NASA Procedures and Guidelines
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NPR 2200.2D Eff. Date: September 07, 2016 Cancellation Date:	Requirements for Documentation, Approval and Dissemination of Scientific and Technical Information
| TOC | Preface | Chapter1 | Chapter2 | Chapter3 | Chapter4 | Chapter5 | Chapter6 | Chapter7 | AppendixA | AppendixB | AppendixC | AppendixD | AppendixE | AppendixF | AppendixG | AppendixH | AppendixI | AppendixJ | AppendixK | ALL |

Chapter 2: Responsibilities

2.1 The NASA Mission Directorate Associate Administrators (MDAAs), Chief Engineer, Chief Scientist, Chief Technologist, Center Directors, and Mission Support Office Associate Administrators (MSOAAs) shall:

a. Be responsible for activities under their cognizance, ensuring that they comply with NPD 2200.1 and this NPR, applicable laws and regulations, and other referenced direction.

b. Be responsible for STI under their purview, ensuring that it is reviewed technically, as required by this NPR.

c. Maintain awareness of the NASA Guidelines for Quality of Information (https://www.nasa.gov/offices/ocio/qualityinfo/index.html).

d. Serve on the Agency STI Board of Advisors to provide feedback to the program's current and future initiatives and coordination with the research and development producers/users within NASA.

2.2 NASA Chief Information Officer (CIO) shall:

a. Manage the implementation of, and assess the effectiveness of the Agency STI Program; designate the NASA CIO STI Program Executive and a STIPO; and review and approve a STIPO program plan.

b. Update or have updated NPD 2200.1 and this NPR, according to scheduled revisions.

c. To the extent practicable, acquire (collect), manage, disseminate (or provide access to), safeguard, and archive NASA STI from NASA-authored and/or NASA-funded research for use by NASA and NASA contractors and grantees and, where appropriate, the public.

d. To the extent practicable, collect or provide access to domestic and international non-NASA STI pertinent to NASA's mission and programs for use by NASA, NASA contractors, and grantees through exchange agreements with noncommercial domestic and international entities.

e. Provide for the widest practicable and appropriate dissemination of STI resulting from NASA's research effort, unless restricted by U.S. statute, regulation, or Agency policy, while precluding the inappropriate dissemination of NASA SBU information, in keeping with the National Aeronautics and Space Act.

f. Establish policies and procedures to protect and disseminate NASA STI in a manner consistent with U.S. laws and regulations, Federal information policy, National Institute of Standards and Technology Security Standards, intellectual property rights, technology transfer protections requirements, and budgetary and technological limitations. Publish and make available its NASA STI as promptly as possible to maximize the benefit of the research.

g. Through the STIPO, ensure that producers of NASA STI (including contractors and grantees in accordance with the requirements of their funding agreements) are aware of Agency requirements and procedures prescribed by this NPR and the references given herein. Review of technical accuracy is currently accomplished outside of the DAA process. See more on Professional and Technical Reviews in section 6.3.

h. Ensure that NASA-funded STI received from contractors and grantees--if published, released external to the Agency, or made available to foreign persons by, or under the direction of NASA (versus release by the contractor or grantee independent of direction by NASA)--is released in accordance with this NPR, the DAA approval, and in accordance with specific requirements in the contract, grant, or cooperative agreement.

i. Ensures the development of SATERN training to provide a standard process and information set to all Agency personnel.

2.3 The Agency Office of the Chief Information Officer (OCIO) STI Program Executive shall:

a. Determine the strategic direction and approve the program plan for the STI Program.

b. Allocate funds for the STIPO.

c. Coordinate the Agency's STI-strategy with the NASA CIO, MDAAs, Chief Engineer, Chief Scientist, Chief Technologist, Center Directors, and MSOAAs.

d. Ensure that the information system for the electronic collection of NASA STI by the NASA STI Program has a security assessment and an authorization to operate in accordance with NPR 2810.1 at a security category for SBU information in accordance with NID 1600.55.

e. Ensure that the activities listed for the STI Program Office are carried out.

