Procedural
Requirements
Effective Date: December 17, 2021
Expiration Date: December 17, 2031
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NASA Procedural Requirements |
NPR 2200.2E Effective Date: December 17, 2021 Expiration Date: December 17, 2031 |
| | TOC | ChangeLog | Preface | Chapter1 | Chapter2 | Chapter3 | Chapter4 | AppendixA | AppendixB | AppendixC | ALL | |
4.1.1 NASA STI shall be made available to the public unless the information should be restricted by law (see section 4.4).
4.1.2 NASA's documentation, approval, and dissemination procedures are based on statutory requirements borne out of federal law and government regulations (see P.3 Authority and P.4 Applicable Documents and Forms).
4.1.3 To ensure compliance, the Agency's STI Compliance and Distribution Services shall provide the requisite means through which all STI approval and release requests are processed, the NF-1676.
4.1.4 The NF-1676 is the approval workflow that routes author requests to disseminate and publish NASA STI. Authorized approvers in the NF-1676 workflow routing may include managers, legal, and export control. The specific list of approvers may vary depending on the details of the STI.
4.1.5 Prior to NASA releasing or disseminating STI, all authors shall obtain a completed, approved NF-1676 (see figure 4.1), NASA Scientific and Technical Information Discovery System, STRIVES. As part of completing the NF-1676, authors shall coordinate with technical management and/or the Contract/Grant Officer and/or STI personnel to assess STI under development to:
a. Select a publication channel, or venue through which the STI is planned to be released. See section 4.2.
b. Complete requisite technical/management/editorial reviews and any other applicable programmatic approvals or authorizations. See section 4.3.
c. Confirm data rights in contract or grant clauses regarding release of STI by contractors and grantees. See section 1.1.4.b.
d. Initiate and follow through on the NF-1676 process requirements for obtaining approval to release or disseminate. The author is authorized to release STI when the NF-1676 is approved by all authorized approvers and the STI personnel quality control and verification reviewer.
e. Determine any potentially applicable distribution or printing needs.
Figure 4-1. NASA STI passes through a series of gates prior to being released. Center STI personnel are available to assist with understanding the above outlined actions and processes.
4.1.6 STI Compliance and Distribution Services contact information: E-mail: https://sti.nasa.gov/sti-contact-form/?RequestType=General
4.2.1 NASA and NASA-funded authors may publish in either the NASA STI Report Series or through non-NASA channels, such as periodicals, oral presentations with written or visual documentation, or proceedings of scientific and technical conferences and workshops.
a. Authors shall initially select the publishing channel, including evaluating open access publications, in consultation with technical management or the COR or GTO (if applicable) and/or Center STI personnel.
b. Authors select a publishing channel based on the content of the document and the intended readership and is subject to approval by technical management within their organizations or the COR or GTO.
c. Authors shall clearly indicate NASA's support in all externally published STI featuring NASA research, development, and related efforts, preferably as a first-page footnote unless a style requirement specifies indicating acknowledgments in another manner.
d. When including NASA and any other government, industry, or academic logos, authors shall conform to existing NASA guidance on use of logos. See NASA's Office of Communications Policies and Guidance page to access the NASA Graphics Standards Manual or seek guidance from center STI personnel.
e. Because style and format standards for NASA STI publications vary due to media output or discipline, authors shall consult with Center STI personnel for guidance. Format requirements specific to the STI Report Series publication channel are detailed in the STI Procedural Instructions.
4.2.2 Authors who choose to publish through the NASA Report Series shall select, in consultation with technical management or the COR or GTO, a document type from the NASA STI Report Series listed subsequently and further detailed in the STI Procedural Instructions. The following are brief descriptions of the document types available:
a. The Technical Publication (TP) series includes 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 akin to professional or technical publications that are peer-reviewed; however, TPs have less stringent limitations on manuscript length and extent of graphic presentations often imposed by professional and society publishers.
b. The Technical Memorandum (TM) series records scientific and technical findings that are preliminary or of specialized interest (e.g., quick-release reports, working or white papers, and bibliographies) that contain minimal annotation. TMs do not contain extensive analysis.
c. The Contractor Report (CR) series includes reports of scientific and technical findings by NASA-sponsored contractors and grantees as well as dissertations or theses.
(1) When funded by NASA, applicable interim and final contract, grant, or cooperative agreement reports shall be published by as a CR.
(2) Contractors or grantees shall submit STI such as final reports, when specified in the contract, grant, or cooperative agreement, in accordance with their respective contractual requirements, to the NASA CO, COR, GO, or GTO of record.
