Federal Register / Vol. 89, No. 187 / Thursday, September 26, 2024 / Proposed Rules 79003 

DEPARTMENT OF DEFENSE 

Defense Acquisition Regulations 

System 

48 CFR Parts 235 and 252 

[Docket DARS–2024–0027] 

RIN 0750–AL43 

Defense Federal Acquisition 

Regulation Supplement: Public Access 

to Results of Federally Funded 

Research (2020–D028) 

AGENCY: Defense Acquisition 

Regulations System, Department of 

Defense (DoD). 

ACTION: Proposed rule. 

SUMMARY: DoD is proposing to amend 

the Defense Federal Acquisition 

Regulation Supplement (DFARS) to 

implement a recommendation of the 

Government Accountability Office 

regarding DoD-funded fundamental 

research. 

DATES: Comments on the proposed rule 

should be submitted in writing to the 

address shown below on or before 

November 25, 2024, to be considered in 

the formation of a final rule. 

ADDRESSES: Submit comments 

identified by DFARS Case 2020–D028, 

using either of the following methods: 

Æ Federal eRulemaking Portal: 

https://www.regulations.gov. Search for 

DFARS Case 2020–D028. Select 

‘‘Comment’’ and follow the instructions 

to submit a comment. Please include 

‘‘DFARS Case 2020–D028’’ on any 

attached documents. 

Æ Email: osd.dfars@mail.mil. Include 

DFARS Case 2020–D028 in the subject 

line of the message. 

Comments received generally will be 

posted without change to https://

www.regulations.gov, including any 

personal information provided. To 

confirm receipt of your comment(s), 

please check https://

www.regulations.gov, approximately 

two to three days after submission to 

verify posting. 

FOR FURTHER INFORMATION CONTACT: Mr. 

Jon M. Snyder, telephone 703–945– 

5341. 

SUPPLEMENTARY INFORMATION: 

I. Background 

DoD is proposing to revise the DFARS 

to implement a recommendation made 

by the Government Accountability 

Office (GAO) in its report GAO–20–81, 

Additional Actions Needed to Improve 

Public Access to Research Results, 

published in November 2019. GAO 

reviewed the progress agencies have 

made in implementing their plans to 

increase public access to Federally 

funded research results (publications 

and data), as called for in a 2013 Office 

of Science and Technology Policy 

(OSTP) memorandum. In this report, 

GAO recommended that DoD take steps 

to ensure appropriate agency-funded 

research data are readily findable and 

accessible to the public. 

The OSTP memorandum of February 

22, 2013, entitled ‘‘Increasing Access to 

the Results of Federal Funded Scientific 

Research’’, directed that each Federal 

agency with over $100 million in annual 

research and development expenditures 

develop a plan to support increased 

public access to the results of research 

funded by the Federal Government. This 

includes any results published in peerreviewed scholarly publications that are 

based on research that directly arises 

from Federal funds. The required plan’s 

objectives were developed with input 

from the National Science and 

Technology Council and public 

consultation in compliance with the 

America COMPETES Reauthorization 

Act of 2010 (Pub. L. 111–358). 

II. Discussion and Analysis 

This rule proposes changes to DFARS 

part 235 and adds two clauses that 

require contractors to submit final peerreviewed manuscripts to the Defense 

Technical Information Center’s publicly 

accessible repository and to develop and 

maintain a data management plan. 

Definitions are proposed at DFARS 

235.001 for ‘‘data’’, ‘‘data management 

plan’’, ‘‘fundamental research’’, and 

‘‘peer-reviewed’’. A policy statement 

reflects that for DoD-funded 

fundamental research, data management 

planning must be an integral part of 

research planning as required by 

Department of Defense Instruction 

3200.12, DoD Scientific and Technical 

Information Program (STIP). DFARS 

235.011 provides guidance for the 

submission of peer-reviewed 

manuscripts and development and 

submission of data management plans. 

Prescriptions are added at DFARS 

235.072 for the following new DFARS 

part 252 contract clauses: (1) 252.235– 

70XX, Peer-Reviewed Manuscripts; and 

(2) 252.235–70YY, Data Management 

Plan. The clauses apply to solicitations 

and contracts that include fundamental 

research funded in whole or in part by 

DoD. 

