GAO 

United States Government Accountability Office

Report to Congressional Committees

FEDERAL 

RESEARCH 

NASA Should Better 

Inform Researchers 

about How to Appeal 

Dissemination 

Decisions 

December 2009 

GAO-10-200 
What GAO Found

United States Government Accountability Office

Why GAO Did This Study

Highlights

Accountability Integrity Reliability

December 2009

FEDERAL RESEARCH

NASA Should Better Inform Researchers about How 

to Appeal Dissemination Decisions

Highlights of GAO-10-200, a report to 

congressional committees 

National Aeronautics and Space 

Administration (NASA) researchers 

generally disseminate their agencyfunded research results through 

publications, presentations, agency 

releases, and media interviews. In 

2007, GAO reviewed dissemination 

policies at NASA and two other 

agencies and found that NASA’s 

policies were generally clear, but 

GAO’s survey of NASA researchers 

raised concerns that many of them 

did not understand some of the 

policies and were generally 

unaware of how to appeal 

dissemination decisions. Congress 

in 2008 directed GAO to determine 

whether NASA is implementing its 

policies in a clear and consistent 

manner. To meet that requirement, 

GAO determined (1) what changes 

have been made to NASA’s policies 

since 2007, (2) the views of NASA 

researchers on whether the policies 

have been more effectively 

communicated since 2007, and (3) 

what changes have occurred since 

2007 in NASA’s processes for 

researchers to follow if they wish 

to appeal decisions about the 

dissemination of their research 

results. GAO conducted a Webbased survey of all 2,790 NASA 

researchers and had a 57.5 percent 

response rate. 

What GAO Recommends

GAO recommends that NASA 

include in its efforts to increase 

researchers’ awareness of its 

policies a focus on the processes 

researchers are to follow when 

they wish to appeal decisions. In 

commenting on a draft of this 

report, NASA concurred with our 

recommendation. 

Since May 2007, NASA has changed some of its policies on the dissemination 

of research results through publications and presentations, but has not 

changed its policy on dissemination through news releases and media 

interviews, although it has made a key leadership change in its main public 

affairs office. Regarding its policies for dissemination through publications 

and presentations, in 2007 and 2009, NASA clarified the roles and 

responsibilities of officials who participate in the review and approval process 

that is required before agency-funded research is released. The changes also 

required managers to notify researchers when their requests to release 

research results have been approved or denied, and they required researchers 

to refrain from releasing results until they received approval. In contrast, 

although NASA has not made any changes to its policy that guides the 

dissemination of research through the media, in May 2007, it converted a key 

management position in the Headquarters Office of Public Affairs from a 

political appointment to a career civil service position. This was done to 

address allegations that an official in this office had suppressed climate 

change science and denied media access to scientists during 2004 and 2005. 

The change resulted from a management review conducted in early 2006 by 

NASA’s leadership looking into these allegations. 

While the majority of researchers are familiar with the dissemination policies, 

GAO’s survey indicates that in 2009, 87 percent of researchers were familiar 

with NASA’s dissemination policies, compared with 92 percent in 2007, and 

slightly less were confident they understood the policies well enough to 

follow them for certain kinds of dissemination routes, such as publications, 

presentations, and agency releases. As in 2007, researchers continue to learn 

about the policies mainly through on-the-job training and e-mails from NASA 

officials. GAO’s 2009 survey, like the 2007 survey, also indicates that 

researchers remain unclear about when they may discuss research results that 

have policy implications, including when they may discuss their own views, 

even though NASA has clarified its policy to allow researchers to do so as long 

as they do not attribute their views to the agency. 

Since 2007, NASA has not adopted any new procedures for appealing 

dissemination decisions. As in 2007, in 2009 relatively few NASA researchers 

were aware of and familiar with the agency’s appeals process. Specifically, 

GAO’s survey found that about one-third of NASA researchers were aware 

that the agency has a process to appeal decisions related to dissemination, but 

only about 8 percent said they were familiar with it. Fewer researchers in 2009 

than in 2007 said they had sought to disseminate their research in the past 5 

years (83 percent compared with 91 percent), and more researchers had their 

requests denied for other than technical reasons (12 percent in 2009 compared 

with 7 percent in 2007). Nonetheless, 85 percent of researchers continue to 

believe that the agency generally supports the dissemination of research 

results and that the agency’s efforts to inform them about policies for all 

dissemination routes are generally effective. 

View GAO-10-200 or key components.

For more information, contact Ms. Anu Mittal 

at (202) 512-3841 or mittala@gao.gov. 
Page i GAO-10-200 

Contents 

Letter 1

Background 4 

NASA Has Made Some Changes to Improve Dissemination of 

Research Results 7 

Fewer Researchers Are Familiar with NASA’s Dissemination 

Policies, but Most Believe the Policies Effectively Ensure Access 

to Research Results 10 

Many Researchers Remain Unfamiliar with How to Appeal 

Decisions, and More Dissemination Requests Have Been Denied 17 

Conclusions 24 

Recommendations for Executive Action 25 

Agency Comments and Our Evaluation 25 

Appendix I Objectives, Scope, and Methodology 27 

Appendix II Selected Results of the 2009 Survey of NASA 

Researchers 31 

Appendix III Comments from the National Aeronautics and Space 

Administration 49 

Appendix IV GAO Contact and Staff Acknowledgments 50 

Figures 

Figure 1: Percentage of Researchers Who Are Familiar with NASA’s 

Dissemination Policies, 2007 and 2009 13 

Figure 2: Percentage of Researchers Who Are Confident That They 

Understand Policies Well Enough to Follow Them, 2007 

and 2009 14 

Figure 3: Percentage of Researchers Who Believe NASA’s Efforts to 

Inform Them about Policies Are Effective by 

Dissemination Route, 2007 and 2009 17 

Figure 4: Percentage of Researchers Who Sought to Disseminate 

Their Research Results, 2007 and 2009 20 

 Federal Research 
Figure 5: Percentage of Researchers Who Believe That NASA 

Supports Dissemination, by Route of Dissemination, 2007 

and 2009 23 

Abbreviations 

FPPS Federal Personnel and Payroll System 

NASA National Aeronautics and Space Administration 

NIST National Institute of Standards and Technology 

NOAA National Oceanic and Atmospheric Administration 

NPR National Public Radio 

OIG Office of Inspector General 

This is a work of the U.S. government and is not subject to copyright protection in the 

United States. The published product may be reproduced and distributed in its entirety 

without further permission from GAO. However, because this work may contain 

copyrighted images or other material, permission from the copyright holder may be 

necessary if you wish to reproduce this material separately. 

Page ii GAO-10-200 Federal Research
Page 1 GAO-10-200 

United States Government Accountability Office

Washington, DC 20548 

 

December 3, 2009 

The Honorable John D. Rockefeller 

Chairman 

The Honorable Kay Bailey Hutchison 

Ranking Member 

Committee on Commerce, Science, and Transportation 

United States Senate 

The Honorable Bart Gordon 

Chairman 

The Honorable Ralph M. Hall 

Ranking Member 

Committee on Science and Technology 

House of Representatives 

The federal government supports a wide range of scientific and 

engineering research and development efforts to advance general 

knowledge, support science-related public policy, and enhance the 

nation’s economic competitiveness, among other things. Much of federally 

funded research is designed to serve the goals and missions of over a 

dozen federal agencies, including the National Aeronautics and Space 

Administration (NASA). Open communication and the exchange of 

research results with the broader scientific community are critical to 

advancing the state of scientific understanding. While the results of some 

research cannot be shared for national security or intellectual property 

reasons, dissemination of most federally funded research helps to ensure a 

return on the public’s investment in research. Federally sponsored 

research may be conducted by federally employed researchers or by 

university and other researchers who receive grants and contracts 

awarded by various federal agencies. 

From its beginning, NASA has been responsible for the nation’s 

aeronautical and space activities, including conducting and sponsoring 

research related to its four mission areas—aeronautics research, 

exploration systems, science, and space operations. The statute that 

established NASA in 1958 calls for the agency to “provide the widest 

practicable and appropriate dissemination” of the scientific and technical 

 Federal Research 
 

information resulting from its research efforts.1 Research results can be 

disseminated through a number of different routes to reach a variety of 

audiences. Some dissemination routes, such as publication through peerreviewed journals and agency scientific and technical reports, share 

information with the scientific community. Similarly, researchers can 

present their findings to colleagues at scientific conferences, workshops, 

symposia, or professional society meetings. Other dissemination routes 

are intended to reach the public at large. For example, agency press 

releases or postings on agency Web sites can help target media or public 

attention to particular research findings and agency events, and media 

interviews can provide the general public with access to information about 

scientific activities and results. 

In recent years, concerns arose that NASA researchers were prevented 

from sharing the results of their work, particularly with respect to the 

sensitive topic of climate change and the impact of global warming. In 

light of these concerns, in 2006 Congress requested that we review the 

dissemination policies and practices for federally funded research at three 

agencies—NASA, the National Oceanic and Atmospheric Administration, 

and the National Institute of Standards and Technology. In our May 2007 

report, we found that NASA’s policies were generally clear and should 

help facilitate the dissemination of research results.2

 However, we raised a 

number of concerns, including that many NASA scientists did not 

understand their agency’s policies related specifically to media interviews 

or press releases and were generally unaware of NASA’s policy for 

appealing dissemination decisions.3

 We also found that NASA generally did 

not offer formal training to its researchers on its dissemination policies. 

Through the National Aeronautics and Space Administration Authorization 

Act of 2008, Congress stated that “NASA should not dilute, distort, 

suppress, or impede scientific research or the dissemination thereof” and 

directed us to determine whether NASA is implementing the regulations 

governing the dissemination of research results in a clear and consistent 

 

1

The National Aeronautics and Space Act of 1958, as amended, Pub. L. No. 85-568, § 203, 72 

Stat. 429 (1958). 

2

GAO, Federal Research: Policies Guiding the Dissemination of Scientific Research from 

Selected Agencies Should Be Clarified and Better Communicated, GAO-07-653

(Washington, D.C.: May 17, 2007). 

3

Throughout this report we use the phrase “agency releases” to include press releases, 

postings on NASA’s Web sites, or agency reports or fact sheets. 

Page 2 GAO-10-200 Federal Research
 

manner.4 In response to the mandate and as agreed with your offices, this 

report, which follows up on our 2007 report, discusses (1) what changes, if 

any, have been made since 2007 to the policies that guide the 

dissemination of federally funded research results at NASA; (2) the extent 

to which NASA researchers believe that the agency’s dissemination 

policies have been more effectively communicated since 2007, and their 

experiences in using the process; and (3) what processes, if any, NASA has 

adopted since 2007 for researchers to follow if they have concerns about 

decisions regarding the dissemination of their research results, and how 

those concerns have been addressed.5

To identify and evaluate the changes that may have been made since 2007 

to the policies that guide the dissemination of federally funded research 

results at NASA, we obtained, reviewed, and analyzed NASA’s current 

research dissemination policies, and compared them with the prior 

policies. We contacted scientific managers and public affairs officials who 

are responsible for the dissemination of research results at NASA’s 

headquarters and all 10 centers and used a standard set of questions to 

ensure that we obtained consistent information about each aspect of 

NASA’s dissemination policies and practices.6

 In addition, we obtained 

copies of the relevant dissemination policies and discussed with NASA 

officials how these policies were implemented and how they have 

changed, if at all, since 2007. To identify the extent to which NASA 

researchers believe that the agency’s dissemination policies have been 

more effectively communicated since 2007, what their experiences have 

been in disseminating research, and how their concerns about 

dissemination decisions have been addressed, we sent a Web-based survey 

to all 2,790 researchers at NASA. We defined researchers to be included in 

our population as federally employed scientists, engineers, or other 

 

4

Pub. L. No. 110-422, § 1109(b)(1), 122 Stat. 4811 (2008). 

