![](media/image1.wmf){width="0.8243055555555555in"
height="0.6888888888888889in"} Procurement Information

National Aeronautics and Circular

Space Administration

Washington, DC 20546

##  PIC 03-03

##  February 3, 2003

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SCIENTIFIC AND TECHNICAL INFORMATION

*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 2220.5, Management of
NASA Scientific and Technical Information (STI), and NPG 2200.2A,
Guidelines for Documentation, Approval, and Dissemination of NASA
Scientific and Technical Information.

NPD 2220.5 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."

**\[NOTE:** NPD 2220.5, Management of NASA Scientific and Technical
Information (STI), is currently being updated and will be renumbered to
NPD 2200.**\]**

\(C\) 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

## Figure 1. Responsibilities for STI

\[Centers may deviate from this proposed workflow as long as all
requirements are met\]

# Process for Final Reports

## 

\* Information regarding appropriate electronic formats is available at
[http://www.sti.nasa.gov](http://www.sti.nasa.gov/) under "Publish STI
\-- Electronic File Formats." If the report contains STI that is
export-controlled or limited or restricted, contact the NASA CO for
information regarding NASA's policy to electronically transmit these
forms of STI.