III. Applicability to Contracts at or 

Below the Simplified Acquisition 

Threshold (SAT), for Commercial 

Products (Including Commercially 

Available Off-the-Shelf (COTS) Items), 

and for Commercial Services 

This proposed rule proposes to create 

two new clauses: (1) DFARS 252.235– 

70XX, Peer-Reviewed Manuscripts; and 

(2) DFARS 252.235–70YY, Data 

Management Plan. The clauses at 

DFARS 252.235–70XX and 252.235– 

70YY are prescribed at DFARS 235.702 

for use in research and development 

solicitations and contracts that include 

fundamental research funded in whole 

or in part by DoD. The clauses are 

applicable to contracts at or below the 

SAT. The clauses are not applicable to 

contracts for the acquisition of 

commercial products including COTS 

items and for the acquisition of 

commercial services. Not applying the 

clauses to contracts valued at or below 

the SAT would exclude contracts 

intended to be covered by this proposed 

rule and undermine the overarching 

purpose of the proposed rule, given 

GAO’s recommendation that DoD take 

steps to ensure appropriate agencyfunded research data are readily 

findable and accessible to the public. 

IV. Expected Impact of the Rule 

The Defense Technical Information 

Center is responsible for collecting all 

scientific and technical reports. This 

proposed rule, when finalized, will 

require contractors under research and 

development contracts that include 

fundamental research, funded in whole 

or in part by DoD, to submit the author’s 

final peer-reviewed manuscript to one 

of the Defense Technical Information 

Center’s publicly accessible repositories. 

Currently, a contractor’s data 

management plan is not required for 

research and development contracts. 

The proposed rule, when finalized, will 

require contractors awarded research 

and development contracts to 

implement and maintain a data 

management plan throughout the 

performance of the contract. 

This proposed rule will ensure the 

results of fundamental research, funded 

in whole or in part by DoD, will be 

made as widely available as permitted 

by law, regulation, or policy to ensure 

the accuracy, validity, and 

reproducibility of the scientific results. 

V. Executive Orders 12866 and 13563 

Executive Orders (E.O.s) 12866 and 

13563 direct agencies to assess all costs 

and benefits of available regulatory 

alternatives and, if regulation is 

necessary, to select regulatory 


khammond on DSKJM1Z7X2PROD with PROPOSALS2
79004 Federal Register / Vol. 89, No. 187 / Thursday, September 26, 2024 / Proposed Rules 

approaches that maximize net benefits 

(including potential economic, 

environmental, public health and safety 

effects, distributive impacts, and 

equity). E.O. 13563 emphasizes the 

importance of quantifying both costs 

and benefits, of reducing costs, of 

harmonizing rules, and of promoting 

flexibility. This is not a significant 

regulatory action and, therefore, was not 

subject to review under section 6(b) of 

E.O. 12866, Regulatory Planning and 

Review, as amended. 

VI. Regulatory Flexibility Act 

DoD does not expect this proposed 

rule, when finalized, to have a 

significant economic impact on a 

substantial number of small entities 

within the meaning of the Regulatory 

Flexibility Act, 5 U.S.C. 601, et seq., 

because it is limited to contracts for DoD 

funded fundamental research. However, 

an initial regulatory flexibility analysis 

has been performed and is summarized 

as follows: 

DoD is proposing to amend the 

Defense Federal Acquisition Regulation 

Supplement (DFARS) to implement a 

recommendation made by the 

Government Accountability Office 

(GAO) in Report GAO–20–81, 

Additional Actions Needed to Improve 

Public Access to Research Results, 

published in November 2019. GAO 

reviewed the progress agencies have 

made in implementing their plans to 

increase public access to Federally 

funded research results (publications 

and data), as called for in a 2013 Office 

of Science and Technology Policy 

(OSTP) memorandum. In this report, 

GAO recommended that DoD take steps 

to ensure appropriate agency-funded 

research data are readily findable and 

accessible to the public. 

