PURPOSE: To provide guidance on the treatment of
scientific and technical information (STI) produced under Research and
Development (R&D) contracts.
BACKGROUND:
(A) Scientific and Technical Information
(STI) is the collected set of facts, analyses, and conclusions resulting
from scientific, technical, and related engineering research and
development efforts, both basic and applied. NASA STI may be produced either directly by NASA or under NASA contracts.
(B) Policy on the management of NASA STI and procedures for dissemination
of NASA STI are contained in NPD 2200.1A, Management of NASA Scientific
and Technical Information (STI), and NPR 2200.2B, Requirements for Documentation,
Approval, and Dissemination of NASA Scientific and Technical Information.
NPD 2200.1A provides that:
In keeping with the National Aeronautics and Space Act of 1958, as amended, NASA
shall "provide for the widest practicable and appropriate dissemination" of the STI resulting from NASA's research effort, while precluding the inappropriate dissemination of sensitive information. NASA shall disseminate STI in a manner consistent with U.S. laws and regulations,
Federal information policy, intellectual property rights, technology
transfer protection requirements, and budgetary and technological limitations.
(C) Pursuant to law, certain types of information in the possession and control of the
Government are required to be protected from public disclosure. The Freedom of Information Act provides
guidance as to categories of protected information that are exempt from mandatory release. Types of information
to which public access may be prohibited or limited include national security classified information,
export-controlled information, personal information subject to the Privacy Act, and proprietary information of the
Government or others such as confidential commercial information, trade secret information, Small Business
Innovation Research/Small Business Technology Transfer (SBIR/STTR) data (as defined in FAR 52.227-20) and
documents disclosing inventions.
(D) NASA STI is published through a variety of mechanisms that include the NASA
STI Report Series and non-NASA scientific and technical channels, such
as external publications (e.g., professional society journals and similar
periodicals), or conference, symposia, and workshop presentations or
proceedings. One mechanism for disseminating NASA STI, which includes the final report and any additional reports required as a deliverable under R&D contracts, is through the NASA Center for AeroSpace Information (CASI). CASI serves as the historical repository in coordination with the National Archives and Records Administration (NARA) of NASA or NASA- funded research information, which can be accessed by persons or institutions outside of NASA. NASA CASI maintains NASA's STI Database.
(E) Before inclusion in the CASI repository and database, STI must be reviewed
to determine whether public access to the information must be prohibited
or restricted (See paragraph (C) above). This NASA review is referred to as the document availability authorization (DAA) review, NASA Form (NF) 1676 (or a center's implementation of this form). The DAA review process is intended to ensure that NASA does not inappropriately
release information to which public access may be prohibited or limited.
(F)(1) While NASA STI may be produced either directly by NASA or under NASA
contracts, the NASA DAA review process applies only to the publication and dissemination of NASA STI by NASA
or under the direction of NASA. Therefore, the DAA review process is mandatory for all NASA STI released outside
of NASA, including on websites, or presented at conferences or seminars at which foreign nationals may be
present; this includes the NASA STI Report Series, which includes the Contractor Report (CR) series for publishing
reports prepared by contractors as deliverables under the terms of the contract.
(2) Except as described in (3) below, the DAA review process does not apply to documents
published by contractors even if the documents contain STI first produced by contractors in the performance of a
NASA contract. However, the contractor is responsible for reviewing publication or dissemination
of documents containing STI first produced in performance of the contract for
conformance with laws and regulations
governing its distribution, including intellectual property rights, export
control, national security and other requirements, and to the extent the contractor
receives or is given access to data necessary for the performance of
the contract which contain restrictive markings, for complying with such
restrictive markings.
(3) The DAA review process is applicable to NASA contractors if they elect, or are
required under the terms of their contracts, to have their reports reviewed by and/or published by NASA. Thus,
when NASA takes possession of a "Final Report" that is required as a deliverable under an R&D
contract, NASA has the right to regulate its dissemination and publication
by requiring a DAA review prior to its release outside of NASA.
(G) Any restrictions or limitations placed on NASA contractors regarding the
distribution, dissemination, or publication of STI produced under a contract
must be consistent with the Federal Acquisition Regulations (FAR) and
the NASA FAR Supplement (NFS). Notwithstanding, NASA's rights in the "Final Report," as stated earlier, the standard FAR data rights clause (52.227-14, Rights in Data--General) gives the Contractor the right to use, release to others, reproduce, distribute, or publish any data first produced or specifically used by the Contractor in the performance of the contract, including data contained in the "Final Report," except to the extent such data may be subject to the Federal export control or national security laws or regulations, is provided to the Contractor with restrictive markings (e.g., trade secret or proprietary data owned by the Government or others), or unless otherwise expressly set forth in the contract. (See FAR clause 52.227-14, Rights in Data--General, at paragraphs (b)(2) and (d)). In fact, in order to enhance the transfer or dissemination of information produced at Government expense, paragraph (c)(1) of the Rights in Data clause states, "Unless provided otherwise [in the contract], the Contractor may establish, without
prior approval of the Contracting Officer, claim to copyright subsisting
in scientific and technical articles based on or containing data first
produced in the performance of this contract and published in academic,
technical or professional journals, symposia proceedings or similar works."