5

Throughout this report, we use the phrase “since 2007” to refer to changes made since the 

issuance of our report on policies for disseminating research at selected agencies. See 

GAO-07-653. 

6

The NASA centers included in this review were the Ames Research Center, Dryden Flight 

Research Center, Glenn Research Center, Goddard Space Flight Center, Jet Propulsion 

Laboratory, Johnson Space Center, Kennedy Space Center, Langley Research Center, 

Marshall Space Flight Center, and Stennis Space Center. We subsequently excluded the Jet 

Propulsion Laboratory from our review because contract researchers primarily perform 

research at this center and NASA does not maintain a database with the names of 

individual contract researchers. In addition, contract researchers might charge NASA for 

costs related to participating in the survey. 

Page 3 GAO-10-200 Federal Research
 

researchers who are in a position to disseminate their research results to a 

wider audience. To identify these researchers, we obtained from center or 

program managers at NASA a list of researchers in their organization who 

would meet our defined criterion. Overall, we received a response rate of 

57.5 percent to our survey, for a total of 1,605 respondents. We compared 

the respondents with nonrespondents on available administrative data, 

such as the center where they work, but did not find any significant 

differences on the available variables. Although our survey was intended 

to be a census, for the purposes of analyzing the results, we decided to 

treat our survey as a random sample. We used largely the same survey 

instrument that was the basis for our May 2007 report on dissemination 

policies at selected agencies.7

 Through our survey, we sought the 

researchers’ views on NASA’s research dissemination policies, the level of 

agency support for dissemination, and their experiences with 

disseminating research results. Unless otherwise noted, point estimates 

we report for 2009 have a 95 percent level of confidence of plus or minus 4 

percent. An expanded explanation of our scope and methodology can be 

found in appendix I. Appendix II contains selected results from our 2009 

survey. 

We conducted this performance audit from January 2009 to December 

2009 in accordance with generally accepted government auditing 

standards. Those standards require that we plan and perform the audit to 

obtain sufficient, appropriate evidence to provide a reasonable basis for 

our findings and conclusions based on our audit objectives. We believe 

that the evidence obtained provides a reasonable basis for our findings 

and conclusions based on our audit objectives. 

NASA’s work is performed at 10 research and flight centers across the 

United States. Each of these centers conducts a variety of research, 

engineering, construction, and support functions related to the agency’s 

mission, and each has a separate management structure, including a 

Center Director, to guide its activities. Furthermore, each center has its 

own public affairs office responsible for managing its media contacts and 

communications. NASA’s Washington, D.C., headquarters provides overall 

guidance for each of the mission areas and public affairs oversight of 

agencywide programs and activities to coordinate and maintain 

communication channels to the news media and public. 

Background 

 

7

GAO-07-653. 

Page 4 GAO-10-200 Federal Research
 

Federally employed NASA researchers must adhere to both agencywide 

and center-specific policies and procedures when disseminating 

information outside of the agency. The requirements for dissemination 

depend on the type of information to be released, the method used for 

dissemination, and the intended audience. NASA has (1) policies for 

disseminating scientific and technical information through presentations 

and publications to the scientific community and also (2) a media policy 

that governs the release of information to the general public through 

media interviews and press releases. Scientific and technical 

information—defined as the results of basic and applied scientific, 

technical, and related engineering research and development—is typically 

disseminated through NASA publications, outside journals, presentations 

at meetings or workshops, and Web sites.8

 NASA’s policies for the 

dissemination of such research results establish a series of reviews to 

determine whether the information is suitable for public release based on 

national security or intellectual property concerns, is technically accurate, 

and meets data quality standards. NASA’s media policy governs the release 

of information about the agency’s activities and results to the general 

public through such methods as interviews, press releases, media 

advisories, news features, and Web postings. This policy specifically 

defines the roles and responsibilities of managers, researchers, and public 

affairs officials in deciding what information can be released. For 

example, the policy directs public affairs officials at both NASA 

headquarters and the relevant center to ensure the timely release of public 

information by obtaining review and clearance by appropriate officials. It 

also includes an appeals process for researchers to use when they disagree 

with the agency’s decision regarding whether to release information. 

In recent years, allegations have been made regarding interference with 

the efforts of NASA researchers to disseminate their research results to 

external audiences. A number of these concerns surrounded politically 

sensitive topics, such as climate change, where research was allegedly 

being suppressed. For example, in December 2005, the NASA 

Headquarters Office of Public Affairs denied a request from National 

Public Radio (NPR) to speak with a NASA scientist known for expertise 

on the subject of climate change. However, not long before NPR’s request 

for an interview, this scientist had delivered a presentation on climate 

change at a scientific conference, prompting concerns that the NASA 

 

8

Throughout this report we refer to scientific and technical information as research results. 

In addition, we refer to the authors or originators of such information as researchers. 

Page 5 GAO-10-200 Federal Research
 

Headquarters Office of Public Affairs had improperly denied NPR’s 

interview request. 

The concerns over NASA’s alleged suppression of research resulted in 

reviews of the agency’s dissemination practices by the NASA Office of 

Inspector General (OIG) in addition to our review in 2007. In June 2008, 

NASA’s OIG issued two reports on the dissemination of research results at 

NASA. Specifically, the OIG evaluated NASA’s process for reviewing, 

approving, and releasing research results and investigated allegations that 

NASA had suppressed the dissemination of climate change research and 

information through the media. In the first report, the OIG found that 

NASA’s guidance adequately defined the roles and responsibilities for the 

review, approval, and release of NASA research results through 

publications and presentations but that the guidance had not been 

effectively implemented at the four centers it reviewed—Goddard Space 

Flight Center, Johnson Space Center, Langley Research Center, and 

Marshall Space Flight Center.9

 The OIG determined that, among other 

things, researchers were not always notified when the review process had 

been completed, and center management had not adequately informed 

researchers about the process to follow when they wanted to disseminate 

their research results through publications or presentations. While the OIG 

did not identify instances in which research results had been 

inappropriately released, it noted that the absence of timely notice to 

researchers regarding dissemination decisions increases the risk of 

releasing research results that should be restricted for export control, 

national security, or other reasons.10 Finally, the OIG surveyed researchers 

who had sought to disseminate their research results and found no 

evidence that NASA purposefully used the review process to suppress 

scientific research at those four centers. 

In its second report, the OIG found that during the fall of 2004 through 

early 2006, the NASA Headquarters Office of Public Affairs reduced, 

marginalized, or mischaracterized climate change science made available 

 

9

National Aeronautics and Space Administration, Office of Inspector General, Actions 

Needed to Ensure Scientific and Technical Information Is Adequately Reviewed at 

Goddard Space Flight Center, Johnson Space Center, Langley Research Center, and 

Marshall Space Flight Center, Report No. IG-08-017 (Washington, D.C.: June 2008). 

10Export Administration Regulations and International Traffic in Arms Regulations control 

the export of, among other things, certain technology and technical data to foreign 

countries. 

Page 6 GAO-10-200 Federal Research
 

to the general public.11 The OIG found that the suppression of climate 

change research was localized within the NASA Headquarters Office of 

Public Affairs and that senior NASA officials stated they were unaware of 

the situation until the allegations appeared in a national newspaper. 

According to the report, once NASA leadership was made aware of the 

suppression, it aggressively implemented corrective actions. For example, 

NASA revised its policy that governs dissemination of research results 

through the media and reaffirmed its policy that researchers may discuss 

their opinions on the implications of research results provided they 

attribute such views to themselves and not the agency. The OIG 

determined that the suppression had occurred, in part, because political 

appointees controlled key positions responsible for deciding which 

research results NASA would disseminate to the media. 

Since May 2007, NASA has changed some of its policies on the 

dissemination of research results through publications and presentations, 

and it has made a key leadership change in its main public affairs office to 

address allegations that an official in this office had played a key role in 

suppressing climate change science and media access to climate scientists 

in the past. Since 2007, NASA has made no changes to its policy on 

dissemination through news releases and media interviews. 

NASA Has Made 

Some Changes to 

Improve 

Dissemination of 

Research Results 

NASA Has Clarified the 

Roles and Responsibilities 

of Reviewing Officials for 

Dissemination of Research 

Results through 

Publications and 

Presentations 

In late 2007 and early 2009, NASA changed one of its policies on 

dissemination of research results through publications and presentations. 

Specifically, in contrast to the policy in place prior to December 2007, the 

revised policy holds researchers responsible for ensuring that the results 

they seek to disseminate have been properly reviewed and approved prior 

to releasing them. In addition, the revised policy directs reviewing officials 

in the centers to include training in their efforts to ensure that NASA 

researchers are aware of the requirements and procedures for the review, 

approval, and dissemination of research results.12 In January 2009, in 

response to the OIG’s review of dissemination practices at four centers, 

 

11National Aeronautics and Space Administration, Office of Inspector General, 

Investigative Summary Regarding Allegations that NASA Suppressed Climate Change 

Science and Denied Media Access to Dr. James E. Hansen, a NASA Scientist 

(Washington, D.C.: June 2008). 

12NASA Policy Directive, “Management of NASA Scientific and Technical Information,” 

NPD 2200.1A, December 6, 2007. 

Page 7 GAO-10-200 Federal Research
 

NASA further revised this policy to strengthen the earlier changes by 

including additional responsibilities for officials in the centers and in 

NASA headquarters.13 For example, the revised policy directed center 

managers to (1) establish plans to ensure that researchers are aware of the 

review requirements, and (2) notify researchers in a timely manner 

whether their research has been approved or rejected for release. The 

revised policy also directed NASA officials responsible for overseeing the 

dissemination of research results to annually review the compliance of 

NASA’s centers with the updated policy, and evaluate the overall 

effectiveness of the agency’s review and approval process. 

As part of its efforts to ensure compliance by the centers with the revised 

policies, headquarters officials told us they have assessed compliance at 

the four centers reviewed by the OIG and, as of October 2009, are 

finalizing a report on their findings. These officials also said they will begin 

annual compliance reviews for all centers in 2010. In addition, NASA 

officials have taken steps to implement an automated system to enhance 

managers’ and researchers’ ability to monitor requests through the review 

and approval process. Specifically, during its review, the OIG found that 

managers who use paper-based systems were unable to readily determine 

when research may have been inappropriately released, whether requests 

had been denied, and how many requests were undergoing review. In 

fiscal year 2009, NASA approved funding to test an automated tracking 

system in two centers; the system is in operation at one of the centers, and 

is set to become operational at the other center early in fiscal year 2010.14

The use of such systems will be voluntary at other centers, since 

headquarters will provide only limited funding to maintain them. NASA 

officials told us that several centers have expressed interest in developing 

automated tracking systems but, as of October 2009, have not secured the 

necessary funding. 

