In rare exceptions, such as certain partnership situations, the Office of Communications, Public Service Division at Headquarters, may approve a proposed use.

D.3.8.2 NASA program organizational logos are not used on covers.

D.3.9 Sometimes a nonstandard design is needed for the front cover and title page of a NASA STI Report Series publication of particular note. Such designs contain the standard elements indicated in Appendix D.3.5.6. The use of a nonstandard design and the associated additional design labor cost are justified and authorized on a case-by-case basis using Center-specific procedures. The nonstandard design is in accordance with NASA Graphics Standards (http://www.hq.nasa.gov/office/pao/insignia).

D.3.9.1 The nonstandard design needs to be approved by the Headquarters' or Center's Graphics Coordinator. For duplicated or printed publications, the requirements are set forth in NPD 1490.1 and approved by the Headquarters or Center Printing Officer for legality and necessity.

D.3.10 An SF-298 (RDP) is required for all documents published in the NASA STI Report Series unless the automated STI DAA system is used to record approvals. It provides the information necessary to index and correctly categorize the report. This information is included in the automated STI DAA system NF-1676. Directions for preparation of the SF-298 (RDP) are given on the back of the form. A sample RDP is included in Appendix C. Except for NASA SPs, the completed RDP is positioned as the last page of the report.

D.3.10.1 For documents that are to be printed, the RDP is printed so that it faces the back cover.

D.3.10.2 For SPs, the RDP is forwarded to NASA CASI with, but not printed and bound in, the SP.

D.3.10.3 For SPs in electronic formats, the RDP is in a separate file. See also http://www.sti.nasa.gov/publish/SF298instr.pdf for instructions on completing the SF-298 (RDP).

D.3.10.4 Prior to dissemination, the information that is entered on SF-298 (RDP) is verified against the information that is on the approved NF-1676.

D.3.10.5 For a classified report, the title and the abstract are followed by the classification of each in parentheses. Unclassified titles and abstracts are followed by a (U). Whenever possible, the title and abstract of a classified report are unclassified. Classified reports are handled by the NASA Centers and are not sent to NASA CASI.

D.3.10.6 For information regarding how to indicate that a previously export-controlled or restricted-access document has subsequently been downgraded and has a new distribution requirement, see Section 2.6.9.

D.3.10.7 For information retrieval purposes, include the work unit (WU) number, work breakdown structure (WBS) number, or the unique project number (UPN) on the SF-298 (RDP) in block 5f, WORK UNIT NUMBER.

D.3.10.8 For a symposium presentation preprinted as a TM or published as a CP, the meeting or symposium is identified in block 13, SUPPLEMENTARY NOTES.

D.3.10.9 The abstract included on the SF-298 (RDP) is informative rather than descriptive.

D.3.10.10 The abstract states the objectives of the investigation, the methods employed (e.g., simulation, experiment, or remote sensing), the results obtained, and the conclusions reached.

D.3.10.11 The abstract is limited to a maximum of 200 words.

D.3.11 Revised Reports, Errata, and Corrected Copies.

D.3.11.1 A revised report is issued in situations in which the technical data have been substantially changed or updated. The standard report number format is the year and number of the original report followed by the revision extension as (e.g., NASA/TM--2005-123456/REV1).

D.3.11.2 The current month and year are included on the report cover and title page.

D.3.11.3 Block 13, SUPPLEMENTARY NOTES, of the SF-298 (RDP) indicates whether or not the revised report supersedes the original report.

D.3.11.4 The standards that apply to paper copy revisions also apply to electronic media. For example, a file on a Web site (such as on the public interface to the STI Database) is not replaced with a revised file without indicating the appropriate revision elements and date of revision. Indicate on the cover that an erratum, a corrected copy, or a revision has been added along with the date of this action. In addition, on page iii insert a listing of the information that is being corrected. Distribution of revised electronic media is in accordance with the original distribution.

D.3.11.5 Other requests for correction are made to the Center's STI Manager or by e-mail to NASA CASI at help@sti.nasa.gov.

D.3.12 Special Factors for Document Legibility.