2.4 The STI Program Office (STIPO) shall:

a. Coordinate with the NASA Agency OCIO STI Program Executive to recommend STI policy and procedures via NPD 2200.1 and this NPR and implement the approved policy and procedures.

b. Ensure that NASA STI that is received at NASA STI Program is shared with entities required by U.S. statute, such as, but not limited to, the National Archives and Records Administration (NARA), Government Publishing Office (GPO), National Technical Information Service (NTIS), and other national and international partners.

c. Operate and manage an Agency-level STI Program in accordance with NPR 7120.7 and an annual Program Commitment Agreement initiated by the Agency CIO and agreed to by the STIPO's Center CIO.

d. Coordinate the development, operation, and maintenance of a virtual electronic collection of NASA STI by overseeing the operation and maintenance of STI Program and/or any successor facilities, systems, partnerships, or institutes.

e. Appoint personnel to serve on Agency-level and external teams pertinent to STI.

f. Negotiate and implement STI data-sharing agreements to facilitate the collection, purchase, and dissemination of STI. This does not include data-sharing agreements that are the responsibility of missions, projects, and programs. The STIPO shall conduct an annual review to ensure that all Centers are in compliance with NPD 2200.1. The annual review will include:

(1) An evaluation of implementation at the Centers of the DAA review process described in NPD 2200.1 and this NPR.

(2) A report of the findings of this review to each Center Director and the Center STI Manager to facilitate improvements when warranted.

2.5 Center Directors shall:

a. Ensure that all STI activities under their cognizance are performed in accordance with NPD 2200.1, this NPR, pertinent laws and regulations, and referenced documents.

b. Designate individuals to serve as the Center STI Manager and as the Center DAA representative.

c. In coordination with the Center STI Managers, establish and implement a plan to ensure awareness of the STI review requirements contained in this NPR.

d. Ensure that corrective actions associated with improvement areas cited in the yearly compliance review are implemented at their Center.

2.6 Center STI Managers shall:

a. Ensure that the Center is aware of policies and procedures indicated in NPD 2200.1 and this NPR. This awareness includes appropriate training in STI (including System for Administration, Training, and Educational Resources for NASA (SATERN) training) and information security protection for STI.

b. Ensure that the Center documents the number, types, titles, authors, and availability of STI that is published or released external to the Agency by, or at the direction of, the Center.

c. Ensure that the STI, as well as the approved DAA, is submitted to NASA STI Program.

d. If the STI originated from a NASA contract or grant, coordinate with the appropriate Contracting Officer (CO), Contracting Officer's Representative (COR), Grant Officer (GO), and/or the Grant Technical Officer (GTO) to determine if NASA wants to publish the STI.

e. In coordination with Center Directors, establish and implement a plan to ensure awareness of the STI review requirements contained in this NPR.

f. Ensure that NASA STI Program has STI from their Centers, as well as the corresponding DAA forms, before the documents have reached the end of their retention period and are discarded.

g. Participate in the annual STI Compliance Reviews and institute any needed improvements following the results of these reviews.

h. Be responsible for instituting a process to ensure that timely (prior to needed release date) notification is given to authors, initiators, and approvers of STI, including, as a minimum, the disposition of the STI, either approved or disapproved, to help ensure that only appropriately approved STI is released.

2.7 Center DAA Representatives shall:

a. Coordinate with the Center's authors, STI Manager, COs, CORs, GOs, GTOs, and managers who approve STI in order to track, file, and transfer the NF-1676 and its associated STI, after approval, to NASA STI Program.

b. Monitor and take action on reports of rejected DAA and other DAA problems in coordination with STI Program.

c. Ensure that all DAA forms have received a quality review before the document and DAA form are fully approved and sent to NASA STI Program (see Appendix D).

2.8 Managers Who Approve STI at Centers shall:

a. Ensure that STI in their areas of responsibility receives appropriate technical review and management review (through the DAA) prior to NASA publication, release outside the Agency, or being made available to foreign persons.

b. Consult with the Center's DAA representative, COs, CORs, GOs, GTOs, and STI Manager, as necessary, to ensure STI received appropriate reviews.

c. Be responsible for coordinating the quality of their publications with this NPR.