Officials at the four centers reviewed by the OIG have also taken a number 

of steps to implement the policy changes made in 2007 and 2009. For 

example, all four centers reviewed their center-specific policies and 

 

13NASA Inspector General Report No. IG-08-017. See also NM 2200.71, January 2009. [The 

Interim Directive does not have a specific name or title.] 

14Thus far, Ames Research Center has fully implemented an automated tracking system, 

referred to as the Electronic Document Availability Authorization. Dryden Flight Research 

Center has conducted orientation and training to prepare for implementation in early fiscal 

year 2010. 

Page 8 GAO-10-200 Federal Research
 

procedures—which generally reinforce or elaborate on NASA-wide 

policies—and two centers revised their policies.15 For example, one center 

revised a flow chart contained in its procedures to more accurately reflect 

the center’s review and approval process. 

Centers have also taken steps toward establishing a process to ensure 

timely notification of researchers about dissemination decisions, 

according to NASA officials. Currently, some centers have electronic 

systems that provide notification automatically, while others provide 

notification through e-mails and telephone calls. NASA headquarters 

officials said that the automated tracking system, once implemented 

agencywide, would also help ensure that notification occurs in a timely 

manner at the conclusion of the review and approval process. 

NASA Changed a Key 

Public Affairs Position to 

Help Ensure 

Dissemination of Research 

Results to the Public 

through the Media 

Since 2007, NASA has not made any changes to its media policy,16 but in 

May 2007 it converted a key management position in the Headquarters 

Office of Public Affairs from a political appointment to a career civil 

service position. This change followed a management review—conducted 

in early 2006 by NASA’s leadership—of allegations that its Headquarters 

Office of Public Affairs had suppressed climate change science and denied 

media access to scientists in 2004 and 2005. In a June 2008 report on these 

concerns, the OIG concluded that inappropriate political posturing was 

the proximate cause of at least some of these actions and that a political 

appointee who was the Deputy Assistant Administrator for Public Affairs 

at the time of the alleged suppression was a central figure in the 

 

15Center-specific policies, procedures, and guidance for dissemination of research through 

presentations and publications at seven of the nine centers we reviewed are consistent 

with agencywide policies. The two remaining centers rely solely on the agencywide 

guidance. 

16NASA’s media policy also governs dissemination of research to the public through news 

features, media advisories, or news-related Web postings. Seven of the nine centers we 

reviewed also have center-specific policies, procedures, and guidance governing the 

dissemination of information to the media, all of which are consistent with NASA’s 

agencywide guidance. The remaining two centers rely solely on the agencywide policy. 

According to center officials, some center-specific policies and procedures are designed to 

expand on the roles and responsibilities of center public affairs staff and to establish 

guidance for situations not specifically addressed by the agencywide media policy. For 

example, one center’s policy outlines the steps to be taken when a media correspondent 

initiates a story and then seeks to make it an exclusive story with the center’s cooperation. 

Page 9 GAO-10-200 Federal Research
 

allegations of censorship and denial of media access.17 According to the 

OIG report, NASA intended that the conversion of the position to a career 

civil service position would facilitate communications within the 

Headquarters Office, where the suppression of information had been 

localized. NASA officials told us that the agency placed a career civil 

servant in the position after the incumbent political appointee, who had 

held the position during the time that climate science had been 

suppressed, left NASA. The career civil servant took over the position in 

May 2007. 

Although NASA has taken some steps to increase researchers’ awareness 

of its dissemination policies, our survey results in 2009 indicate that while 

most researchers are familiar with the dissemination policies, fewer 

researchers were familiar with them than in 2007, and slightly fewer were 

confident they understood the policies well enough to follow them. 

However, most researchers reaffirmed their belief that NASA’s policies 

effectively ensure access to research results and that the agency’s efforts 

to help them understand the various dissemination policies are generally 

effective. 

Fewer Researchers 

Are Familiar with 

NASA’s Dissemination 

Policies, but Most 

Believe the Policies 

Effectively Ensure 

Access to Research 

Results 

NASA Has Undertaken 

Various Efforts to Increase 

Researchers’ Awareness of 

Dissemination Policies 

In response to a review by its OIG, NASA tasked headquarters officials 

responsible for oversight of dissemination of research results through 

publications and presentations with ensuring that NASA researchers are 

aware of the agency’s review and approval requirements. However, as of 

October 2009, headquarters officials said they have relied on the centers to 

create and implement plans to increase awareness. Thus far, officials at 

some centers have taken actions to increase researchers’ awareness of the 

requirements for review, such as sending a center-wide e-mail emphasizing 

the importance of completing the review process prior to releasing 

research results and increasing outreach to researchers who work in areas 

that produce significant amounts of research. According to NASA 

headquarters officials, they may take additional steps in the future to 

 

17National Aeronautics and Space Administration, Office of Inspector General, 

Investigative Summary Regarding Allegations that NASA Suppressed Climate Change 

Science and Denied Media Access to Dr. James E. Hansen, a NASA Scientist 

(Washington, D.C.: June 2008). 

Page 10 GAO-10-200 Federal Research
 

increase awareness, such as having the centers include information on the 

review and approval process in their new employee orientation programs. 

NASA has also taken steps since 2007 in response to our report to help 

raise awareness of its media policy. Specifically, in May 2007 we 

recommended that NASA provide formal training to inform, reinforce, and 

update managers, researchers, and public affairs staff on dissemination 

policies. As a result of our recommendations, NASA undertook a number 

of formal training activities with regard to its media policy. Specifically, a 

senior public affairs official conducted presentations at each of the centers 

regarding the media policy. As part of these meetings, officials presented 

an overview of the policy, answered questions from employees, and 

distributed copies of the policy to each public affairs officer and to senior 

managers. In December 2007, NASA distributed materials on the policy to 

public affairs staff and discussed the policy in meetings that included 

headquarters and center public affairs officials. Finally, a discussion of the 

media policy was incorporated into the orientation for new public affairs 

officers. 

Results from both surveys, as well as agency officials we spoke with, 

indicated that most NASA researchers receive information about 

dissemination policies through means other than formal training, although 

fewer researchers said in 2009 that they learn about policies through emails from center and NASA managers and more said they had received 

formal training. Our 2009 survey results show that researchers get 

information through a variety of methods, most commonly through on-thejob training (about 70 percent) and e-mails or other correspondence from 

center managers to all center staff (68 percent). Additionally, more than 

half of researchers cited Administrator-level e-mails or correspondence 

sent to all NASA staff. Although e-mails from both center and 

Administrator-level management represent the second and third most 

common method of receiving information about NASA policies, about 10 

percent fewer researchers cited these in 2009 than in 2007.18 Furthermore, 

roughly half of researchers in both surveys responded that they learned 

 

18According to our 2007 survey results, 78.5 percent (95 percent confidence interval 74.0-

82.3) of researchers cited e-mails or other correspondence from center management as a 

means of learning about agency dissemination policies, and 62.5 percent (95 percent 

confidence interval 57.3-67.4) cited correspondence from Administrator-level offices. In our 

2009 survey, the corresponding numbers were 68.5 percent (95 percent confidence interval 

67.0-70.0) for center management and 53.7 percent (95 percent confidence interval 52.0-

55.3) for Administrator-level offices. 

Page 11 GAO-10-200 Federal Research
 

about policies through notifications on intranet sites and staff or town hall 

meetings.19 Finally, in 2009 more researchers reported learning about 

dissemination policies through formal training—42 percent compared with 

32 percent in 2007.20 These results appear consistent with the fact that 

NASA headquarters and public affairs officials told us that the agency 

largely relies on methods other than formal training to inform staff about 

the media policy and appeals process. 

Fewer Researchers Are 

Familiar with NASA’s 

Dissemination Policies 

than in 2007, and Slightly 

Fewer Are Confident That 

They Understand the 

Policies 

Although our surveys from 2007 and 2009 indicate that about 90 percent of 

researchers are familiar with NASA’s dissemination policies, fewer 

researchers in 2009 compared with 2007 said they are very or moderately 

familiar with NASA’s dissemination policies. Specifically, according to our 

2009 survey results, 87 percent of researchers were very or moderately 

familiar with NASA’s dissemination policies, compared with 92 percent in 

2007.21 See figure 1. 

 

19According to our 2007 survey results, 50.7 percent (95 percent confidence interval 45.3-

56.0) of researchers cited notifications on intranet sites, and 48.2 percent (95 percent 

confidence interval 42.9-53.6) cited staff or town hall meetings as a means of learning about 

agency dissemination policies. In our 2009 survey, 46.5 percent (95 percent confidence 

interval 44.9-48.2) of researchers cited notifications on intranet sites and 46.4 percent (95 

percent confidence interval 44.7-48.1) cited staff or town hall meetings as a means of 

learning about agency dissemination policies. 

20For 2007, the range for the 95 percent confidence interval was 27.3 to 37.2 percent. For 

2009, the range for the 95 percent confidence interval was 40.4 to 43.7 percent. 

21For 2007, the range for the 95 percent confidence interval was 88.4 to 94.3 percent. For 

2009, the range for the 95 percent confidence interval was 86.1 to 88.2 percent. 

Page 12 GAO-10-200 Federal Research
 

Figure 1: Percentage of Researchers Who Are Familiar with NASA’s Dissemination 

Policies, 2007 and 2009 

Percent

2007

2009

Confidence interval: displays the upper and lower bounds of the 95 percent confidence interval for

each estimate.

Source: GAO survey.

0 20 40 60 80 100

Very or

moderately

familiar

From 2007 to 2009, we also found a small decline in the percentage of 

researchers who said they were very or moderately confident that they 

understood the policies for dissemination of research results through 

publications and presentations well enough to follow them (about 85 

percent in 2009 compared with about 90 percent in 2007).22 Similarly, a 

small decline occurred in the percentage of researchers who were very or 

moderately confident they understood the policies related to agency 

releases (55 percent in 2009 compared with 61 percent in 2007).23 We found 

no change in the confidence researchers have about their understanding of 

the policies related to media interviews. See figure 2. 

 

22For publications in 2009, the range for the 95 percent confidence interval was 86.4 to 88.6 

percent. For presentations in 2009, the range for the 95 percent confidence interval was 

84.1 to 86.4 percent. For publications in 2007, the range for the 95 percent confidence 

interval was 86.8 to 93.0 percent. For presentations in 2007, the range for the 95 percent 

confidence interval was 84.4 to 91.4 percent. 

23For 2009 agency releases, the range for the 95 percent confidence interval was 53.4 to 57.2 

percent. For 2007 agency releases, the range for the 95 percent confidence interval was 54.9 

to 66.6 percent. 

Page 13 GAO-10-200 Federal Research
 

Figure 2: Percentage of Researchers Who Are Confident That They Understand 

Policies Well Enough to Follow Them, 2007 and 2009 

0

20

40

60

80

100

Percent

Publications Presentations Agency

releases

Media

interviews

2007

2009

Confidence interval: displays the upper and lower bounds of the 95 percent confidence interval for

each estimate.