D.3.12.1 Handwritten elements of any kind are not used in NASA STI Report Series documents.

D.3.12.2 Publications are required to be professional in appearance (i.e., completed using word-processing or computer equipment).

D.3.12.3 Publications must be capable of electronic transmission.

D.3.12.4 It is important to produce publications that are legible in a variety of media.

D.3.12.5 For documents that may be printed, oversized image areas and foldouts to present oversized charts cannot be adequately reproduced in subsequent electronic formats.

D.3.12.6 Typefaces smaller than 10 points (or hard-to-read fonts online) on the original text affect quality and usefulness and are not to be used.

D.3.12.7 Typefaces smaller than 8 points are not used on figure captions or the SF-298 (RDP).

D.3.13 Standards for Electronic and Alternative Media (Including Multimedia).

D.3.13.1 NASA requires that an electronic copy or Uniform Resource Locator (URL, or Web address) of all NASA STI Reports Series publications be submitted to NASA CASI through the Center STI Manager or delegated Center organization.

D.3.13.2 Publications using multimedia components are acceptable; however, contact the Center Technical Publications Office and/or NASA CASI to find out if the specific multimedia format can be reproduced and archived by NASA CASI. If NASA CASI cannot reproduce or archive the multimedia format, authors may be required to send additional copies.

D.3.13.3 In considering electronic and alternative media forms of disseminating of STI, authors are required to meet the content requirements of Appendix D.1, the data elements of Section 2.6, and the required reviews in Chapter 4, as well as the requirements of submittal to NASA CASI. Although content and data elements are required, actual formatting and presentation of the STI may be adapted, as necessary, to fit the specific media.

D.3.13.4 Information that is presented on the Web also is required to comply with Section 508 requirements (PL 105-220, Subsection 508(a), as amended). Authors are advised that documents that extensively use a two-column format, that contain complex tables with table headers that span the column tables, or that use color (without supporting graphic symbols or indications in the text of what the color indicates) are difficult for visually impaired or other disabled persons to view or access with current assistive technology. In these situations, use of either a Hyper Text Markup Language (HTML) or Extensible Markup Language (XML) version in addition to the Portable Document Format (PDF) file may be useful.

D.4 Submittal of Publications to the NASA Center for AeroSpace Information (CASI)

D.4.1 NASA requires that an electronic copy of STI be sent to NASA CASI. Secure File Transfer Protocol (SFTP) to CASI is the preferred method of transfer. As an alternative, NASA CASI can be notified of the location of the STI if it resides on a Web site or in an existing document repository to which NASA CASI may gain access. Submission of STI includes the transfer of both the electronic document and a copy of the approved NF-1676 (DAA) through the Center's STI Manager or Technical Publications Office to NASA CASI. Electronic files and alternative media (CD-ROM or DVD) submitted to NASA CASI are required to conform to the medium-specific standards described in Sections 2.5.2 to 2.5.6. Also see Section 4.4.2.4 and Appendix C.2. For information regarding submitting electronic copies of export-controlled or limited access information, see Appendix D.4.3.

D.4.2 Contact your Center's STI Manager to electronically submit reports to NASA CASI. CASI's Help Desk will provide the Center STI Manager with procedures. NASA Centers transfer unlimited and unclassified electronic files to CASI after the DAA review is completed via the NF-1676. Restricted STI is encrypted (by the Agency standard encryption). Transfer of files to NASA CASI may occur via the following:

D.4.2.1 SFTP

D.4.2.2 Your Center's Technical Reports Server (TRS), if applicable

D.4.2.3 Electronic media

D.4.2.4 CDs formatted to International Standards Organization (ISO) 9660 standards (for more information, see http://www.y-adagio.com/public/standards/iso_cdromr/tocont.htm)

D.4.2.5 DVDs

D.4.2.6 E-mail attachment (up to 20 megabytes)

D.4.2.7 XML

D.4.3 Documents that are export-controlled, restricted, or limited are encrypted prior to sending to NASA CASI. NASA CASI does not accept classified STI, which is handled by the cognizant Center's security office.