The OSTP memorandum of February 

22, 2013, entitled ‘‘Increasing Access to 

the Results of Federal Funded Scientific 

Research,’’ directed that each Federal 

agency with over $100 million in annual 

research and development expenditures 

develop a plan to support increased 

public access to the results of research 

funded by the Federal Government. This 

includes any results published in peerreviewed scholarly publications that are 

based on research that directly arises 

from Federal funds. The required plan’s 

objectives were developed with input 

from the National Science and 

Technology Council and public 

consultation in compliance with the 

America COMPETES Reauthorization 

Act of 2010 (Pub. L. 111–358). 

The objective of this proposed rule is 

to implement the recommendation to 

DoD in the GAO report GAO–20–81. 

The legal basis for this proposed rule is 

41 U.S.C. 1303. 

Data was obtained on contracts that 

include DFARS clause 252.235–7011, 

Final Scientific or Technical Report. 

This DFARS clause is required to be 

included in solicitations and contracts 

for research and development, which 

includes fundamental research. 

According to the Procurement Business 

Intelligence Service in the last three 

fiscal years, DoD awarded contracts 

including this clause to unique small 

entities as follows: 2,086 in fiscal year 

(FY) 2021, 2,389 in FY 2022, and 1,799 

in FY 2023, which averages out to 2,091 

per FY. Therefore, the number of small 

entities to which this proposed rule may 

apply is approximately 2,091. 

This proposed rule does not impose 

any new reporting, recordkeeping, or 

other compliance requirements for small 

entities. 

This proposed rule does not 

duplicate, overlap, or conflict with any 

other Federal rules. 

There are no known alternatives that 

would accomplish the stated objectives 

of the applicable policy. 

DoD invites comments from small 

business concerns and other interested 

parties on the expected impact of this 

proposed rule on small entities. 

DoD will also consider comments 

from small entities concerning the 

existing regulations in subparts affected 

by this proposed rule in accordance 

with 5 U.S.C. 610. Interested parties 

must submit such comments separately 

and should cite 5 U.S.C. 610 (DFARS 

Case 2020–D028), in correspondence. 

VII. Paperwork Reduction Act 

This proposed rule does not contain 

any information collection requirements 

that require the approval of the Office of 

Management and Budget under the 

Paperwork Reduction Act (44 U.S.C. 

chapter 35). 

List of Subjects in 48 CFR Parts 235 and 

252 

Government procurement. 

Jennifer D. Johnson, 

Editor/Publisher, Defense Acquisition 

Regulations System. 

Therefore, the Defense Acquisition 

Regulations System proposes to amend 

48 CFR parts 235 and 252 as follows: 

■ 1. The authority citation for 48 CFR 

parts 235 and 252 continues to read as 

follows: 

Authority: 41 U.S.C. 1303 and 48 CFR 

chapter 1. 

PART 235—RESEARCH AND 

DEVELOPMENT CONTRACTING 

■ 2. Amend section 235.001 by— 

■ a. Adding introductory text; and 

■ b. Adding, in alphabetical order, the 

definitions for ‘‘Data’’, ‘‘Data 

management plan’’, ‘‘Fundamental 

research’’, and ‘‘Peer-reviewed’’. 

The additions read as follows: 

235.001 Definitions. 

As used in this subpart— 

Data means the digitally recorded 

factual material commonly accepted in 

the scientific community as necessary to 

validate research findings, including 

data sets used to support scholarly 

publications including publicly 

releasable digital data, algorithms, or 

other information central to the 

conclusions of published peer-reviewed 

scientific research. 

Data management plan means a 

document that describes which data 

generated during performance of a 

research and development contract will 

be publicly shared and preserved and 

how it will be accomplished, or a 

justification of why such actions cannot 

be accomplished. 