Source: GAO survey.

As would be expected, those researchers who thought NASA’s efforts to 

educate them about dissemination policies were extremely to moderately 

effective were more likely to feel confident that they understood the 

policies than those who thought the agency’s efforts were less effective.24

For example, 76 percent of researchers who reported being very to 

moderately confident that they understood the dissemination policies 

related to media interviews also responded that NASA’s efforts to educate 

them about these policies were extremely to moderately effective. In 

 

24According to our 2009 survey results, 93.7 percent of researchers were very to moderately 

confident they understood policies related to publications when they said NASA’s efforts to 

educate them were extremely to moderately effective (the 95 percent confidence interval 

was 92.8 to 94.6). The corresponding numbers were 92.3 percent (the 95 percent 

confidence interval was 91.3 to 93.3) for policies related to presentation, 76.1 percent (the 

95 percent confidence interval was 74.0 to 78.2) for policies related to agency releases, and 

76.0 percent (the 95 percent confidence interval was 73.8 to 78.2) for policies related to 

media interviews. 

Page 14 GAO-10-200 Federal Research
 

contrast, 17 percent of researchers who reported being very to moderately 

confident about how to apply the policies for dissemination through media 

interviews also responded that NASA’s efforts to educate them about these 

policies were slightly to not at all effective. In addition, researchers who 

said they had tried to disseminate their results in the past 5 years were 

more likely than other researchers to be confident that they understood 

the policies related to the dissemination route they used. For example, 69 

percent of researchers who sought to disseminate research results through 

agency releases in the past 5 years were very or moderately confident that 

they understand NASA’s policies for dissemination through agency 

releases, whereas 55 percent of all researchers, regardless of whether they 

had sought to use agency releases, reported being very or moderately 

confident they understand dissemination policies related to agency 

releases. 

Our 2007 and 2009 surveys also indicate that many researchers remain 

unclear about when they may discuss research results that have potential 

policy implications. Specifically, according to our 2009 survey, when 

research results are consistent with NASA’s policy, 66 percent of 

researchers believe they are allowed to discuss the results, while 15 

percent believe they may not, and 19 percent were uncertain.25 However, 

fewer researchers believe they may discuss research results when the 

results differ from NASA’s policy. Specifically, 43 percent believe they may 

discuss such results, 19 percent believe they may not, and 38 percent were 

uncertain. Additionally, just over half of researchers (54 percent) believe 

they may discuss their personal views related to research results that have 

potential policy implications, while 13 percent believe they may not and 34 

percent were uncertain. This uncertainty about discussing research results 

and expressing personal views exists despite clear statements in NASA’s 

revised media policy that employees may discuss their results and express 

personal views as long as they attribute such views to themselves and not 

the agency. 

 

25For researchers who answered they are allowed to discuss the results 65.8 (the range for 

the 95 percent confidence interval is 62.9 to 68.7) and 15.2 (the range for the confidence 

interval is 13.0 to 17.5) for those who believe they may not. Nineteen percent were 

uncertain (the range for the confidence interval is 16.5 to 21.4). 

Page 15 GAO-10-200 Federal Research
 

In our 2007 and 2009 surveys, almost 90 percent of researchers reported 

that overall the agency’s policies are extremely to moderately effective in 

ensuring access to research results.26 In addition, over 85 percent of 

researchers believed NASA’s efforts to inform them about policies for 

dissemination through publications and presentations were extremely to 

moderately effective, and about 68 percent reported the same regarding 

media interviews. However, in 2009, fewer researchers believed that 

NASA’s efforts to inform them about the policies for disseminating 

research through agency releases were extremely to moderately effective 

(72 percent said so in 2009 compared with 81 percent in 2007).27 See figure 

3. 

Most Researchers Believe 

NASA’s Policies Ensure 

Access to Research 

Results 

 

26For 2007, the range for the 95 percent confidence interval was 85.1 to 91.6 percent. For 

2009, the range for the 95 percent confidence interval was 85.9 to 88.2 percent. 

27For 2007, the range for the 95 percent confidence interval was 75.4 to 85.2 percent. For 

2009, the range for the 95 percent confidence interval was 70.1 to 73.6 percent. 

Page 16 GAO-10-200 Federal Research
 

Figure 3: Percentage of Researchers Who Believe NASA’s Efforts to Inform Them 

about Policies Are Effective by Dissemination Route, 2007 and 2009 

0

20

40

60

80

100

Percent

Publications Presentations Agency

releases

Media

interviews

2007

2009

Confidence interval: displays the upper and lower bounds of the 95 percent confidence interval for

each estimate.

Source: GAO survey.

NASA has not adopted any new processes or procedures since 2007 for 

researchers to use if they wish to appeal decisions regarding their requests 

to disseminate their research results. Nevertheless, we found in 2009, 

relatively few NASA researchers are aware of and familiar with the 

agency’s process to appeal dissemination decisions. In addition, fewer 

researchers said they had sought to disseminate their research results in 

the past 5 years, and more said their requests to disseminate research 

results had been denied. However, most NASA researchers continue to 

believe that the agency supports the dissemination of research results and 

that NASA and its centers apply policies for all routes of dissemination 

consistently. 

Many Researchers 

Remain Unfamiliar 

with How to Appeal 

Decisions, and More 

Dissemination 

Requests Have Been 

Denied 

Page 17 GAO-10-200 Federal Research
 

NASA has not adopted any new processes or procedures since 2007 for 

researchers to use if they wish to appeal decisions regarding their requests 

to disseminate their research results. As in 2007, researchers may follow 

the appeals process outlined in NASA’s media policy if they wish to appeal 

a decision about dissemination through press releases and interviews. For 

other types of dissemination, such as through publications and 

presentations, there is no formal appeals process, although officials told us 

that researchers may raise concerns through their supervisors or through 

other agency dispute resolution processes, such as those for personnel 

disputes. These officials also said they are not aware of any disputes 

regarding decisions to release research results to the media and thus have 

not used the appeals process described in the policy. For other types of 

dissemination, such as through publications and presentations, for which 

there is no appeals process, most NASA center managers told us that 

disputes over disseminating research results are rare, and some managers 

said they have never needed a formal process to resolve disputes. 

NASA’s Policy on 

Dissemination through the 

Media Includes an Appeals 

Process, but Many 

Researchers Remain 

Unfamiliar with It 

Nonetheless, our 2009 survey shows that, as in 2007, about one-third of 

NASA researchers reported that they were aware of NASA’s process to 

appeal decisions about dissemination of research results, but only 8 

percent responded that they were familiar with the process. About 60 

percent of the 8 percent of researchers who were both aware of and 

familiar with the appeals process reported that it was extremely to very 

effective.28 In both 2007 and 2009, about 20 percent of researchers reported 

that they had appealed decisions when their requests to disseminate 

research results were denied.29

 

28The range for the 95 percent confidence interval was 54.4 to 65.5 percent. 

29For 2007, the range for the 95 percent confidence interval was 9.5 to 39.5 percent. For 

2009, the range for the 95 percent confidence interval was 18.8 to 28.2 percent. 

Page 18 GAO-10-200 Federal Research
 

According to our 2009 survey, fewer researchers have tried to disseminate 

their research results than in 2007, and more researchers have had their 

requests to disseminate denied. Specifically, there was an 8 percentage 

point decline in the number of researchers who responded that they tried 

to disseminate their research results outside of NASA in the last 5 years 

(83 percent in 2009 compared with 91 percent in 2007).30 Researchers in 

2009 largely sought to disseminate their research results through the same 

routes—presentations, publications, agency releases, and media 

interviews—as did researchers in 2007. However, fewer sought to 

disseminate their results through agency releases.31 See figure 4. 

Fewer Researchers Sought 

to Disseminate Research 

Results, and More Have 

Had Their Dissemination 

Requests Denied since 

2007 

 

30According to our 2007 survey results, 90.6 percent (95 percent confidence interval 87.1 to 

93.2) of researchers sought to disseminate their research results outside of NASA. In our 

2009 survey, 82.6 percent (95 percent confidence interval 81.4 to 83.8) sought to 

disseminate research. 

31According to our 2007 survey results, 40.8 percent (95 percent confidence interval 35.6 to 

46.1) of researchers sought to disseminate their research results via agency releases. In our 

2009 survey, 31.9 percent (95 percent confidence interval 30.2 to 33.5) sought to 

disseminate research via agency releases. 

Page 19 GAO-10-200 Federal Research
 

Figure 4: Percentage of Researchers Who Sought to Disseminate Their Research 

Results, by Route of Dissemination, 2007 and 2009 

0

20

40

60

80

100

Percent

Publications Presentations Agency

releases

Media

interviews

2007

2009

Confidence interval: displays the upper and lower bounds of the 95 percent confidence interval for

each estimate.

Source: GAO survey.

According to our survey results, more researchers in 2009 had their 

requests to disseminate research results denied for reasons other than 

those stemming from standard technical reviews (about 12 percent of 

researchers in 2009, compared with about 7 percent in 2007).32 Most 

researchers whose requests had been denied were seeking to disseminate 

research results through publications and presentations, as we found in 

2007. Also, as in 2007, researchers took various actions in response to a 

denial. While more than half of researchers gave up on efforts to 

disseminate, many others successfully disseminated their research results 

by making revisions that led to approval or by using a different 

dissemination route. 

 

32For 2007, the range for the 95 percent confidence interval was 4.6 to 10.4 percent. For 

2009, the range for the 95 percent confidence interval was 10.7 to 13.1 percent. 

Page 20 GAO-10-200 Federal Research
 

Researchers commented that they received a variety of reasons for the 

denials, although some indicated they were given no reason.33 As in 2007, 

among the most common reasons reported for denials was that the 

research was restricted for national security or other reasons or that the 

topic or results were sensitive. Another commonly cited reason was the 

lack of funding to attend conferences. Some researchers specifically 

mentioned the restrictions on NASA’s spending related to conferences—a 

key venue for presenting research results—contained in the NASA 

Authorization Act of 2008. The act authorized $5 million for conferencerelated expenses in fiscal year 2009, a reduction of over two-thirds from 

the previous fiscal year. Subsequently, in March 2009, the Omnibus 

Appropriations Act of 2009 clarified that the restrictions did not apply to 

scientific or technical conferences and other conferences at which NASA 

science, technology, engineering, and mathematics are disseminated. 

According to NASA officials, the spending limitation prevented many 

researchers from disseminating their research results because decisions 

about conference attendance are typically made early in a fiscal year. One 

NASA official estimates that only one-third of NASA-funded research was 

presented to the scientific community in 2009. 