D.4.4 NASA CASI will accept the following electronic file formats, which are listed in order of preference:

D.4.4.1 Searchable PDF

D.4.4.2 Postscript (PS), levels 1 and 2

D.4.4.3 American Standard Code for Information Interchange (ASCII), Microsoft (MS) Word, MS PowerPoint, and Corel WordPerfect

D.4.4.4 HTML--self-contained files only (files with links to external sources cannot be processed)

D.4.5 Submission requirements for electronic formats follow:

D.4.5.1 Store a single document in one file.

D.4.5.2 Store conference proceedings or other compilations of chapters, works, or papers in multiple files: one containing the complete document cover to cover and one file for each of the individual papers.

D.4.5.3 Include the completed SF-298 (RDP) as the last page of the document file. (For SPs, include the RDP as a separate file.) Note that if the RDP is not the last page of the document file but is stored in a separate file, it will not become part of the document when printed or part of the full-text files available through the STI Database.

D.4.5.4 Send a copy of the NF-1676 (DAA) as a separate file. Do not include it in the document. The DAA provides NASA CASI evidence of the DAA approval process and enables NASA CASI to appropriately add the document to the STI Database and subsequently disseminate it.

a.In order for NASA CASI to further distribute your document, provide the file in "publication format." This means that the file includes all pages required to output as a print product (i.e., covers, front matter, SF-298 (RDP), and blank pages). This will ensure proper page positioning throughout the document if it is printed.

(1) b.Special formatting features such as thumbnails and bookmarks are not required, but PDFs containing them will be accepted by CASI.

(2) c.Do not apply a restriction or permission password to the PDF. These can cause problems for CASI and end users.

D.4.6 Notify NASA CASI via e-mail whenever files are transferred or loaded to your Center's Technical Reports Server. Identify the file names of the reports and the full path or URL. NASA CASI requires the full path in order to locate the correct file. Address the e-mail to eft_ftp@sti.nasa.gov.

D.4.7 NASA CASI has established aliases for this e-mail address to ensure that it alerts appropriate staff that files are waiting to be processed.

D.4.8 NASA CASI requires two copies of alternative media (CD-ROM or DVD) containing the electronic files:

D.4.8.1 NASA CASI will accept CDs formatted to ISO 9660 standards (http://www.y-adagio.com/public/standards/iso_cdromr/tocont.htm) , and DVDs.

D.4.8.2 Two copies of the CD-ROM or DVD are submitted and accompanied by a copy of the NF 1676 (DAA) in electronic format (a separate file from the alternative media).

D.4.9 NASA CASI can accept the following compression format: Zip.

D.4.10 File-Naming Conventions

D.4.10.1 Name the file to clearly identify the contents using the report number or other identifying text, followed by the standard three- or four-character extension that represents the application:

D.4.10.2 NASATM-2005-123456.pdf

D.4.10.3 Rocketsandpeople.docx

D.4.10.4 A NASA CP submitted as one PDF file and each paper submitted as a separate file

D.4.10.5 NASACP-209555.pdf (the cover-to-cover CP)

D.4.10.6 NASACP-209555.pdf-01 (the first paper in the CP, where -02 would be the second paper in the CP, etc.)

D.4.10.7 Symbols are not used in file names with the exception of underscores and hyphens.

D.4.10.8 An underscore is used for the DAA file (e.g., Filename_DAA.pdf)

D.4.10.9 Do not use virgules (either forward (/) or backward(\)) since they have different meanings in the Windows and UNIX systems.

D.4.11 The following procedures for restricted-access information (information whose publication or distribution is restricted by law, regulation, or policy as defined in Section 4.2.4) are in addition to procedures cited for unclassified/unlimited STI and procedures cited in Chapter 4.

D.4.12 For information regarding the handling of documents that were previously export-controlled or restricted-access but have subsequently been downgraded, see Section 2.6.9.

D.5 Availability of Electronic and Alternative Media Publications From the NASA Center for AeroSpace Information (CASI)

D.5.1 NASA CASI normally makes STI available as a searchable PDF. For information on other formats, contact the STI Program Office.