(3) Reports authored by contractors or grantees shall be processed through the NF=1676 process by the cognizant NASA manager and CO, COR, GO, or GTO if further dissemination is determined to be in the interest of the Agency.
d. The Conference Publication (CP) series contains collected papers from scientific and technical conferences, symposia, seminars, or other meetings sponsored or cosponsored by NASA.
e. Meeting organizers of NASA-sponsored conferences shall collect permissions from non-NASA authors to allow NASA to publish and distribute content contributed to the proceedings that will be released and disseminated in any manner.
f. The Special Publication (SP) series records scientific, technical, or historical information from NASA programs, projects, and missions and is most often concerned with subjects having substantial public interest.
g. The Technical Translation (TT) series consists of English-language translations of non-English scientific and technical material pertinent to NASA's mission.
4.2.3 Authors shall submit NASA preprint STI manuscripts, intended for journal publication acceptance, for approval via NF-1676 prior to submission to the periodical (contractors and grantees adhere to the requirements/terms of their agreements).
a. STI, once accepted for publication, includes changes requested by the publisher and is referred to as an "accepted manuscript." Additional policy relative to NASA's expectations regarding access requirements and accepted manuscript handling can be found in NPD 2230.1.
b. Upon acceptance for publication in a periodical, authors of journal articles shall fulfill public access requirements by providing the author's accepted manuscript version via NF-1676. (See the STI Procedural Instructions for guidance on an abbreviated submission when a preprint NF-1676 has already been submitted for the same work.)
c. Authors shall seek out consultation of legal counsel for any necessary questions regarding copyright of STI in materials being published in a periodical. Based on Subject Matter of Copyright: United States Government Works, 17 U.S.C. § 105, NASA may use and distribute preprints, and they may be released to STI repositories, whether authored by a government employee or by a contractor, grantee, or other agreement recipient.
d. Authors who choose to publish in a periodical may discover charges imposed by publishers. When NASA STI, authors shall coordinate payment through the NASA organization sponsoring the research, with whom payment responsibility lies, at the earliest stage possible.
4.2.4 When NASA STI, authors using STI in an oral presentation that is to be delivered publicly shall submit the materials for approval prior to the presentation via the NF-1676 process.
a. When NASA STI, authors planning to deliver internal presentations in the presence of a foreign person shall submit the materials for approval prior to the presentation via the NF-1676 process.
b. When NASA STI, authors engaging in planned, scheduled topic discussions that do not include written or visual documentation shall submit an abstract for approval prior to the presentation via the NF-1676 process.
4.2.5 When NASA STI, authors shall submit an NF-1676 for any materials prepared for release or presentation at any symposia, virtual or in person, including supporting or embedded visual documentation, video, audio, or other interactive components.
a. When NASA STI, authors shall include in symposia presentations or papers the copyright notice when applicable (e.g., joint works, NASA employee/government works, or those prepared under contract, grant or cooperative agreement). See the STI Procedural Instructions for examples.
b. Authors shall present sensitive information only during symposia whose venues have been secured for presentation of restricted information. If there is any concern that some attendees are not known or authorized to receive restricted technical data or technology, meeting discussions and presentation material should be limited to that which is in the public domain.
4.3.1 The sponsoring organization or program shall provide professional or technical review and management approval of STI. Requirements may vary depending on the STI's content and publishing channel (see section 4.2).
4.3.2 Authors shall obtain professional, technical, or any necessary management reviews and approvals per Center guidance prior to submission of an NF-1676 and its associated STI. See definitions of these review types for more information and seek guidance from Center STI personnel.
a. For assistance in determining need for and obtaining professional or technical reviews, authors shall consult with organizational management.
b. Authors shall ensure STI Report Series documents receive the review treatment specified for each report type in the STI Procedural Instructions.
4.3.3 Authors shall safeguard restricted or sensitive information in accordance NPR 2190.1 and NID 2810.135, NASA IT security requirements, and this NPR, while obtaining pre-NF-1676 reviews and approvals.
4.3.4 Authors and reviewers/management approvers shall adhere to the standards of authorship provided below.
a. Author order. Because of the complexity of scientific and technical work, the majority of STI planned for release has multiple authors. Authors' names typically appear in a sequence that indicates their respective responsibilities for the reported results; that is, the first author is the chief contributor and writer, and other authors follow in the order of their responsibilities/contributions. This is the preferred method for NASA STI Report Series. For NF-1676 submissions of third-party publisher content, the publisher's preference is acceptable.
b.Authors. Authorship of NASA STI will be reserved for persons participating directly in performance of the work from which research results are derived and who can effectively defend the main technical content to a peer group. Authors are those who make significant intellectual or theoretical contributions to overall research and development activities, including system or experimental design, prototype development, and analysis and interpretation of data. Other significant authorship contributions may involve drafting the publication or reviewing and revising for intellectual content, as well as approving a final version as accepted for publication, including validating references.
c. Contributors. Recognizing technical or professional areas of support by individuals other than authors, when significant, is to be done in an acknowledgment section. Acknowledging technical editorship is justified when an editor has contributed scientific and technical expertise and judgment. It is also important to recognize significant contributions directly related to substantive professional editorial support or publication preparation.
d. References: References to works by others are be cited in a list of references/bibliography.