(H) Since the Rights in Data clause provides that contractors may publish any data first
produced or specifically used by the contractor in the performance of the contract with certain exceptions, it is
necessary to determine if any of the exceptions may apply and specifically state in the contract what review
requirements are mandated before the contractor may release data produced in performance of the contract.
(I) The clause at 1852.235-73, Final Scientific and Technical Reports, with its
Alternates, provides direction to the contractor regarding their ability
to release data first produced or used in performance of the contract. The basic clause requires the submission of a final report and restricts the publication or other dissemination of only the final report, or any additional reports required by the contract, until NASA has completed its DAA review, and the availability of the report has been determined. This basic provision allows the contractor to release all data other than the "Final Report" or any additional reports required by the contract without approval from NASA.
(J) Alternate I to 1852.235-73 places no restrictions on the contractor for release
of data, including the final report; retains NASA's right to review the
final report for compliance with any restrictive markings; and reminds
contractors of their responsibilities for review of the data for compliance
with restrictions stated in the contract and compliance with restrictive
markings if provided or given access to proprietary data necessary for
performance. This alternate is appropriate when the work is considered "fundamental research" as defined at 15 CFR 734.8 and 22 CFR 120.11(8), will be shared broadly with
the scientific community, and no foreign national access or dissemination
restrictions apply. An example of this type of research could include
research into advances in medical technology.
(K) Alternate II to 1852.235-73 restricts all releases of data, except to NASA,
without prior review by NASA. This alternate is appropriate when the data developed under the contract may be
subject to export control, national security restrictions, other restrictions designated by NASA, or the contractor
is given or provided access to proprietary information of others. An example of this type of research could
include research into advanced remote sensors.
GUIDANCE:
(A) Include in all R&D contracts, the clause at 1852.235-73, Final Scientific and
Technical Reports. Before using either Alternate I or II to 1852.235-73, the Contracting Officer
must coordinate with the requiring organization and the Center Export Control
Administrator and/or Chief or Patent
Counsel, as appropriate, to determine whether or not any restrictions apply
to data produced under the contract. (See paragraph (C) under Background, above.)
(1) Use the basic clause, if
only the final report, or any other reports required by the contract, require
NASA review and approval before release outside of NASA.
(2) Use the basic clause with
Alternate I when the contractor may release all data, including the final report,
or any other reports required by the contract, without
review and approval by NASA.
(3) Use the basic clause with
its Alternate II when it is appropriate to restrict the release of data outside
of NASA, until reviewed by NASA.
(B) Consistent with the Rights in Data--General clause, except for the final
report and other reports required as deliverables under the contract,
or when Alternate II to 1852.235-73 is used, do not require pre-publication
review and approval of contractor publications containing data first
produced in performance of the contract. Advance notice/copies of contractor publications containing such data provided for informational purposes do not require NASA approval and should not delay the contractor's publication of such contractor publications. Contractor publications that include data first produced in performance of the
contract includes articles in professional society journals and similar
periodicals, or conference, symposia, and workshop presentations or proceedings.
(C) (1) The contracting officer's technical representative (COTR) is responsible
for –
(a)
Review and acceptance of the final report and any other reports required
to be delivered under the contract;
(b)
Ensuring that the DAA review is initiated upon acceptance of contractor reports
that will be published or released outside of NASA or presented at an internal
conference or seminar at which foreign nationals may be
present;
(c)
Coordinating with the Center STI/Publication Manager to resolve any possible
publication issues; and
(d)
Ensuring that the Center STI/Publication Manager is provided the DAA-approved
STI and the original approved DAA form.
(2) The Center STI/Publication
Manager shall forward the approved STI and a copy of the approved DAA form to
CASI and notify the COTR.
(3) Centers shall establish procedures for notifying the contractor if and when the STI
has been approved for publication by NASA. Generally, this notification should be provided by the office
responsible for approval of the DAA or the Center STI/Publication Manager.
(D) NFS clause 1852.235-73, Final Scientific and Technical Reports, strongly
encourages the use of electronic formats for the submission of reports. If the final report will be submitted electronically,
contracting officers should require the contractor to also submit one paper
copy of the final report which can be used to validate items such as
math and symbols that frequently get transposed due to font substitutions.
Information regarding appropriate electronic formats is available at http://www.sti.nasa.gov, under "Publish STI - Electronic File Formats."
(E) NASA policy regarding electronic submission of STI that is export controlled
or limited or restricted via the Internet and email is currently under
development. As a result, the clause at 1852.235-73, Final Scientific and Technical Reports instructs contractors to contact the contracting officer to determine NASA's requirements before electronically transmitting these forms of STI. Information regarding NASA's requirements will be posted on http://www.sti.nasa.gov, "Publish STI -- Electronic File Formats" as soon as it becomes available. In the interim, if appropriate electronic safeguards are not specified or available
at the time of submission, a paper copy or a CD-ROM of the report shall
be submitted.
The enclosed process is representative of the responsibilities noted above.
EFFECTIVE DATE: This PIC is effective as dated and shall remain in
effect until canceled or superseded.
HEADQUARTERS CONTACT: Celeste Dalton, Code HK, (202) 368-1645, e-mail: cdalton@hq.nasa.gov.
Scott Thompson
Director, Contract Management Division
Enclosure
+ The following table outlines the workflow process for publishing STI. Those
using special browsers may want to review the text-only version, which
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