D.6 Standards for Protection of Intellectual Property

D.6.1 Authorship

D.6.1.1 With the exception of NASA histories, the authorship of NASA publications is reserved for persons who participate in the performance of the work from which the STI results and who can effectively defend the main technical content of the publication to a peer group. Because of the complexity of scientific and technical work, many publications have multiple authors. The authors' names appear in a sequence that indicates their respective responsibility for the reported results; that is, the first author is the chief contributor and writer, and other authors follow in the order of their responsibility for the work.

D.6.1.2 NASA employees are not listed as coauthors of CRs.

D.6.1.3 When NASA employees contribute to rather than monitor contract or grant work, such work is published in another series such as TM, TP, or SP.

D.6.1.4 Recognition of editorship is justified when the editor has contributed scientific and technical expertise and judgment.

D.6.1.5 It is appropriate to acknowledge significant contributions directly related to the substantive content or preparation of a NASA STI Report Series publication by individuals other than the authors.

D.6.1.6 When an acknowledgment of contribution is warranted, it is included in a paragraph on the back of the title page.

D.6.2 References

D.6.2.1 Reference to work by others is acknowledged in all NASA STI Report Series. Proper citation of references is the author's responsibility. The style and format of the reference list may follow accepted practice in the discipline of the report. When there is no preferred style, the name/date style of citation in text (e.g., Anders, 1971, 1972; Smith, 1974) with a corresponding reference list, alphabetized by name, is preferred.

D.6.2.2 Reference to unpublished work or information acquired through personal communication is clearly identified as such, and is not to be represented as published information, even if publication is pending.

D.6.2.3 Internal reports that have not been approved for publication outside the originating Center are considered to be unpublished. This identification is included in a parenthetical note in the text and in the reference list with an appropriate notation such as unpublished, to be published, personal communication, or internal report.

D.6.2.4 Under no circumstances should an author represent another's work as his or her own.

D.6.3 Inclusion of Copyrighted Material

D.6.3.1 Credit must be given for material taken from non-NASA publications and included in a NASA STI Report Series publication.

a. In the case of copyrighted source material, authors secure permission from the copyright holder to use, reproduce, and distribute the copyrighted material as part of a NASA STI Report Series publication. In addition, authors are responsible for ensuring that an appropriate copyright notice or acknowledgment (as directed by the copyright holder) is included within the text of the NASA STI Report Series publication.

b. The author or initiator of the DAA review enters the copyright status on the NF-1676.

c. The author provides information regarding NASA's permission to use copyrighted material (on NF-1676, check Copyrighted in Section 3c, include a distribution limitation (if appropriate) in Section 3d, and attach a copy of the permission obtained).

d. Copyright status is entered on SF-298 (RDP, block 12a).

D.6.3.2 Any questions regarding obtaining such permissions or for acknowledging a copyright is referred to the NASA Headquarters' or the Center's Patent or Intellectual Property Counsel (see Section 4.5.16 and Appendix D.6.5).

D.6.3.3 When NASA is granted permission by the copyright holder to use copyrighted material in connection with a NASA-sponsored meeting or conference, the following copyright notice is used:

a. Copyright (c) (year of first publication) (name of copyright owner). NASA has been granted permission to publish and disseminate this work as part of (name of CP). All other rights retained by the copyright owner.

D.6.3.4 For notices of copyrighted information applicable to other situations or other rights granted (e.g., assignment or license for Government purposes only), contact the Center Patent or Intellectual Property Counsel.

D.6.4 The use of trademarks and trade names is discouraged because NASA considers it improper to advertise, endorse, or criticize commercial products or services in its publications. Use generic names whenever possible. Trademarks may be included if their use is the only way to specify material or equipment that is necessary to reproduce the results. However, in such cases, a trademark is used as a proper adjective (i.e., capitalized and modifying the generic term) and on its first appearance in the text is accompanied by the name of its registered owner. When trade names and trademarks are used in a publication, a disclaimer such as the following is added to the publication on the back of the title page:

D.6.4.1 Trade names and trademarks are used in this report for identification only. Their usage does not constitute an official endorsement, either expressed or implied, by the National Aeronautics and Space Administration.