Researchers Continue to 

Believe That NASA 

Supports Dissemination, 

and Most Believe NASA 

and Its Centers 

Consistently Apply 

Dissemination Policies 

As in 2007, most researchers believe that NASA is very to moderately 

supportive of disseminating research results but that the agency is more 

supportive of some dissemination routes than others. We estimate that 85 

percent of researchers in 2009, compared with 89 percent in 2007, believe 

that NASA either insists on or encourages the dissemination of research 

results.34 When comparing 2007 and 2009 survey results for specific 

dissemination routes, we found that fewer researchers now believe that 

NASA is very to moderately supportive of dissemination through 

presentations—92 percent of researchers said this in 2007 compared with 

 

33While the number of denials can be generalized to the population, the reasons provided 

for the denials cannot be generalized to the population. The reasons for the denials 

represent the sentiments of individual respondents and not the population of NASA 

researchers. We received a total of 209 comments regarding the reasons that were given for 

denying requests to disseminate research results. 

34For 2007, the 95 percent confidence interval was 84.8 to 91.5 percent. For 2009, the 95 

percent confidence interval was 84.1 to 86.4 percent. 

Page 21 GAO-10-200 Federal Research
 

84 percent in 2009. 35 While we cannot be certain of the reasons for this 

decline, they may also be related to the limitation on conference 

attendance in 2009 mentioned earlier. We also found a slight increase in 

the percentage of researchers who believe NASA is very to moderately 

supportive of dissemination through media interviews. Specifically, we 

estimate that 68 percent of researchers in 2009 believe that NASA is 

supportive of dissemination through media interviews compared with 62 

percent of researchers in 2007.36 We also found a slight decrease in the 

percentage of researchers who believe NASA is very to moderately 

supportive of dissemination through publications—89 percent in 2009 

compared with 91 percent 2007.37 See figure 5. 

 

35According to our 2007 survey results, 91.6 percent (95 percent confidence interval 88.1 to 

94.2) of researchers believed NASA was very or moderately supportive of dissemination 

through presentations. In our 2009 survey, 84.0 percent (95 percent confidence interval 82.8 

to 85.2) believed NASA was very or moderately supportive of dissemination through 

presentations. 

36According to our 2007 survey results, 61.8 percent (95 percent confidence interval 54.8 to 

68.3) of researchers believed NASA was very or moderately supportive of dissemination 

through media interviews. In our 2009 survey, 68.2 percent (95 percent confidence interval 

66.0 to 70.3) believed NASA was very or moderately supportive of dissemination through 

media interviews. 

37According to our 2007 survey results, 91.2 percent (95 percent confidence interval 87.6to 

93.8) of researchers believed NASA was very or moderately supportive of dissemination 

through presentations. In our 2009 survey, 89.3 percent (95 percent confidence interval 88.2 

to 90.3) believed NASA was very or moderately supportive of dissemination through 

publications. 

Page 22 GAO-10-200 Federal Research
 

Figure 5: Percentage of Researchers Who Believe That NASA Supports 

Dissemination, by Route of Dissemination, 2007 and 2009 

0

20

40

60

80

100

Publications Presentations Agency

releases

Media

interviews

Percent

2007

2009

Confidence interval: displays the upper and lower bounds of the 95 percent confidence interval for

each estimate.

Source: GAO survey.

In comparing the 2009 and 2007 survey results, we also found that, in 

general, researchers believe that both the centers and NASA as a whole 

apply dissemination policies very to somewhat consistently. However, a 

greater number of researchers now believe the centers more consistently 

apply policies for dissemination through agency releases (83 percent in 

2009 compared with 71 percent in 2007) and media interviews (77 percent 

in 2009 compared with 62 percent in 2007).38 In addition, more researchers 

in 2009 believe that NASA consistently applies policies for media 

interviews (68 percent compared with 57 percent).39 We also found an 

 

38For 2007 agency releases, the range for the 95 percent confidence interval was 64.4 to 77.4 

percent. For 2009 agency releases, the 95 percent confidence interval was 81.6 to 85.1 

percent. For 2007 media interviews, the range for the 95 percent confidence interval was 

54.9 to 69.1. For 2009 media interviews, the range for the 95 percent confidence interval 

was 74.8 to 78.9. 

39For 2007, the range for the 95 percent confidence interval was 49.5 to 64.4 percent. For 

2009, the range for the 95 percent confidence interval was 66.1 to 70.9 percent. 

Page 23 GAO-10-200 Federal Research
 

increase that approaches statistical significance in the percentage of 

researchers in 2009 who believe NASA consistently applies policies for 

dissemination through agency releases (74 percent compared with 67 

percent).40

Our 2009 survey results indicate that researchers believe, across all 

dissemination routes, that the centers more consistently apply 

dissemination policies than NASA as a whole. Specifically, we estimate on 

the basis of the 2009 survey results that 88 percent of researchers believe 

their centers consistently apply policies related to publications and 81 

percent believe their centers consistently apply policies related to 

presentations. In contrast, 79 and 73 percent of researchers believe NASA 

as a whole consistently applies publication and presentation policies, 

respectively. Further, 83 percent of researchers believe their centers 

consistently apply policies related to agency releases, and 77 percent 

believe their centers consistently apply policies related to media 

interviews, whereas fewer believe NASA as a whole consistently applies 

policies related to agency releases and media interviews—74 and 68 

percent, respectively. 

Scientific research is critical to the ability of NASA and other agencies to 

achieve their missions and is at the heart of many major policy decisions 

that agencies face. Open communication and exchanging of research 

results contribute to advances in the state of scientific knowledge and a 

well-informed public. In 2007, while we found that NASA’s policies were 

generally clear, we also raised a number of concerns, including that many 

NASA researchers did not understand the full range of the agency’s 

policies and were generally unaware of NASA’s policy for appealing 

dissemination decisions. In response, NASA undertook various efforts to 

increase the awareness of researchers about its media policy. These 

efforts appear to have achieved some success because, as our survey 

indicates, more researchers now believe that NASA is supportive of 

dissemination through media interviews. In addition, more researchers 

today believe that NASA and the centers consistently apply policies for 

dissemination through agency releases and media interviews, and 

researchers generally rate NASA’s efforts to help them understand the 

policies as effective. However, with regard to dissemination through 

Conclusions 

 

40For 2007, the 95 percent confidence interval was 59.7 to 73.3 percent. For 2009, the 95 

percent confidence interval was 72.0 to 76.4 percent. 

Page 24 GAO-10-200 Federal Research
 

publications and presentations, we found that fewer researchers are 

confident they understand the policies well enough to apply them, and 

fewer believe that NASA is supportive of using these routes to disseminate 

research results. Finally, now, as in 2007, very few researchers are familiar 

with how to appeal decisions made in regard to their requests to 

disseminate their research results, and about half of those who had their 

requests denied gave up trying to disseminate their results. We are 

concerned that this may inhibit the full range of scientific research from 

being shared with the scientific community and the public. 

To strengthen NASA’s efforts to better inform its researchers and ensure 

that the policies guiding researchers and public affairs officials in their 

efforts to disseminate research results to other scientists and the public 

are well understood, we recommend that the NASA Administrator direct 

officials responsible for dissemination of research results through all 

routes to include in their efforts to inform researchers a focus on the 

processes researchers are to follow when they wish to appeal decisions. 

We provided the NASA with a draft of this report for their review and 

comment. NASA concurred with our recommendation and stated that the 

NASA Administrator will direct the appropriate NASA officials, including 

the Assistant Administrator for Public Affairs, to work with the 

appropriate NASA entities to review the agency’s dissemination policies 

and provide appropriate education and training for researchers to ensure 

they clearly understand the processes for appealing dissemination 

decisions. The comment letter from NASA is presented in appendix III. 

Recommendations for 

Executive Action 

Agency Comments 

and Our Evaluation 

Page 25 GAO-10-200 Federal Research
 

We are sending copies of this report to the appropriate congressional 

committees, the Administrator of NASA, and other interested parties. The 

report also will be available at no charge on the GAO Web site at 

http://www.gao.gov. If you or your staff have any questions about this 

report, please contact me at (202) 512-3841 or mittala@gao.gov. Contact 

points for our Offices of Congressional Relations and Public Affairs may 

be found on the last page of this report. Key contributors to this report are 

Anu K. Mittal 

listed in appendix IV. 

Director, Natural Resources 

 and Environment 

Page 26 GAO-10-200 Federal Research
Appendix I: Objectives, Scope, and 

Methodology 

Page 27 GAO-10-200 

Appendix I: Objectives, Scope, and 

Methodology 

The National Aeronautics and Space Administration (NASA) Authorization 

Act of 2008 directed GAO to determine whether NASA is implementing the 

regulations governing the dissemination of research in a clear and 

consistent manner. In response, this report discusses (1) what changes, if 

any, have been made since 2007 to the policies that guide the 

dissemination of federally funded research results at NASA; (2) the extent 

to which NASA researchers believe that the agency’s dissemination 

policies have been more effectively communicated since 2007 and what 

their experiences have been in using the process; and (3) what processes, 

if any, NASA has adopted since 2007 for researchers to follow if they have 

concerns about decisions regarding the dissemination of their research 

results and how those concerns have been addressed. 

To identify and evaluate what changes have been made since 2007 to 

NASA’s policies that guide the dissemination of federally funded research 

results, we obtained, reviewed, and analyzed the agency’s dissemination 

policies, and compared them to prior policies. In addition, we contacted 

managers and public affairs officials who are responsible for 

dissemination of research results at NASA headquarters and at each of 10 

research, space, and space flight centers. We used a standard set of 

questions to ensure we obtained consistent information, confirmed that 

we had copies of the relevant dissemination policies, and discussed at 

length the ways in which these policies had changed since 2007 and how 

these policies were put into practice. We also included questions about 

what processes NASA has adopted since 2007 for researchers to follow if 

they have concerns about decisions regarding the dissemination of their 

research results. 

To identify to what extent NASA researchers believe that the agency’s 

dissemination policies have been more effectively communicated since 

2007 and what their experiences have been in using the process for 

disseminating their research results and how their concerns about 

dissemination decisions have been addressed, we sent a Web-based survey 

to all 2,790 researchers at NASA. This survey instrument was in large part 

identical to the one used as the basis for GAO’S May 2007 report on 

policies guiding dissemination of scientific research at NASA, the National 

Institute for Standards and Technology, and the National Oceanic and 

Atmospheric Administration. We sought the NASA researchers’ views on 

their agency’s research dissemination policies, the level of agency support 

for dissemination, and their experiences with dissemination. We defined 

researchers to be included in our population as federally employed 

scientists, engineers, or other researchers who are in a position to 

disseminate their research results to a wider audience. We included 

 Federal Research 
Appendix I: Objectives, Scope, and 

Methodology 

researchers from 9 of the 10 NASA centers and excluded the Jet 

Propulsion Laboratory from our review because contract researchers 

primarily perform research at this center and NASA does not maintain a 

database that contains the names of individual contract researchers. In 

addition, contract researchers might charge NASA for costs related to 

participating in the survey. To identify researchers for our survey, we 

obtained from center or program managers at NASA a list of researchers in 

their organization who would meet our defined criterion. To mitigate the 

risk that NASA center and program managers may not have provided the 

complete universe of relevant researchers, we interviewed NASA public 

affairs and scientific officials to identify the key characteristics of 

individuals in a position to disseminate research. We then obtained from 

NASA’s Office of Human Capital a list, broken out by center, of offices that 

employed researchers who met these key characteristics. NASA obtained 

this information from the Federal Personnel and Payroll System (FPPS) 

Datamart, which is the official data source for personnel and payroll 

information on NASA civil service employees. To assess the reliability of 

the information in this database for the purposes of our report, we 

submitted a set of questions to NASA related to how the data are managed 

and maintained. On the basis of NASA’s responses to these questions, we 

determined that the data are adequate to identify offices within NASA that 

employ researchers who meet the key characteristics. After obtaining the 

list of offices from NASA, we asked officials at each center to verify that 

they had considered all the program offices on the list when they 

developed their original list of researchers and, if not, we asked them to 

contact those offices to determine if any researcher names should be 

added to our survey universe. 

