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Grant Information Circular

National Aeronautics and
Space Administration
Washington, DC 20546

GIC 07-02



April 5, 2007

SCIENTIFIC AND TECHNICAL INFORMATION

PURPOSE: To provide guidance on the treatment of scientific and technical information (STI) produced under Research and Development (R&D) grants and cooperative agreements.

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, both basic and applied.  NASA STI may be produced either directly by NASA or under NASA grants or cooperative agreements.

(b) Policy on the management of NASA STI and procedures for dissemination of NASA STI are contained in NPD 2200.1, Management of NASA Scientific and Technical Information (STI), and NPR 2200.2B, Requirements for Documentation, Approval, and Dissemination of NASA Scientific and Technical Information.

(c) 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 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 grants and cooperative agreements, 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.

(d) Before CASI may disseminate NASA STI on behalf of NASA, the STI must be reviewed by NASA to determine whether public access to the information must be prohibited or restricted. This NASA review is referred to as the document availability authorization (DAA) review, NASA Form 1676. The DAA review process is intended to ensure that NASA does not inappropriately release information to which public access may be prohibited or limited. If CASI receives NASA STI that has not been reviewed by NASA and for which NASA has not indicated the appropriate dissemination, CASI is required to restrict the NASA STI to access by NASA personnel until NASA makes a determination.

(e)   
        (1) While NASA STI may be produced either directly by NASA or under NASA grants and cooperative agreements, the NASA DAA review process applies only to the publication and dissemination of NASA STI by NASA or under the direction of NASA.

        (2) Except as described in subparagraph (3) below, the DAA review process does not apply to documents published directly by or through grantees or cooperative agreement recipients even if the documents contain STI first produced by grantees or cooperative agreement recipients in the performance of a NASA grant or cooperative agreement.  However, the grantee or cooperative agreement recipient is responsible for reviewing publication or dissemination of documents containing STI first produced in performance of the grant or cooperative agreement for – (i) conformance with laws and regulations governing its distribution, including intellectual property rights, export control, national security and other requirements; and (ii) compliance with restrictive markings, to the extent the grantee or cooperative agreement recipient receives or is given access to data necessary for the performance of the grant or cooperative agreement which contain restrictive markings.

       (3) The DAA review process applies to NASA grantees and cooperative agreement recipients if they elect, or are required under the terms of their grants or cooperative agreements, 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 grant or cooperative agreement, NASA has the right to regulate its dissemination and publication by requiring a DAA review prior to its release outside of NASA.

(f) The NASA Grant and Cooperative Agreement Handbook states that NASA encourages the widest practicable dissemination of research results at any time during the course of the investigation (14 CFR 1260.22(a)), and the Handbook allows NASA and the Recipient under a cooperative agreement to exchange data without restriction as to its disclosure, use or duplication except as otherwise provided in 14 CFR 1274.905(b)(1). Consequently, it is necessary to determine if any exceptions to these policies apply and specifically state in the grant or cooperative agreement any review requirements before the grantee or cooperative agreement recipient may release data produced in performance of the grant or cooperative agreement. These exceptions are implemented through use of the clause at NFS 1852.235-73, Final Scientific and Technical Reports.

(g) Alternate I to 1852.235-73 places no restrictions on the grantee or cooperative agreement recipient for release of data, including the final report. However, it retains NASA's right to review the final report for compliance with any restrictive markings, and reminds grantees and cooperative agreement recipients of their responsibilities for review of the data for compliance with restrictions stated in the grant or cooperative agreement 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 contains no foreign national restrictions. An example of this type of research could include research into advances in medical technology.

(h) 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 grant or cooperative agreement may be subject to export control, national security restrictions, other restrictions designated by NASA, or the grantee or cooperative agreement recipient is given or provided access to proprietary information of others.

GUIDANCE:

(a) The Grant Officer shall include in all R&D grants and cooperative agreements, the NFS clause at 1852.235-73, Final Scientific and Technical Reports, with the Alternates I or II inserted in place of the basic clause paragraph at 1852.235-73(e).

       (1) Use the basic clause with Alternate I when the grantee or cooperative agreement recipient may release all data, including the final report, or any other reports required by the grant or cooperative agreement, without review and approval by NASA.

       (2) 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. In choosing the appropriate Alternate, the Grant 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 grant or cooperative agreement.

(b)

       (1) The Center Technical Officer is responsible for –

              (A) Review and acceptance of the final report and any other reports required to be delivered under the grant or cooperative agreement;

              (B) Ensuring that the DAA review is initiated upon acceptance of grant or cooperative agreement reports that will be published or released outside of NASA by NASA or under the direction 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 current version of the DAA form, NF-1676. (The latest version of NF-1676 can be found at https://pollux.hq.nasa.gov/nef/user/form_search.cfm or via your Center’s forms manager or server.)

       (2) The Center STI/Publication Manager shall forward the approved STI and a copy of the approved DAA form to CASI and notify the Center Technical Officer.

       (3) Centers shall establish procedures for notifying the grantee or cooperative agreement recipient 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.

The enclosed Workflow Process is representative of the responsibilities noted above.

EFFECTIVE DATE: This GIC is effective as dated and shall remain in effect until canceled or superseded.

HEADQUARTERS CONTACTS: Jamiel Commodore, Contract Management Division, (202) 358-0302, e-mail: jamiel.c.commodore@nasa.gov.


James A. Balinskas
Director, Contract Management Division

Enclosure:
Workflow Process

DISTRIBUTION:
GHB List


Responsibilities for Scientific and Technical Information (STI)

Workflow Process

Process for Final Reports

Grantee or Cooperative Agreement Recipient

  • Send final report in accordance with the requirements of the NASA Grant and Cooperative Agreement Handbook, as follows: Original Report, in hard copy or electronic format, to the Grant Officer, with a notice to ONR (if award was delegated to ONR). Notify CASI, in writing at 7115 Standard Drive, Hanover MD 21076 or email (help@sti.nasa.gov) that the report has been sent to the Center so that CASI can begin to track it. Do not send the report directly to CASI.

Grant Officer

  • Send final report to Center Technical Officer

Center Technical Officer

  • Receive final report from grant officer
  • Review and accept final report
  • If NASA elects to publish, ensure DAA (NF 1676) is initiated
  • Coordinate with Center STI/Pub Manager for publication issues
  • Ensure that approved report and copy of DAA go to Center STI/Pub Manager

NASA Center
STI/Pub Manager

  • Ensure approved report and copy of DAA are sent to NASA CASI and notify Center Technical Officer
  • Ensure grantee is notified when NASA elects to publish and the document is approved for release
  • Ensure that DAA's are maintained on file according to Center's Records Retention Schedule
  • When the DAA is no longer required at a Center, ensure a copy goes to NASA CASI; CASI will validate that they originally received a copy of the DAA and that it is on file in the STI Database

Process for Other-Than-Final Reports (Progress Reports)

Grantee or Cooperative Agreement Recipient

  • Send progress report in accordance with the requirements of the NASA Grant and Cooperative Agreement Handbook, as follows: Original Report, in hard copy or electronic format, to the Grant Officer; with a notice to ONR (if award was delegated to ONR) that a report was sent. Progress reports are not sent to CASI.

Grant Officer

  • Send progress report to Center Technical Officer

Center Technical Officer

  • If NASA decides to publish other-than-final reports, follow processes for Final Reports above

NASA Center
STI/Pub Manager

  • If NASA decides to publish other-than-final reports, follow processes for Final Reports above

 

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