D.6.5 Copyright Status

D.6.5.1 No U.S. copyright protection is available for a work of the U.S. Government: that is, a work produced by an employee of the U.S. Government as part of his or her official duties (see 17 U.S.C., Section 105). For works produced by a NASA employee that are published outside the United States, NASA--as the employer--is the owner of any foreign copyright that can be asserted on the work. A publisher of a professional journal can republish a U.S. Government work, but the publisher cannot legally assert copyright in U.S. Government work as published unless the publisher has added original, copyright-protected material. In such a case, the publisher's copyright protection extends only to the original material that has been added by the publisher. If a publisher publishes a U.S. Government work and does not add original, copyright-protected content, NASA may reproduce and disseminate an exact copy of the published work either in paper copies or on a NASA public Web site. If the publisher adds original materials such as a publisher-prepared abstract or peer review comments, the NASA author and/or Center gets permission to reuse or republish the article that was published in the journal. However, NASA may use the U.S. Government work as originally submitted to the publisher for any purpose.

D.6.5.2 Unlike works of the U.S. Government, works produced under a Government contract or grant are protected under U.S. Copyright Law. The author or initiator of the DAA review enters a contractor or grantee's ownership of copyright on the NF-1676 (on NF-1676, check Copyrighted in Section 3c and include a distribution limitation, if appropriate, in Section 3d). The appropriate Notice for Copyrighted Information is placed on the cover, title page, and RDP with any additional information shown on the back of the title page (see Chapter 4 and Appendix I, Exhibit I.6).

D.6.5.3 Unless provided otherwise in the contract (grantee), a contractor (grantee) may assert, without prior approval of the CO (GO), copyright in scientific and technical articles based on or containing data first produced in the performance of the contract and published in academic, technical, or professional journals; symposia proceedings; or similar works. The contractor (grantee) does not assert copyright in any other data produced under a Government contract (e.g., final reports or other deliverables) unless permission is granted in writing by the CO (GO) or by the terms of the contract (grant). When copyright is asserted, the contractor (grantee) includes a copyright notice and acknowledgment of Government sponsorship (including contract number) on any published reports; and the Government, and others acting on its behalf, receive a license to reproduce, publish, or otherwise use the copyrighted work for governmental purposes. If copyright has not been asserted, the Government has unlimited rights in data first produced under the contract. Consult the NASA Headquarters' or the Center's Patent or Intellectual Property Counsel with questions regarding permissible use of works copyrighted by NASA contractors and grantees.

D.6.5.4 Whether or not a contractor has asserted copyright, the contractor may publish data produced or specifically used by the contractor in the performance of the Government contract in compliance with the data rights clause in the contract. Under the standard data rights clause (see FAR 52.227-14), contractors may use, release to others, reproduce, distribute, or publish such unless the information is subject to export-control or national security laws or regulations or includes restrictive markings as described in Section 4.2.5.6. Contact the Center's Patent or Intellectual Property Counsel for additional information.

D.6.5.5 Terms in grants are flexible but generally allow the grantee to assert copyright. All Federal agencies adhere to Office of Management and Budget (OMB) Circular A-110, Uniform Administrative Requirements for Grants and Agreements With Institutions of Higher Education, Hospitals, and Other Non-Profit Organizations, for works created under grants with colleges, universities, hospitals, and nonprofit organizations and to OMB Circular A-102, Grants and Cooperative Agreements With State and Local Governments, when the grantee is a state or local agency such as a state university. Circular A-110 provides that a grantee may assert copyright in any work that was developed under the grant. The Government obtains a license to reproduce, publish, or otherwise use the work for federal purposes and to authorize others to do so. For cooperative agreements with commercial firms, see NPR 5800.1, Sections 1274.208 and 1274.905. The terms of the particular cooperative agreement specify respective rights of the parties. Contact the Center's Patent or Intellectual Property Counsel or the NASA Shared Services Center to determine copyright terms in the cooperative agreement.