4.4.1 The NF-1676 is NASA's compliance review for the publication, dissemination, and presentation of NASA STI by or for NASA through any channel or media.
4.4.2 The NF-1676 process protects authors and the Agency by ensuring STI is disseminated in a manner consistent with U.S. laws and regulations, federal information policy and publication standards, intellectual property rights, and technology transfer protection requirements.
4.4.3 The NF-1676 review determines if STI is subject to one or more of the following restrictions, and therefore requires restricted access.
4.4.3.1 Export control regulations specify categories of technical data that may not be exported or disclosed to foreign persons, in the United States or abroad, without proper authority (see NPR 2190.1, NASA Export Control Program). Export control limitations are applied to information subject to:
a. Export Control Reform Act of 2018, 50 U.S.C. §§ 4801-4852.
b. Export Administration Act of 1979, 50 U.S.C. app. 2401 et seq.
c. International Traffic in Arms Regulations 22 CFR pts. 120 - 130, ITAR.
d. Export Administration Regulations, 15 CFR pts. 730 - 774, EAR.
4.4.3.2 CUI is information required to be protected by statute or in accordance with an agreement (Controlled Unclassified Information, 32 CFR pt. 2002). NASA requirements for handling CUI data are provided in NID 2810.135. More details on CUI marking can be found from the OCIO here: https://www.nasa.gov/content/controlled-unclassified-information.
a. NASA STI restricted under ITAR and EAR will be handled and curated as CUI by default unless a designated NASA official instructs otherwise.
b. Personally identifiable information (PII) is information which can be used to distinguish or trace an individual's identity. Privacy Act- NASA Regulations, 14 CFR pt.1212, sets forth requirements for the management of personal information contained in federal records. See NPR 1382.1, NASA Privacy Procedural Requirements, for details on PII.
c. Proprietary information refers to legal property rights that are owned by an individual that exclude others from using, selling, reproducing, displaying, or distributing the information. For the purposes of the NF-1676 review process and this NPR, proprietary STI contains:
(1) limited rights data received as a deliverable under a Government contract,
(2) Small Business Innovation Research (SBIR) data,
(3) trade secret/confidential commercial information,
(4) copyrighted information,
(5) information disclosing inventions, and
(6) any other information subject to laws governing public access to information as set forth in 51 U.S.C. § 20131(b).
4.4.4 Authors shall include notices on documents containing sensitive or restricted-access STI that are applicable to all valid restrictions along with any associated expiration date. Consult with STI personnel or see the STI Procedural Instructions for details and information on accessing templates.
a. Document marking notices for SBU/CUI information will be in accordance with requirements set forth in NID 1600.5 and NID 2810.135, respectively.
b. Information regarding document marking notices for export control information are provided by NAII 2190.1, NASA Export Control Program Handbook.
c. Document marking notices for SBIR/STTR, trade secret, and copyright can also be found in the STI Procedural Instructions.
4.4.5 Document distribution limitations.
4.4.5.1 STI is released to the public unless restrictions are identified during the NF-1676 review. STI is released to the widest audience public audience possible; however, STI containing sensitive content is protected and is therefore distributed to limited audiences. STI released after October 1, 2021 will follow the categories set forth by CUI policy. STI releases predating October 1, 2021, will retain the legacy distribution categories. The legacy categories for release of STI are:
a. Publicly releaseable (no distribution limitation).
b. Limited:
(1) U.S. Persons.
(2) U.S. Government Agencies and U.S. Government Agency Contractors Only.
(3) U.S. Government Agencies Only.
(4) NASA Contractors and U.S. Government Agencies Only.
(5) NASA Personnel and NASA Contractors Only.
(6) NASA Personnel Only.
(7) Available Only With Approval of Issuing Office (Mission Directorate or NASA Center).
4.4.5.2 Authors required to use restrictions other than those specified herein shall coordinate requests with the Center STI Manager to receive prior approval from export control and legal counsel.
4.4.5.3 Authors with appeals for revising dissemination determinations shall submit via the NF-1676 process.
4.4.5.4. Authors shall coordinate dissemination appeals through the Center STI Manager.
4.4.5.5 The process to submit invention disclosures, NF-1679, Disclosure of Invention and New Technology, and point(s) of contact at each NASA Center are available at the eNTR website: http://invention.nasa.gov.
4.5.1 NASA disseminates STI electronically on the NASA Technical Reports Server located at https://ntrs.nasa.gov/.
4.5.2 STI Compliance and Distribution Services archives its holdings per requirements set forth in NPR 1441.1.
4.5. 3 Hard copy printing or distribution of STI is the responsibility of the Center of origin. Publications are distributed and printed through Center duplicating or copying facilities or the GPO, in accordance with NPD 1490.1, NASA Printing, Duplicating, and Copying Management.
| TOC | ChangeLog | Preface | Chapter1 | Chapter2 | Chapter3 | Chapter4 | AppendixA | AppendixB | AppendixC | ALL | |
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