Information about accessing the survey was provided via e-mail for all 

survey participants. The survey was activated, and researchers were 

informed of its availability, on July 14, 2009; it was available thorough 

September 18, 2009. To ensure security and data integrity, we provided all 

participants with user names and personal passwords that allowed them to 

access and complete the survey. To reduce survey nonresponse, we sent 

out multiple e-mail reminder messages and conducted follow-up telephone 

calls to all nonrespondents to encourage them to complete the survey. 

From initial notification, we identified 379 individuals who were outside 

the target population. For example, some individuals had retired from the 

agency. In all, we received a 57.5 percent response rate. 

We compared the respondents with nonrespondents on available 

administrative data, such as the center where they work, but did not find 

any significant differences on the available variables. Although our survey 

Page 28 GAO-10-200 Federal Research
Appendix I: Objectives, Scope, and 

Methodology 

was intended to be a census, for the purposes of analyzing the results, we 

decided to treat our survey as a random sample. Specifically, we took the 

response rate within each of the 9 NASA centers and used this to derive a 

statistical weight. We applied statistical weight to the respondents so that 

their answers would represent the population. This requires the 

assumption that the nonrespondents are missing at random. 

All sample surveys are subject to sampling error—that is, the extent to 

which the survey results differ from what would have been obtained if the 

whole population had been observed. Measures of sampling error are 

defined by two elements, the width of the confidence intervals around the 

estimate (sometimes called the precision of the estimate) and the 

confidence level at which the intervals are computed. Because we treated 

our survey as a stratified random sample, we assumed our sample was 

only one of a large number that could have been drawn. Because each 

sample could have provided different estimates, we expressed our 

confidence in the precision of our particular sample’s results as a 95 

percent confidence interval. This is the interval that would contain the 

actual population value for 95 percent of the samples we could have 

drawn. As a result, we are 95 percent confident that each of the confidence 

intervals based on the survey includes the true values in the sample 

population. The 95 percent confidence intervals for numeric estimates are 

presented along with those estimates in the body of the report. Unless 

otherwise noted, any comparisons between point estimates for 2009 have 

a 95 percent level of confidence of plus or minus 4 percentage points. 

In addition to sampling errors, the practical difficulties of conducting any 

survey may introduce errors, commonly referred to as nonsampling errors. 

For example, differences in how a particular question is interpreted, the 

information sources available to respondents, or the types of sample 

members who do not respond can introduce unwanted variability into the 

survey results. We assumed that the propensity to respond to our survey 

did not depend upon the questions we asked, and we assumed that the 

respondents were statistically similar to the nonrespondents. If 

characteristics of respondents are different from those of nonrespondents 

on key items, it could introduce a bias not accounted for in our analysis. 

We took extensive steps in questionnaire development, data collection, 

and the editing and analysis of the survey data to minimize nonsampling 

errors. This survey instrument was in large part identical to the one used 

as the basis for GAO’S May 2007 report on policies guiding dissemination 

of scientific research at three agencies, including NASA. The 2007 survey 

was developed by a GAO survey specialist in conjunction with subject 

matter experts, and then reviewed by a second independent survey 

Page 29 GAO-10-200 Federal Research
Appendix I: Objectives, Scope, and 

Methodology 

specialist. In addition, we pretested the survey by telephone with 

researchers from NASA. During these pretests, we asked the researchers 

to complete the survey as they would when they received it. We then 

interviewed the respondents to ensure that (1) the questions were clear 

and unambiguous, (2) the terms we used were precise, (3) the survey did 

not place an undue burden on the researchers completing it, and (4) the 

survey was independent and unbiased. On the basis of the feedback from 

the pretests, we revised the questions, as appropriate. In making minor 

revisions to the 2007 survey to make it acceptable for the 2009 survey, we 

also worked with survey specialists, who determined that the changes 

made would not require additional pretesting. The SAS and SUDAN 

programs that produced the 2009 survey estimates, including estimates of 

categories derived from content analysis, were reviewed by a second, 

independent programmer to ensure accuracy in the logic and syntax of the 

program. 

Regarding the survey data on instances in which researchers were denied 

the opportunity to disseminate, the percentage of researchers reporting 

such instances can be generalized to the population. However, because the 

number of denials is small, the details concerning the reason for denial, 

the researcher’s primary field of research, and the actions taken in 

response to the denial cannot be generalized. Because the issue of a 

researcher being denied is a salient piece of our analysis, we included this 

nongeneralizable information to provide context to this important issue. 

To analyze select, open-ended questions on our survey, including those 

given as the reason researchers said they were denied, we conducted a 

content analysis to develop our agreement statistics. Reviewers (two per 

question) collaboratively developed content categories based on survey 

responses, and then independently assessed and coded each survey 

response into those categories. Intercoder reliability (agreement) statistics 

were electronically generated in the coding process, and agreement 

statistics for all categories were 90 percent or above. Coding 

disagreements were resolved through reviewer discussion or a third-party 

arbiter. 

We conducted this performance audit from January 2009 through 

December 2009 in accordance with generally accepted government 

auditing standards. Those standards require that we plan and perform the 

audit to obtain sufficient, appropriate evidence to provide a reasonable 

basis for our findings and conclusions based on our audit objectives. We 

believe that the evidence obtained provides a reasonable basis for our 

findings and conclusions based on our audit objectives. 

Page 30 GAO-10-200 Federal Research
Appendix II: Selected Results of the 2009 Appendix II: Selected Results of the 2009 Survey of NASA Researchers 

Survey of NASA Researchers 

The following tables contain summary results of selected questions from 

our survey of researchers at NASA in 2009. For each question reported 

below, the estimated percentage is presented along with its 95 percent 

confidence interval. These tables do not include summary-level data for 

the demographic questions and do not include the results from any openended questions. 

Q8. Overall how familiar or unfamiliar are you with the policies NASA has in place regarding the dissemination of research results 

outside of the agency? 

Question choices Percentage of respondents 95 percent confidence interval 

Very or moderately familiar 87.1 86.1-88.2 

Slightly or not at all familiar 12.9 11.8-13.9 

Q9. Has NASA used any of the following means to help you understand how to comply with its policies regarding the dissemination of 

research results outside of the agency? 

a. Formal training sessions 

Question choices Percentage of respondents 95 percent confidence interval 

Yes 42.1 40.4-43.7 

No 44.5 42.9-46.1 

Not sure 13.5 12.3-14.6 

Q9. Has NASA used any of the following means to help you understand how to comply with its policies regarding the dissemination of 

research results outside of the agency? 

b. On-the-job training (including mentoring) 

Question choices Percentage of respondents 95 percent confidence interval 

Yes 71.8 70.3-73.2 

No 23.4 22.0-24.7 

Not sure 4.9 4.2-5.6 

Page 31 GAO-10-200 Federal Research 
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Q9. Has NASA used any of the following means to help you understand how to comply with its policies regarding the dissemination of 

research results outside of the agency? 

c. Staff or town hall meetings 

Question choices Percentage of respondents 95 percent confidence interval 

Yes 46.4 44.7-48.1 

No 39.2 37.6-40.8 

Not sure 14.4 13.2-15.6 

Q9. Has NASA used any of the following means to help you understand how to comply with its policies regarding the dissemination of 

research results outside of the agency? 

d. E-mails or other correspondence from Administrator-level offices sent to all staff 

Question choices Percentage of respondents 95 percent confidence interval 

Yes 53.7 52.0-55.3 

No 24.6 23.2-26.0 

Not sure 21.7 20.4-23.1 

Q9. Has NASA used any of the following means to help you understand how to comply with its policies regarding the dissemination of 

research results outside of the agency? 

e. E-mails or other correspondence from center management sent to all center or office staff 

Question choices Percentage of respondents 95 percent confidence interval 

Yes 68.5 67.0-70.0 

No 16.1 14.9-17.2 

Not sure 15.5 14.3-16.6 

Q9. Has NASA used any of the following means to help you understand how to comply with its policies regarding the dissemination of 

research results outside of the agency? 

f. Notification on intranet sites 

Question choices Percentage of respondents 95 percent confidence interval 

Yes 46.6 44.9-48.2 

No 22.1 20.8-23.5 

Not sure 31.3 29.8-32.8 

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Q9. Has NASA used any of the following means to help you understand how to comply with its policies regarding the dissemination of 

research results outside of the agency? 

g. Other, please specify below 

Question choices Percentage of respondents 95 percent confidence interval 

Yes 18.2 16.0-20.5 

No 44.2 41.3-47.1 

Not sure 37.6 34.8-40.4 

Q10. Overall, how effective or ineffective have NASA’s efforts been to help you understand how to comply with its policies regarding 

the dissemination of research results through each of the following routes? 

a. Publications (such as peer-reviewed publications or non-peer-reviewed publications) 

Question choices Percentage of respondents 95 percent confidence interval 

Extremely, very, or moderately effective 89.2 88.2-90.2 

Slightly or not at all effective 10.8 9.8-11.8 

Q10. Overall, how effective or ineffective have NASA’s efforts been to help you understand how to comply with its policies regarding 

the dissemination of research results through each of the following routes? 

b. Presentations (such as keynote addresses, conferences, workshops, symposia, professional society meetings, or congressional 

hearings) 

Question choices Percentage of respondents 95 percent confidence interval 

Extremely, very, or moderately effective 85.9 84.7-87.0 

Slightly or not at all effective 14.2 13.0-15.3 

Q10. Overall, how effective or ineffective have NASA’s efforts been to help you understand how to comply with its policies regarding 

the dissemination of research results through each of the following routes? 

c. Agency releases (such as press releases, posting on an agency intranet site, or agency reports or fact sheets) 

Question choices Percentage of respondents 95 percent confidence interval 

Extremely, very, or moderately effective 71.8 70.1-73.6 

Slightly or not at all effective 28.2 26.4-29.9 

Page 33 GAO-10-200 Federal Research
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Q10. Overall, how effective or ineffective have NASA’s efforts been to help you understand how to comply with its policies regarding 

the dissemination of research results through each of the following routes? 

d. Media interviews 

Question choices Percentage of respondents 95 percent confidence interval 

Extremely, very, or moderately effective 68.4 66.5-70.4 

Slightly or not at all effective 31.6 29.6-33.5 

Q10. Overall, how effective or ineffective have NASA’s efforts been to help you understand how to comply with its policies regarding 

the dissemination of research results through each of the following routes? 