D.6.5.6 When an article produced under a NASA-funded contract or grant is published in a professional journal, the non-Government author often assigns copyright to the publisher. Under the contract or grant, NASA has a license to use and distribute such articles as submitted to the publisher; however, permission from the publisher is obtained to reuse or republish the article as published in the journal. In addition, other non-Government works in a journal may be copyrighted by their authors or assigned to the publisher, and the publisher may copyright the layout of the entire journal, i.e., the selection, coordination, or arrangement of articles in the journal.

a. NASA does not reuse or republish entire publications such as conference proceedings or technical journals unless permission is obtained from all copyright owners involved.

D.6.6 Publishers' Agreements

D.6.6.1 If a NASA-authored work is to be published by a commercial publisher, authors consult the NASA Headquarters' or the Center's Patent or Intellectual Property Counsel concerning any agreements with publishers.

a. Questions regarding whether a work was prepared as part of an employee's official duties are referred to the NASA Headquarters' or the Center's Patent or Intellectual Property Counsel.

D.6.6.2 Generally, commercial publishers seek an assignment of copyright in works that they publish. If requested to sign a publisher's agreement, NASA employees inform the publisher of their employment status and do not sign any document purporting to transfer a U.S. copyright as a prerequisite to publication.

a. For papers authored only by Government employees, NASA authors inform publishers that the paper is a U.S. Government work and is not protected in the United States under the U.S. Copyright laws and, therefore, there is no U.S. Copyright to be transferred. In addition, a U.S. Government work may be protected under foreign copyright laws. If NASA approves transfer of a foreign copyright, an agreement to transfer the foreign copyright is executed by the NASA General Counsel and reserves a Government license in the work.

b. Some publisher agreements, such as for academic and scientific journals, include a signature block for the U.S. Government author. The Government author certifies in that block that the manuscript was prepared as part of that author's official duties.

c. NASA authors may sign such signature blocks. If this signature block is missing, the following statement is included either on the agreement or in a cover letter:

(1) The work entitled _____________ was prepared as part of my official duties as an employee of the U.S. Government and, in accordance with 17 U.S.C. 105, is not available for copyright protection in the United States.

D.6.6.3 If the work is a joint effort with a person whose contribution was not made as part of official duties as a U.S. Government employee, the statement informs the publisher that the employee prepared the work as part of official duties as a U.S. Government employee in coauthorship with another person; identify the coauthor(s); and request the publisher to note that the U.S. Government contributed to the published work.

D.6.6.4 For works protected by copyright (i.e., not in the public domain) permission of the copyright holder is required before a work may be translated from one language to another. Such a translation is considered to be a derivative work under copyright law. Permission to translate a work and to make and distribute copies of the translation is obtained from the copyright holder. Any questions regarding obtaining such permission are referred to the NASA Headquarters' or the Center's Patent or Intellectual Property Counsel.

D.7 Disclaimers

D.7.1 The use of disclaimers is acceptable; however, avoid the use of disclaimers that call attention to unedited material or deny technical responsibility of the issuing Center. Disclaimers are placed on the back of the title page.

D.7.2 A disclaimer is acceptable if it is employed to alert the reader that a particular publication:

D.7.2.1 Is a presentation of preliminary findings, subject to revision as analysis proceeds

D.7.2.2 Is a formal draft or working paper, intended to solicit comments and ideas from a technical peer group

D.7.2.3 Is a preprint of a paper to be presented at a professional meeting

D.7.2.4 Uses a trade name or trademark for accurate reporting and does not intend endorsement

D.7.2.5 Gives acknowledgments

D.7.2.6 Gives availability of the document (from NASA CASI or NTIS)

D.7.2.7 Indicates the ISSN

D.7.2.8 Indicates the level of technical or professional review (see Section 2.11)

D.7.3 For preprints, include the following disclaimer, or a similar disclaimer, if applicable, on the cover and back of the title page:

D.7.3.1 This is a preprint of a paper intended for presentation at a conference. Because changes may be made before formal publication, this preprint is made available with the understanding that it is not to be cited or reproduced without the permission of the author.



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