NASA Procedures and Guidelines
This Document is Obsolete and Is No Longer Used. Check the NODIS Library to access the current version: http://nodis3.gsfc.nasa.gov
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 5. Symposium Presentations and External Publications

5.1 Purpose.

This chapter gives the requirements that apply when NASA employees prepare papers for or participate in scientific and technical symposia and when they prepare and submit information (e.g., monographs or journal articles) for external (non-NASA) publication. Criteria for the payment of page charges for Government-sponsored research results published in professional journals are also given. Requirements presented in this chapter will apply to contractors and grantees only if these policies and standards are provided under the terms of their contracts or grants.

5.2 General Requirements.

5.2.1 Prepare papers and articles according to formats and standards set by individual societies and journals.

5.2.2 Ensure that dissemination of information in symposium presentations or in external publications is approved in accordance with procedures included in Chapter 6.

5.2.3 Indicate NASA support in presentations and publications.

5.2.3.1 Ensure that all symposium presentations and external publications that are derived from NASA research and development and related efforts by contractor and grantee clearly indicate NASA's support, preferably as a first-page footnote, unless the required style requires acknowledgement in another manner.

5.2.3.2 Include the notice of copyrighted information provided in Appendix I, Exhibits I.6.a-c on the cover, title page, and RDP (See Appendix D.6.6.2) for works authored by NASA employees as part of their official duties and submitted for external (non-NASA) publication in scientific and technical journals, symposia proceedings, or similar works.

5.2.4 Provide copies for the STI repository.

5.2.4.1 NASA authors presenting papers not prepared as preprints in the TM series and authors of articles submitted to journals shall provide an electronic copy of each paper or article or the electronic file to the NASA STI Program for inclusion in the STI repository along with a copy of the approved DAA form.

5.2.4.2 Authors shall coordinate this activity through their Center's STI manager or technical publications office.

5.2.4.3 Add citations and a copy of these papers, as submitted, to the STI repository with information concerning the expected publication.

5.3 Projected Visuals and Journal Articles.

5.3.1 Ensure that projected visuals and journal articles that are not made part of the NASA numbered series are reviewed via the DAA process.

5.3.2 Send these documents with their approved DAA form and an abstract to STI Program for archiving by the Center DAA representative.

5.4 Requirements for Symposium Presentations.

5.4.1 NASA employees presenting papers at symposia shall ensure that the papers contain substantive content in the discipline concerned, make a positive contribution to the state of knowledge, and reflect the high professional standards under which NASA operates.

5.4.2 NASA employees presenting papers shall ensure that papers proposed for presentation at symposia will be reviewed in accordance with the cognizant NASA Headquarters or Center review requirements and the procedures included in Chapter 6.

5.4.3 The reviewer shall consider technical accuracy, appropriateness to the subject matter of the meeting, compatibility with NASA's interest and responsibilities, avoidance of classified or restricted-access information, and quality of the data and information in the review.

5.4.3.1 Because many presentations of papers are followed by the presentations' incorporation in proceedings or other professional publications, the technical quality and value of such presentations will be of paramount consideration in the review.

5.4.3.2 NASA Headquarters or Center reviewers shall ensure in their reviews that papers that describe NASA program activities are properly presented at symposia by personnel well acquainted with the activities.

5.4.4 Presentation of unclassified information.

5.4.4.1 Presenters shall deliver all NASA unclassified presentations or papers in unclassified sessions (sessions that are not labeled classified or with any form of SBU content, and that do not have attendance restricted to persons having prescribed security clearances and an established need to know) in order to promote NASA's ability to meet its statutory requirement (National Aeronautics and Space Act, 51 USC 20112) of ensuring the widest practicable and appropriate dissemination of STI.

5.4.4.2 Include NASA unclassified and non-sensitive presentations or papers in unclassified documents whenever feasible.

5.4.5 Presentation of protected information.

5.4.6 Restricted-access information will only be presented at restricted-access meetings. Restricted-access information is information whose publication or distribution is restricted by law, regulation, or policy such as described in Section 6.2.4.

5.4.6.1 Omit protected information from symposium presentations so that meetings can be open when possible and so that publications resulting from these meetings can be made available to the public.

