Chapter 3: Requirements

3.1 NASA Mission Directorate Associate Administrators (MDAAs), Mission Support Directorate Associate Administrators (MSDAAs), the Agency's Chief Engineer, Chief Scientist, Chief Technologist, and Center Directors shall:

a. Ensure activities under their purview comply with NPD 2200.1 and this NPR.

b. Ensure STI under their purview receives a technical review (see section 4.3), 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. In this capacity, those serving on the Agency STI Board of Advisors shall:

(1) Provide feedback to STI Compliance and Distribution Services's current and future initiatives.

(2) Coordinate with the research and development producers, users and Center STI Managers within NASA.

3.2 NASA's Chief Information Officer (CIO) shall:
Grant the Information Management Program's (IMP) Program Executive programmatic and technical authority over NASA's STI Compliance and Distribution Services.

3.3 The Office of the Chief Information Officer's (OCIO) IMP STI Compliance and Distribution Services Executive shall:

a. Determine the strategic direction and approve the program plan for the STI Compliance and Distribution Services and ensure the plan aligns with IMP strategy and the IT Strategic Plan.

b. Coordinate the Agency's STI strategy with the NASA CIO, MDAAs, Office of the General Counsel, Chief Engineer, Chief Scientist, Chief Technologist, Center Directors, and MSDAAs.

c. Maintain oversight for STI Compliance and Distribution Services Office activities.

d. Assess the effectiveness of the STI Compliance and Distribution Services per Section P.5 of this directive.

3.4 STI Compliance and Distribution Services Office shall:

a. Acquire, collect, organize, disseminate, and archive approved STI.

b. Coordinate with the STI Compliance and Distribution Services Executive to recommend STI policy and procedures via NPD 2200.1 and this NPR.

c. Implement approved policy and procedures.

d. Ensure NASA STI is shared with entities as required by U.S. statute, such as, but not limited to, NARA, the Government Publishing Office (GPO), the Federal Depository Library Program, the National Technical Information Service (NTIS), and other national and international partners.

e. Operate and manage an Agency-level STI Compliance and Distribution Services in accordance with NPR 7120.7, NASA Information Technology and Institutional Infrastructure Program and Project Management Requirements.

f. Coordinate the development, operation, and maintenance of a digital collection of NASA STI.

g. Ensure that the IT system collecting NASA STI for the STI Compliance and Distribution Services has a security assessment and an authorization to operate in accordance with NPR 2810.1 to approve, curate, store, and transmit NASA information, and at a security category for CUI/SBU information in accordance with NID 2810.135 and NID 1600.55, Sensitive But Unclassified (SBU) Controlled Inforamtion, respectively.

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

i. In consultation with Agency level points of contact, facilitate the appeals process at the Agency level for requests about NF-1676 dissemination decisions when raised above the Center level.

j. Conduct periodic reviews to ensure that all Centers are in compliance with NPD 2200.1, NPR 2200.2, and implementation of the NF-1676 review process. Review findings are reported to each Center Director and the Center STI Manager.

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

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

m. Maintain and operate an Agency-wide approval process for NASA, the NF-1676, in accordance with STI Compliance and Distribution Services requirements.

3.5 Center Directors shall:

a. Ensure that all STI activities under their cognizance are performed in accordance with NPD 2200.1 and this NPR.

b. Designate individuals to serve as the Center STI Manager and as the Center STRIVES 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 Centers.

3.6 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 training in STI and information security protection for STI.

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

c. Ensure that Center STI and its approved NF-1676s are submitted to the NASA STI Compliance and Distribution Services.

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

e. Ensure that NASA STI Compliance and Distribution Services has STI from their Centers, as well as the corresponding NF-1676 forms, before the documents have reached the end of their retention periods and are discarded.

f. 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.

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

h. Monitor and ensure 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 approved STI is released.

i. On behalf of authors, coordinate dissemination determination change requests or appeals with the STI Compliance and Distribution Services Office.

3.7 Center STRIVES 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 Compliance and Distribution Services.

b. Monitor and take action on reports of rejected NF-1676 forms and other STRIVES challenges in coordination with the STI Compliance and Distribution Services Office.

c. Ensure that all NF-1676 forms have received a quality review before the STI is sent to NASA STI Compliance and Distribution Services.

3.8 Managers who approve STI at Centers shall:

a. Ensure that STI in their areas of responsibility receives technical review and management review prior to NF-1676 submission, NASA publication, release outside the Agency, or being made available to foreign persons.

b. Consult with the Center's STRIVES Representative, COs, CORs, GOs, GTOs, and STI Manager, as necessary, to ensure STI received proper reviews.

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

3.9 Center export control reviewers of assigned STI release requests shall:

a. Assess and ensure compliance of STI products, in accordance with NPR 2190.1.

b. Assist any program and agency personnel involved in the production and management of STI seeking guidance in determining the export controls for publishing and disseminating STI.

3.10 Center legal personnel reviewing STI release requests shall, upon requests for counsel:

a. Provide consultation services on conformity of information with laws and regulations governing distribution and intellectual property rights (copyrights and intellectual property such as trademarks or patents).

b. Assist any program and agency personnel involved in the production and management of STI seeking guidance in determining the restrictions or limitations for publishing and disseminating STI.

3.11 COs shall:

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

b. Upon receipt of research products, validate that materials meet terms and conditions and follow instructions for meeting NF-1676 document release requirements.

c. Ensure that STI requirements and information security protection are consistent with Federal regulations, this NPR, and NID 2810.135, and that the requirements and protection are placed in NASA contracts.

3.12 CORs shall:

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

b. If the Center elects to publish or release NASA STI external to the Agency or will make it available to foreign persons, ensure that contractor-produced STI receives an NF-1676 review.

c. Notify the contractor if and when the STI is approved for publication by NASA.

3.13 GOs/GTOs, and other cooperative agreement officers shall:

a. Receive, review, and accept STI from grantees (or via the NASA Shared Services Center, or NSSC).

b. Upon receipt of research products, validate that materials have been uploaded to NTRS per agreement requirements; assess whether any other materials, such as reports, need to be uploaded to NTRS; and determine if any other review or requirements are warranted.

c. Ensure that STI requirements consistent with 48 CFR pt. 18, are placed in NASA grants and cooperative agreements.

3.14 Authors of NASA STI shall:

a. Coordinate with technical management or CO/COR/GO/GTO, Center STI personnel, and STI Procedural Instructions to select a suitable publishing channel for releasing the STI.

b. Publish or otherwise release external to NASA (including via the Internet) STI only if it has been reviewed at the correct 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.

c. When STI is believed to be CUI, coordinate with the applicable NASA designating official in accordance with NID 2810.135 so that a determination of CUI status can be made prior to the NF-1676 review.

d. Regardless whether or not STI is being authored and intended for release, when sensitivity of data is in question, assess and identify the STI as CUI.

e. When a NASA author, release STI only when reviewed and approved via NF-1676.

f. When a non-NASA author, coordinate with the CO/COR to initiate the NF-1676 when NASA plans to release the document, or if the contractor author will release it for or on behalf of NASA.

g. NASA and non-NASA authors alike shall comply with applicable Agency policy set forth in NPD 2230.1 regarding open access requirements and for releasing accepted manuscripts of journal articles to the STI repository. See https://sti.nasa.gov for more information.

h. All authors shall ensure their STI is 508-compliant, in accordance with Section 508 of the Rehabilitation Act of 1973, as amended, 29 U.S.C. § 794d, regardless of the type of STI or scientific and technical channels. For more information, see https://section508.gov/create, or visit STI Procedural Instructions for additional details.

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