e. Other, please specify below 

Question choices Percentage of respondents 95 percent confidence interval 

Extremely, very, or moderately effective 54.5 45.9-63.1 

Slightly or not at all effective 45.5 36.9-54.1 

Q11. Regardless of how effective or ineffective NASA’s efforts have been, how confident, if at all, are you that you understand the 

agency’s policies regarding the dissemination of research results through each of the following routes well enough to follow them? 

a. Publications 

Question choices Percentage of respondents 95 percent confidence interval 

Very or moderately confident 87.5 86.4-88.6 

Slightly or not at all confident 12.5 11.4-13.6 

Q11. Regardless of how effective or ineffective NASA’s efforts have been, how confident, if at all, are you that you understand the 

agency’s policies regarding the dissemination of research results through each of the following routes well enough to follow them? 

b. Presentations 

Question choices Percentage of respondents 95 percent confidence interval 

Very or moderately confident 85.3 84.1-86.4 

Slightly or not at all confident 14.7 13.6-15.9 

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Q11. Regardless of how effective or ineffective NASA’s efforts have been, how confident, if at all, are you that you understand the 

agency’s policies regarding the dissemination of research results through each of the following routes well enough to follow them? 

c. Agency releases 

Question choices Percentage of respondents 95 percent confidence interval 

Very or moderately confident 55.3 53.4-57.2 

Slightly or not at all confident 44.7 42.8-46.6 

Q11. Regardless of how effective or ineffective NASA’s efforts have been, how confident, if at all, are you that you understand the 

agency’s policies regarding the dissemination of research results through each of the following routes well enough to follow them? 

d. Media interviews 

Question choices Percentage of respondents 95 percent confidence interval 

Very or moderately confident 52.0 50.1-53.9 

Slightly or not at all confident 48.0 46.1-49.9 

Q11. Regardless of how effective or ineffective NASA’s efforts have been, how confident, if at all, are you that you understand the 

agency’s policies regarding the dissemination of research results through each of the following routes well enough to follow them? 

e. Other, please specify below 

Question choices Percentage of respondents 95 percent confidence interval 

Very or moderately confident 51.5 43.5-59.5 

Slightly or not at all confident 48.6 40.5-56.5 

Q12. Overall, in your opinion, how consistently or inconsistently does your NASA Center apply its policies regarding the dissemination 

of research results through each of the following routes? 

a. Publications 

Question choices Percentage of respondents 95 percent confidence interval 

Very or somewhat consistently 87.6 86.4-88.7 

Neither consistently or inconsistently 5.2 4.4-5.9 

Somewhat or very inconsistently 7.3 6.4-8.2 

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Q12. Overall, in your opinion, how consistently or inconsistently does your NASA Center apply its policies regarding the dissemination 

of research results through each of the following routes? 

b. Presentations 

Question choices Percentage of respondents 95 percent confidence interval 

Very or somewhat consistently 81.5 80.1-82.8 

Neither consistently or inconsistently 9.2 8.2-10.2 

Somewhat or very inconsistently 9.3 8.3-10.4 

Q12. Overall, in your opinion, how consistently or inconsistently does your NASA Center apply its policies regarding the dissemination 

of research results through each of the following routes? 

c. Agency releases 

Question choices Percentage of respondents 95 percent confidence interval 

Very or somewhat consistently 83.4 81.6-85.1 

Neither consistently or inconsistently 10.6 9.2-12.1 

Somewhat or very inconsistently 6.0 4.9-7.2 

Q12. Overall, in your opinion, how consistently or inconsistently does your NASA Center apply its policies regarding the dissemination 

of research results through each of the following routes? 

d. Media interviews 

Question choices Percentage of respondents 95 percent confidence interval 

Very or somewhat consistently 76.9 74.8-78.9 

Neither consistently or inconsistently 14.8 13.1-16.6 

Somewhat or very inconsistently 8.3 7.0-9.6 

Q12. Overall, in your opinion, how consistently or inconsistently does your NASA Center apply its policies regarding the dissemination 

of research results through each of the following routes? 

e. Other, please specify below 

Question choices Percentage of respondents 95 percent confidence interval 

Very or somewhat consistently 43.0 32.1-53.9 

Neither consistently or inconsistently 23.0 14.2-34.0 

Somewhat or very inconsistently 34.0 23.7-44.3 

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Q13. Overall, in your opinion, how consistently or inconsistently does NASA as a whole apply its policies regarding the dissemination of 

research results through each of the following routes? 

a. Publications 

Question choices Percentage of respondents 95 percent confidence interval 

Very or somewhat consistently 78.7 77.1-80.2 

Neither consistently or inconsistently 8.1 7.1-9.2 

Somewhat or very inconsistently 13.2 11.9-14.5 

Q13. Overall, in your opinion, how consistently or inconsistently does NASA as a whole apply its policies regarding the dissemination of 

research results through each of the following routes? 

b. Presentations 

Question choices Percentage of respondents 95 percent confidence interval 

Very or somewhat consistently 73.1 71.4-74.8 

Neither consistently or inconsistently 11.1 9.9-12.3 

Somewhat or very inconsistently 15.8 14.4-17.2 

Q13. Overall, in your opinion, how consistently or inconsistently does NASA as a whole apply its policies regarding the dissemination of 

research results through each of the following routes? 

c. Agency releases 

Question choices Percentage of respondents 95 percent confidence interval 

Very or somewhat consistently 74.2 72.0-76.4 

Neither consistently or inconsistently 12.1 10.5-13.7 

Somewhat or very inconsistently 13.7 11.9-15.4 

Q13. Overall, in your opinion, how consistently or inconsistently does NASA as a whole apply its policies regarding the dissemination of 

research results through each of the following routes? 

d. Media interviews 

Question choices Percentage of respondents 95 percent confidence interval 

Very or somewhat consistently 68.5 66.1-70.9 

Neither consistently or inconsistently 15.1 13.2-16.9 

Somewhat or very inconsistently 16.5 14.5-18.4 

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Q13. Overall, in your opinion, how consistently or inconsistently does NASA as a whole apply its policies regarding the dissemination of 

research results through each of the following routes? 

e. Other, please specify below 

Question choices Percentage of respondents 95 percent confidence interval 

Very or somewhat consistently 53.7 42.9-64.4 

Neither consistently or inconsistently 19.7 11.5-30.3 

Somewhat or very inconsistently 26.7 17.6-37.5 

Q14. Overall, do you believe NASA’s dissemination policies are effective or ineffective in ensuring access to the results of research 

conducted at the agency? 

Question choices Percentage of respondents 95 percent confidence interval 

Extremely, very, or moderately effective 87.1 85.9-88.2 

Slightly or not at all effective 12.9 11.8-14.1 

Q15. How supportive, if at all, is NASA toward dissemination research results through each of the following routes? 

a. Through publications, such as peer-reviewed journals or non-peer-reviewed journals 

Question choices Percentage of respondents 95 percent confidence interval 

Very or moderately supportive 89.3 88.2-90.3 

Slightly or not at all supportive 10.8 9.7-11.8 

Q15. How supportive, if at all, is NASA toward dissemination research results through each of the following routes? 

b. Through presentations, such as at conferences or at congressional hearings 

Question choices Percentage of respondents 95 percent confidence interval 

Very or moderately supportive 84.0 82.8- 85.2 

Slightly or not at all supportive 16.0 14.8-17.2 

Q15. How supportive, if at all, is NASA toward dissemination research results through each of the following routes? 

c. Through agency releases, such as press releases, posting on an agency intranet site, or agency reports or fact sheets 

Question choices Percentage of respondents 95 percent confidence interval 

Very or moderately supportive 77.8 76.1-79.5 

Slightly or not at all supportive 22.2 20.5-23.9 

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Q15. How supportive, if at all, is NASA toward dissemination research results through each of the following routes? 

d. Through interviews with media 

Question choices Percentage of respondents 95 percent confidence interval 

Very or moderately supportive 68.2 66.0-70.3 

Slightly or not at all supportive 31.9 29.7-34.0 

Q16. Overall, which of the following statements best characterizes the extent to which NASA supports the dissemination of research 

results? 

Question choices Percentage of respondents 95 percent confidence interval 

NASA insists or encourages dissemination 85.2 84.1-86.4 

NASA neither insists or encourages dissemination 10.2 9.2-11.2 

NASA discourages or does not allow dissemination 3.1 2.6-3.8 

Not sure 1.5 1.1-1.9 

Q17. Does your area of research have the potential to affect federal policy decisions? 

Question choices Percentage of respondents 95 percent confidence interval 

Yes 27.9 26.4-29.3 

No 45.4 43.7-47.0 

Not sure 26.8 25.3-28.2 

Q18. When disseminating research results that have potential federal policy implications, does each of the following statements

correctly or not correctly represent NASA’s position on discussing these research results? 

a. I can discuss research results with potential policy implications when the results are consistent with the agency’s policy or position 

statements. 

Question choices Percentage of respondents 95 percent confidence interval 

Checked 65.8 62.9-68.7 

Not checked 15.2 13.0-17.5 

Not sure 19.0 16.5-21.4 

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Q18. When disseminating research results that have potential federal policy implications, does each of the following statements

correctly or not correctly represent NASA’s position on discussing these research results? 

b. I can discuss research results with potential policy implications when the results differ from the agency’s policy or position 

statements. 

Question choices Percentage of respondents 95 percent confidence interval 

Checked 43.4 40.3-46.5 

Not checked 18.6 16.2-21.0 

Not sure 38.0 35.0-41.0 

Q18. When disseminating research results that have potential federal policy implications, does each of the following statements

correctly or not correctly represent NASA’s position on discussing these research results? 

c. I can discuss research results with potential policy implications on issues for which the agency does not have a policy or position 

statement. 

Question choices Percentage of respondents 95 percent confidence interval 

Checked 63.9 60.9-66.8 

Not checked 9.5 7.7-11.3 

Not sure 26.7 23.9-29.4 

Q18. When disseminating research results that have potential federal policy implications, does each of the following statements

correctly or not correctly represent NASA’s position on discussing these research results? 

d. I can discuss potential policy implications of research results provided that I state the policy implications as my personal views and 

not those of the agency. 

Question choices Percentage of respondents 95 percent confidence interval 

Checked 53.7 50.6-56.7 

Not checked 12.6 10.5-14.7 

Not sure 33.7 30.8-36.6 

Q18. When disseminating research results that have potential federal policy implications, does each of the following statements

correctly or not correctly represent NASA’s position on discussing these research results? 

e. I am not allowed to discuss the potential policy implications of research results. 

Question choices Percentage of respondents 95 percent confidence interval 

Checked 8.0 6.3-9.7 

Not checked 60.6 57.6-63.7 

Not sure 31.4 28.5-34.3 

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Survey of NASA Researchers 

Q19. In the past 5 years, have you sought to disseminate the results of your own scientific research outside of NASA? 

Question choices Percentage of respondents 95 percent confidence interval 

Yes (skip to question 21) 82.6 81.4-83.8 

No 17.4 16.2-18.6 

Q20. Which of the following reasons describe why in the past 5 years you have not sought to disseminate the results of your scientific 

research outside of the agency? 