Fundamental research means basic 

and applied research in science and 

engineering, the results of which 

ordinarily are published and shared 

broadly within the scientific 

community, as distinguished from 

proprietary research and from industrial 

development, design, production, and 

product utilization, the results of which 

ordinarily are restricted for proprietary 

or national security reasons. (Under 

Secretary of Defense for Acquisition, 

Technology, and Logistics (USD(AT&L)) 

memorandum on Fundamental 

Research, dated May 24, 2010) 

Peer-reviewed means a process that 

subjects an author’s scholarly work, 

research, or ideas to the scrutiny of 

others who are experts in the same field 

and is considered necessary to ensure 

scientific quality. 

* * * * * 

■ 3. Add section 235.003 to read as 

follows: 

235.003 Policy. 

It is DoD policy that for DoD-funded 

fundamental research (see 204.403(2)), 

data management planning should be an 

integral part of research planning. See 

Department of Defense Instruction 

3200.12, DoD Scientific and Technical 

Information Program. 

■ 4. Add section 235.010–70 to read as 

follows: 

235.010–70 Peer-reviewed manuscripts. 

The contracting officer shall require 

the contractor to submit peer-reviewed 

manuscripts as required by the clause at 

252.235–70XX, Peer-Reviewed 

Manuscripts. 


khammond on DSKJM1Z7X2PROD with PROPOSALS2
Federal Register / Vol. 89, No. 187 / Thursday, September 26, 2024 / Proposed Rules 79005 

■ 5. Add section 235.011 to read as 

follows: 

235.011 Data. 

(1) The contracting officer shall obtain 

a data management plan from the 

contractor at the start of the research 

project as required by the clause at 

252.235–70YY, Data Management Plan. 

(2) The contracting officer shall 

provide the contractor’s data 

management plan to the program 

manager for approval and notify the 

contractor of such approval or 

disapproval. 

■ 6. Amend section 235.072 by adding 

paragraphs (f) and (g) to read as follows: 

235.072 Additional contract clauses. 

* * * * * 

(f) Use the clause at 252.235–70XX, 

Peer-Reviewed Manuscripts, in 

solicitations and contracts for research 

and development that include 

fundamental research funded in whole 

or in part by DoD. 

(g) Use the clause at 252.235–70YY, 

Data Management Plan, in solicitations 

and contracts for research and 

development that include fundamental 

research funded in whole or in part by 

DoD. 

PART 252—SOLICITATION 

PROVISIONS AND CONTRACT 

CLAUSES 

■ 7. Add sections 252.235–70XX and 

252.235–70YY to read as follows: 

252.235–70XX Peer-Reviewed 

Manuscripts. 

As prescribed in 235.072(f), use the 

following clause: 

Peer-Reviewed Manuscripts (DATE) 

(a) Definitions. As used in this clause— 

Final peer-reviewed manuscript means an 

author’s final manuscript of a peer-reviewed 

paper accepted for journal publication, 

including all modifications from the peerreview process and manuscripts jointly 

authored with DoD personnel during the 

period of performance of the fundamental 

research contract. It does not include reports 

required to be delivered under the terms of 

the contract. 

Peer-reviewed means a process that 

subjects an author’s scholarly work, research, 

or ideas to the scrutiny of others who are 

experts in the same field and is considered 

necessary to ensure scientific quality. 

(b) Submission of final peer-reviewed 

manuscript. When the final title and date of 

publication of the author’s final peerreviewed manuscript are known, the 

Contractor shall submit an electronic copy of 

the manuscript to one of the following 

Defense Technical Information Center 

repositories: 

(1) Contractors with a common access card 

(CAC), personal identity verification (PIV), or 

external certification authority (ECA) shall 

submit to https://discover.dtic.mil/submitdocuments/; or 

(2) Contractors without a CAC, PIV, or ECA 

shall submit to https://www.osti.gov/elink/ 

agency-submission. 

(End of clause) 

252.235–70YY Data Management Plan. 

As prescribed in 235.072(g), insert the 

following clause: 

Data Management Plan (DATE) 

(a) Definitions. As used in this clause— 

Data means the digitally recorded factual 

material commonly accepted in the scientific 

community as necessary to validate research 

findings, including data sets used to support 

scholarly publications including publicly 

releasable digital data, algorithms, or other 

information central to the conclusions of 

published peer-reviewed scientific research. 