5.4.6.2 Restrict protected information to special sessions at which attendees have been appropriately cleared.

5.4.7 NASA meeting organizers shall produce one of the following documents when NASA sponsors an unclassified meeting or workshop in which restricted-access information is presented (e.g., information covering technology that needs to be protected from public disclosure):

a. A limited-distribution document that contains the entire meeting results.

b. Or preferably, an unclassified/unlimited distribution document that contains as much information as possible and an appropriately marked companion document containing only the information that needs to be restricted.

5.4.7.1 Limit distribution of the companion document according to the type of restriction.

5.4.7.2 Clearly mark restricted-access information as such on each page containing the restricted information.

5.4.8 Presentation of classified information.

5.4.8.1 Identify, mark, and handle classified information in accordance with NID 1600.55.

5.4.8.2 Include classified information in symposium presentations, classified sessions, and/or classified proceedings or other publications only when it is essential to the presentation.

5.4.9 NASA employees presenting classified information shall prepare and publish their paper in the TM series as a preprint if it needs to be distributed at a conference.

5.4.10 If the RDP is used, state the name and date of the meeting in Block 13, SUPPLEMENTARY NOTES, for the preprint. The name and date of the meeting may also be placed on the title page.

5.4.11 NASA meeting organizers shall only make commitments, such as producing and distributing a NASA Conference Publication (CP) which will result in NASA becoming the principal resource for a symposium when NASA sponsorship is approved by the Center Director or designee.

5.4.12 NASA meeting organizers shall collect permissions from non-NASA authors to allow NASA to publish and distribute content contributed to proceedings which will be released as a CP.

5.5 Publication of Journal Articles and Open Access Requirements.

5.5.1 Publication of journal articles typically follow the sequence below, each of which require DAA processing.

5.5.2 Preprint - A preprint is the journal article version that is submitted to the journal publisher to request acceptance and publication. Complete a DAA for preprints prior to submission to a publisher, preprint archive, and/or external peer review committee. A preprint may be released to STI repositories if this option is checked on the DAA.

a. Publications authored solely by U.S. Government employees as part of their official duties are not protected by copyright in the United States per 17 USC § 105. Because there is no copyright to assign to a publisher if NASA-authored STI is published through a non-NASA publication, NASA may use and distribute the preprint.

b. When an article produced under a NASA-funded contract, grant, or cooperative agreement is published in a professional journal, the non-Government author often assigns copyright to the publisher. Under the contract grant, or cooperative agreement, NASA has a license to use and distribute information resulting from the contract, grant, or cooperative agreement. Thus, NASA may use and distribute the preprint.

5.5.3 As-accepted Manuscript - An as-accepted manuscript is the version of the journal article that has been accepted for publication by a journal publisher and includes changes requested by the publisher and made by the author during the peer-review process. It typically includes the same content as the published article in the journal but frequently (not always) does not include the publisher's form or format. NASA Civil Servant authors shall fulfill the requirements of NPD 2230.1, Research Data and Publication Access, by submitting a DAA (or a revised DAA) for the as-accepted manuscript. As-accepted manuscripts processed via the DAA will be deposited to NASA's as-accepted manuscript repository (NIH's PubMed Central) as well as the NTRS. Author completes validation steps required for the release of as-accepted manuscripts on the PubMed Central system. As-accepted manuscripts are released to STI repositories 12 months after their publications date. For more information see NASA's Open Data Web site at https://open.nasa.gov/open-data/.

5.5.4 Reprint - A reprint is the version that is published in the journal by the publisher. It will typically have the date of publication and volume number. Some Federal agencies and publishers also call these the Version-of-Record manuscript. Submit a DAA (or a revised DAA) for reprints. Reprints require publisher permission in order to release to STI repositories.

5.5.5 Payment of charges imposed by publishers for including articles or papers in their publications is the responsibility of the originating Center. Guidelines for the use of private publishers are given in Section 7.8.

5.5.6 The publication of STI through non-NASA channels does not preclude the publication of equivalent information by NASA. For example, if significant findings are reported initially in a prominent journal (in which space limitations might constrain complete presentation of text and figures), a more detailed documentation of these findings may be published in an appropriate NASA STI Report Series publication.

5.5.7 To avoid duplication, authors shall not publish identical NASA material through different channels with the following exception: preprints of journal articles (e.g., journal articles as submitted to the journal) or presentations made at professional meetings that may or may not appear in subsequently published proceedings may be published as a TM or CR.

5.5.8 Authors shall note on the RDP and the DAA form that the report is a preprint of a journal article.

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