1. I don’t conduct research that requires dissemination. 

(If Question 19 is No) 

Question choices Percentage of respondents 95 percent confidence interval 

Checked 32.1 28.4-35.8 

Not checked 67.9 64.2-71.6 

Q20. Which of the following reasons describe why in the past 5 years you have not sought to disseminate the results of your scientific 

research outside of the agency? 

2. I don’t conduct my own research. 

(If Question 19 is No) 

Question choices Percentage of respondents 95 percent confidence interval 

Checked 37.6 33.7-41.4 

Not checked 62.4 58.6-66.3 

Q20. Which of the following reasons describe why in the past 5 years you have not sought to disseminate the results of your scientific 

research outside of the agency? 

3. Someone else disseminates research results on my behalf. 

(If Question 19 is No) 

Question choices Percentage of respondents 95 percent confidence interval 

Checked 10.4 8.1-13.2 

Not checked 89.6 86.8-92.0 

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Q20. Which of the following reasons describe why in the past 5 years you have not sought to disseminate the results of your scientific 

research outside of the agency? 

4. I sought to disseminate results in the past and was not allowed to. 

(If Question 19 is No) 

Question choices Percentage of respondents 95 percent confidence interval 

Checked 1.4 0.6-2.7 

Not checked 98.6 97.3-99.4 

Q20. Which of the following reasons describe why in the past 5 years you have not sought to disseminate the results of your scientific 

research outside of the agency? 

5. My research is ongoing and is not ready to be released. 

(If Question 19 is No) 

Question choices Percentage of respondents 95 percent confidence interval 

Checked 16.4 13.5-19.4 

Not checked 83.6 80.6-86.5 

Q20. Which of the following reasons describe why in the past 5 years you have not sought to disseminate the results of your scientific 

research outside of the agency? 

6. My research is not eligible for public dissemination. 

(If Question 19 is No) 

Question choices Percentage of respondents 95 percent confidence interval 

Checked 8.0 5.9-10.5 

Not checked 92.0 89.5-94.1 

Q20. Which of the following reasons describe why in the past 5 years you have not sought to disseminate the results of your scientific 

research outside of the agency? 

7. Agency policies did not allow me to disseminate. 

(If Question 19 is No) 

Question choices Percentage of respondents 95 percent confidence interval 

Checked 1.9 0.9-3.4 

Not checked 98.1 96.6-99.1 

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Q20. Which of the following reasons describe why in the past 5 years you have not sought to disseminate the results of your scientific 

research outside of the agency? 

8. Other, please specify below 

(If Question 19 is No) 

Question choices Percentage of respondents 95 percent confidence interval 

Checked 15.8 12.9-18.7 

Not checked 84.2 81.3-87.1 

Q21. Over the past 5 years, through which methods did you seek to disseminate your research results? 

a. Publications (such as peer-reviewed publications or non-peer-reviewed publications) 

(If Question 19 is Yes) 

Question choices Percentage of respondents 95 percent confidence interval 

Yes 94.1 93.2-95.0 

No 5.7 4.8-6.5 

Not sure 0.2 0.1-0.5 

Q21. Over the past 5 years, through which methods did you seek to disseminate your research results? 

b. Presentations (such as keynote addresses, conferences, workshops, symposia, professional society meetings, or congressional 

hearings) 

(If Question 19 is Yes) 

Question choices Percentage of respondents 95 percent confidence interval 

Yes 97.1 96.4-97.7 

No 2.6 2.0-3.2 

Not sure 0.3 0.1-0.6 

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Q21. Over the past 5 years, through which methods did you seek to disseminate your research results? 

c. Agency releases (such as press releases, posting on an agency intranet site, or agency reports or fact sheets) 

(If Question 19 is Yes) 

Question choices Percentage of respondents 95 percent confidence interval 

Yes 31.9 30.2-33.5 

No 58.5 56.7-60.2 

Not sure 9.7 8.6-10.8 

Q21. Over the past 5 years, through which methods did you seek to disseminate your research results? 

d. Media interviews 

(If Question 19 is Yes) 

Question choices Percentage of respondents 95 percent confidence interval 

Yes 25.0 23.4-26.5 

No 65.2 63.5-67.0 

Not sure 9.8 8.7-10.9 

Q21. Over the past 5 years, through which methods did you seek to disseminate your research results? 

e. Other, please specify below 

(If Question 19 is Yes) 

Question choices Percentage of respondents 95 percent confidence interval 

Yes 16.4 13.9-18.8 

No 60.5 57.2-63.8 

Not sure 23.1 20.3-26.0 

Q22. Other than for standard technical review reasons, over the past 5 years, have you ever encountered a situation when NASA did 

not allow you to disseminate your research results? 

(If Question 19 is Yes) 

Question choices Percentage of respondents 95 percent confidence interval 

Yes 11.9 10.7-13.0 

No (skip to question 26) 88.1 87.0-89.3 

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Q23. Through which method(s) were you seeking to disseminate your research results when you were denied agency approval? 

a. Publications (such as peer-reviewed publications or non-peer-reviewed publications) 

(If Question 19 is Yes and Question 22 is Yes) 

Question choices Percentage of respondents 95 percent confidence interval 

Checked 39.9 35.0-44.8 

Not checked 60.1 55.2-65.0 

Q23. Through which method(s) were you seeking to disseminate your research results when you were denied agency approval? 

b. Presentations (such as keynote addresses, conferences, workshops, symposia, professional society meetings, or congressional 

hearings) 

(If Question 19 is Yes and Question 22 is Yes) 

Question choices Percentage of respondents 95 percent confidence interval 

Checked 62.2 57.4-66.9 

Not checked 37.8 33.1-42.6 

Q23. Through which method(s) were you seeking to disseminate your research results when you were denied agency approval? 

c. Agency releases (such as press releases, posting on an agency intranet site, or agency reports or fact sheets) 

(If Question 19 is Yes and Question 22 is Yes) 

Question choices Percentage of respondents 95 percent confidence interval 

Checked 11.6 8.7-15.0 

Not checked 88.4 85.0-91.3 

Q23. Through which method(s) were you seeking to disseminate your research results when you were denied agency approval? 

d. Media interviews 

(If Question 19 is Yes and Question 22 is Yes) 

Question choices Percentage of respondents 95 percent confidence interval 

Checked 4.3 2.7-6.6 

Not checked 95.7 93.4-97.3 

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Q23. Through which method(s) were you seeking to disseminate your research results when you were denied agency approval? 

e. Other, please specify below 

(If Question 19 is Yes and Question 22 is Yes) 

Question choices Percentage of respondents 95 percent confidence interval 

Checked 6.8 4.6-9.7 

Not checked 93.2 90.3-95.4 

Q25. Did you take any of the following actions when you did not receive approval to disseminate your research results? 

a. Appealed the decisions using established procedures. 

(If Question 19 is Yes and Question 22 is Yes) 

Question choices Percentage of respondents 95 percent confidence interval 

Yes 23.5 18.8-28.2 

No 76.5 71.8-81.2 

Not sure 0.0 0.0-2.2 

Q25. Did you take any of the following actions when you did not receive approval to disseminate your research results? 

b. Disseminated the results anyway. 

(If Question 19 is Yes and Question 22 is Yes) 

Question choices Percentage of respondents 95 percent confidence interval 

Yes 6.9 4.5-10.0 

No 92.4 89.1-94.9 

Not sure 0.7 0.1-2.3 

Q25. Did you take any of the following actions when you did not receive approval to disseminate your research results? 

c. Disseminated the results through a different route. 

(If Question 19 is Yes and Question 22 is Yes) 

Question choices Percentage of respondents 95 percent confidence interval 

Yes 24.1 19.4-28.8 

No 73.1 68.2-78.0 

Not sure 2.8 1.4-5.1 

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Q25. Did you take any of the following actions when you did not receive approval to disseminate your research results? 

d. Added a disclaimer that the opinions expressed in the research results do not reflect the views of the agency. 

(If Question 19 is Yes and Question 22 is Yes) 

Question choices Percentage of respondents 95 percent confidence interval 

Yes 6.9 4.3-10.4 

No 91.6 87.9-94.5 

Not sure 1.5 0.5-3.4 

Q25. Did you take any of the following actions when you did not receive approval to disseminate your research results? 

e. Resubmitted the same or similar document. 

(If Question 19 is Yes and Question 22 is Yes) 

Question choices Percentage of respondents 95 percent confidence interval 

Yes 15.9 11.8-20.7 

No 82.0 77.5-86.4 

Not sure 2.2 0.9-4.3 

Q25. Did you take any of the following actions when you did not receive approval to disseminate your research results? 

f. Gave up trying. 

(If Question 19 is Yes and Question 22 is Yes) 

Question choices Percentage of respondents 95 percent confidence interval 

Yes 53.3 47.7-58.9 

No 43.6 38.0-49.2 

Not sure 3.1 1.4-5.8 

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Q25. Did you take any of the following actions when you did not receive approval to disseminate your research results? 

g. Received approval following other types of revisions. 

(If Question 19 is Yes and Question 22 is Yes) 

Question choices Percentage of respondents 95 percent confidence interval 

Yes 22.7 18.0-27.4 

No 72.6 67.5-77.7 

Not sure 4.7 2.5-7.8 

Q25. Did you take any of the following actions when you did not receive approval to disseminate your research results? 

h. Other, please specify below 

(If Question 19 is Yes and Question 22 is Yes) 

Question choices Percentage of respondents 95 percent confidence interval 

Yes 33.4 25.6-41.1 

No 49.0 40.7-57.2 

Not sure 17.7 11.7-25.0 

Q26. To the best of your knowledge, does NASA have a process or procedure in place to appeal decisions made regarding the 

dissemination of research results? 

Question choices Percentage of respondents 95 percent confidence interval 

Yes, I’m aware of a process or procedure 

and am familiar with it 

8.2 7.3-9.0 

Yes, I’m aware of a process or procedure 

but am not familiar with it 

25.0 23.5-26.4 

No (skip to question 28) 18.1 16.8-19.3 

Not sure (skip to question 28) 48.8 47.2-50.4 

27. In your opinion, how effective or ineffective is this appeals process or procedure in terms of its ability to resolve dissemination 

issues in a fair and reasonable manner? 

Question choices Percentage of respondents 95 percent confidence interval 

Extremely, very, or moderately effective 81.5 77.5-85.6 

Slightly to not at all effective 18.5 14.4-22.5 

Page 48 GAO-10-200 Federal Research
Appendix III: Comments from the National Appendix III: Comments from the National Aeronautics and Space Administration 

Aeronautics and Space Administration 

Page 49 GAO-10-200 Federal Research 
Appendix IV: GAO Contact and Staff Appendix IV: GAO Contact and Staff Acknowledgments 

Acknowledgments 

Ms. Anu Mittal, 202-512-3841 or mittala@gao.gov

In addition to the contact person named above, Cheryl Williams (Assistant 

Director), Carl Barden, Laura Erion, Richard Johnson, Amanda Miller, Ben 

N. Shouse, Lisa Turner, Fatema Wachob, and Elizabeth Wood made key 

contributions to this report. 

Page 50 GAO-10-200 Federal Research

GAO Contact: 

Staff 

Acknowledgments: 

(361039) 
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