Data management plan means a document 

that describes which data generated during 

performance of a research and development 

contract will be publicly shared and 

preserved and how it will be accomplished, 

or a justification of why such actions cannot 

be accomplished. 

(b) Submission of data management plan. 

Within 30 days of contract award, the 

Contractor shall submit to the Contracting 

Officer, with a copy to the Contracting 

Officer’s Representative and the Program 

Manager, a data management plan for 

approval by the Program Manager. Generally, 

the data management plan should not exceed 

2 pages and should address elements relevant 

to the research discipline for the following 

areas (see DoD Instruction 3200.12): 

(1) The types of data, software, and other 

materials to be produced. 

(2) How the data will be acquired. 

(3) Time and location of data acquisition, 

if scientifically pertinent. 

(4) How the data will be processed. 

(5) The file formats and the naming 

conventions that will be used. 

(6) A description of the quality assurance 

and quality control measures during 

collection, analysis, and processing. 

(7) A description of dataset origin when 

existing data resources are used. 

(8) A description of the standards to be 

used for data and metadata format and 

content. 

(9) Appropriate timeframe for preservation. 

(10) The plan may consider the balance 

between the relative value of data 

preservation and other factors such as the 

associated cost and administrative burden. 

The plan will provide a justification for such 

decisions. 

(11) A statement that the data cannot be 

made available to the public when there are 

national security or controlled unclassified 

information concerns. 

(c) Implementation and maintenance of the 

data management plan. The Contractor shall 

implement and maintain the approved data 

management plan throughout the 

performance of the contract. 

(End of clause) 

[FR Doc. 2024–21097 Filed 9–25–24; 8:45 am] 

BILLING CODE 6001–FR–P 

DEPARTMENT OF DEFENSE 

Defense Acquisition Regulations 

System 

48 CFR Parts 212, 214, 215, and 252 

[Docket DARS–2024–0028] 

RIN 0750–AL55 

Defense Federal Acquisition 

Regulation Supplement: DoD Cost or 

Pricing Data Requirements (DFARS 

Case 2022–D004) 

AGENCY: Defense Acquisition 

Regulations System, Department of 

Defense (DoD). 

ACTION: Proposed rule. 

SUMMARY: DoD is proposing to amend 

the Defense Federal Acquisition 

Regulation Supplement (DFARS) to 

implement sections of the National 

Defense Authorization Acts for Fiscal 

Years 2018, 2021, and 2022 that update 

requirements for contractors to submit 

cost or pricing data. 

DATES: Comments on the proposed rule 

should be submitted in writing to the 

address shown below on or before 

November 25, 2024, to be considered in 

the formation of a final rule. 

ADDRESSES: Submit comments 

identified by DFARS Case 2022–D004, 

using either of the following methods: 

Æ Federal eRulemaking Portal: 

https://www.regulations.gov. Search for 

DFARS Case 2022–D004. Select 

‘‘Comment’’ and follow the instructions 

to submit a comment. Please include 

‘‘DFARS Case 2022–D004’’ on any 

attached documents. 

Æ Email: osd.dfars@mail.mil. Include 

DFARS Case 2022–D004 in the subject 

line of the message. 

Comments received will generally be 

posted without change to https://

www.regulations.gov, including any 

personal information provided. To 

confirm receipt of your comment(s), 

please check https://

www.regulations.gov, approximately 

two to three days after submission to 

verify posting. 

FOR FURTHER INFORMATION CONTACT: Mr. 

Jon Snyder, telephone 703–945–5341. 

SUPPLEMENTARY INFORMATION: 

I. Background 

DoD is proposing to revise the DFARS 

to implement section 811(b) of the 

National Defense Authorization Act 

(NDAA) for Fiscal Year (FY) 2018 (Pub. 

L. 115–91), section 814 of the NDAA for 

FY 2021 (Pub. L. 116–283), and section 

804 of the NDAA for FY 2022 (Pub. L. 

117–81). Section 811(b) of the NDAA for 

FY 2018 (10 U.S.C. 2306a(d), now 10 


khammond on DSKJM1Z7X2PROD with PROPOSALS2