2.9 Contracting Officers (COs) shall:

a. Receive the final STI reports (and additional STI reports required by the contract) from contractors, and submit the reports to the COR for review and acceptance.

b. Ensure that STI requirements and information security protection consistent with this NPR and NPR 2810.1 are placed in NASA contracts.

2.10 Contracting Officer's Representatives (CORs) shall:

a. Coordinate with the CO regarding contract issues and with the Center STI Manager regarding publication issues.

b. Ensure that contractor-produced STI receives a DAA review if the Center elects to publish or release the STI external to the Agency or will make the STI available to foreign persons by, or under the direction of, NASA.

c. Send a copy of the DAA-approved STI and the associated DAA form to the STI Manager and/or DAA representative.

d. Comply with Center procedures for notifying the contractor if and when the STI is approved for publication by NASA.

2.11 Grant Officers (GOs) shall:

a. Receive copies of reports from the grantee (or via the NASA Shared Services Center) and coordinate with the Center GTO or other appropriate person to initiate the DAA process if the Center elects to publish or otherwise release the STI external to the Agency or will make the STI available to foreign persons by, or under the direction of, NASA.

b. Ensure that STI requirements consistent with Agency needs and this NPR are placed in NASA grants and cooperative agreements.

2.12 Center Grant Technical Officers (GTOs) shall:

a. Receive final reports.

b. Review and accept final reports.

c. Ensure that the DAA is initiated if NASA elects to publish any report.

2.13 Authors of STI (see also Section P.2) shall:

a. Coordinate with appropriate managers, the Center STI Manager, and their Center technical publication office to select the appropriate channel for release of STI.

b. Publish or otherwise release external to NASA (including via the Internet) only STI that has been reviewed at the appropriate organizational level for technical accuracy and conformance with applicable law, policy, and publication standards, and has been approved for release as prescribed by this NPR and the references cited herein.

c. If STI is believed to be SBU, all levels of authorships and approval are responsible for coordinating with the applicable NASA designating official in accordance with NID 1600.55 so that a determination of SBU status can be made prior to the DAA review. Whether or not the STI is being authored and intended for release, the STI should be assessed and identified as SBU, where appropriate.

d. If the author is a non-NASA author, coordinate with the author's COR or GTO, who will initiate the DAA when NASA plans to release the document, or if the contractor or grantee author will release it for or on behalf of NASA and the STI requires a DAA (see Section 1.3.10.). Additionally, the author shall comply with terms and conditions in their contract, grant, or cooperative agreement for depositing as-accepted manuscripts of journal articles to the PubMed Central system. For more information, see NASA's Open Data Web site at: https://open.nasa.gov/open-data/.

e. Release NASA STI only as approved by the DAA review (for non-NASA authors when they release NASA STI for or on behalf of NASA; see Section P.2), if the author is a NASA or non-NASA author.

f. NASA authors shall comply with NASA's policy, NPD 2230.1, by following the DAA process and complete validation steps required for the release of as-accepted manuscripts on the PubMed Central system. For more information, see NASA's Open Data Web site at: https://open.nasa.gov/open-data/.

2.14 NASA STI Program shall:

a. Acquire (collect), organize, disseminate, and archive (through NARA) approved STI.

b. Disseminate NASA STI to the Government Publishing Office, Federal Depository Libraries, and the National Technical Information Service.

c. Provide products and services for NASA related to STI content management of research and development information.

d. Use only information systems that have a NASA-approved security assessment and Authorization to Operate in accordance with NPR 2810.1 to process, store, or transmit NASA information.

e. Coordinate with other NASA offices and Federal agencies to facilitate compliance with policy outlined in NPD 2230.1 in regard to STI publications.

f. Maintain and operate the Electronic Document Availability Authorization (EDAA) system, in accordance with STIPO requirements, for NASA.

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