NASA Advisory Council Recommendation 

Sample Retention Requirement 

2015-02-01 (SC-01) 

Recommendation: 

The Council recommends that NASA establish a requirement for retention of a large fraction 

(e.g., 75% has been used historically) of the samples obtained by all sample return missions, 

robotic and human, for future scientific studies. 

Major Reasons for Proposing the Recommendation: 

This recommendation preserves precious extraterrestrial samples for future analysis by a broad 

spectrum of investigators using as-to-be developed technologies. A requirement to retain 75% of 

samples already applies to Discovery and New Frontiers Announcements of Opportunity and has 

proved to be critical in maximizing science return. Exceptions from the policy should be justified 

(e.g., renewable sampling, planetary protection requirements that cannot be otherwise met, etc.) 

Consequences of No Action on the Proposed Recommendation: 

Missed opportunities to apply new analytical technologies and preserve samples as baseline for 

future reference. 

NASA Response: 

NASA concurs with the recommendation of the NAC for NASA sample return missions. 

As the NAC noted, the 75 percent sample-retention requirement is already part of the standard 

Announcement of Opportunity used for competed Planetary Science sample-return missions in 

the Discovery and New Frontiers programs. The Origins, Spectral Interpretation, Resource 

Identification, Security, Regolith Explorer (OSIRIS-Rex) is an example of a mission that has 

been designed to meet this requirement. 

NASA now plans to incorporate similar language into Agency policy for its own missions. In a 

March 20,2014, memorandum from Dr. John Holdren, Director of the White House Office of 

Science and Technology and Policy (enclosed), Federal agencies holding scientific collections, 

including NASA, were directed to develop collection policies consistent with a set of 15 

requirements, including "procedures for obtaining or supporting the development of new 

scientific collections" and "requirements for long-term preservation [of collections]." NASA's 

current policy on Curation of Extraterrestrial Materials (NASA Policy Directive 7100.10E) does 

not fully address these requirements. The new policy will include the 75 percent sampleretention requirement for all missions planning to return extraterrestrial materials to Earth. 

Exceptions will be allowed in extraordinary circumstances, including those noted by the NAC, 

subject to internal review. 

Enclosure 
EXECUTIVE OFFICE OF THE PRESIDENT 

OFFICE OF SCIENCE AND TECHNOLOGY POLICY 

WASHINGTON, D.C. 20502 

March 20, 2014 

MEMORANDUM FOR THE HEADS OF EXECUTIVE DEPARTMENTS AND AGENCIES 

FROM: John P. Holdren, Assistant to the President for Scien~and Technology, and 

Director, Office of Science and Technology Policy 

SUBJECT: Improving the Management of and Access to Scient 1c Collections 

!ij1. Scientific-Collections Policy Principles 

Scientific collections provide an essential base for developing scientific evidence and are an 

important resource for scientific research, education, and resource management. Scientific 

collections represent records of our past and investments in our future. They are also tools that 

can be harnessed to address challenges facing humankind. Federally supported scientific 

collections are public assets, and their stewardship by Federal agencies carries with it trustee 

responsibilities. Policies and procedures for maintaining, preserving, and developing Federal 

scientific collections while also increasing access to those collections for appropriate use are, 

therefore, central to their value. 

The Administration is committed to ensuring the proper management, preservation, security, and 

ethical use of Federal scientific collections to inform scientific research and maintain the 

Nation's legacy of exploration and discovery. The Federal Government has a responsibility to 

help ensure that scholars and resource managers are able to locate and access Federal collections, 

while also ensuring that collections are appropriately preserved and ethically managed. In some 

cases, these goals may be served by .providing access to digital or other reproductions of 

elements of the collections. 

In response to the policy memorandum I issued on scientific collections in 20101 and the 

requirements of Section 104 of the America COMPETES Reauthorization Act of2010 (P.L. 

111-358),2 Federal agencies have been working diligently through the Interagency Working 

Group on Scientific Collections (IWGSC) of the National Science and Technology Council 

(NSTC) to develop guidelines for the management of scientific collections. Through these 

1 http://www .whitehouse.goy/sites/default/fileslmicrosites/ostp/o~20 1 0-scientific-collections.pdf 

2 http://www .gpo.gov/fdsyslpkg!USCODE-20 ll-title42/htm]/USCOD:&20 11-title42-chao79-subchapiisec6624.htm 
efforts, it has become evident that to ensure the faithful stewardship of scientific collections, 

clear policies for their development, management, and ethical use must be developed by Federal 

agencies. 

The policy requirements listed in this memorandum were developed with input from the NSTC 

IWGSC and in compliance with the America COMPETES Reauthorization Act of2010 (P.L. 

111-358). Each agency's policy on scientific collections shall be consistent with law, agency 

mission, resource constraints, and U.S. national, homeland, and economic security. 

2. Agency Scientific-Collections Policies 

Therefore, the Office of Science and Technology Policy (OSTP) hereby directs each Federal 

agency that owns, maintains, or otherwise financially supports permanent scientific collections to 

develop a draft scientific-collections management and access policy within six months. Agencies 

should collaborate through the IWGSC while developing these draft policies to reduce 

redundancy and identify opportunities for common requirements and standards. The end goal 

will be a systematic improvement of the development, management, accessibility, and 

preservation of scientific collections owned and/or funded by Federal agencies. 

The requirements below are intended to apply to institutional scientific collections owned, 

maintained, or financially supported by the U.S. Government. This policy applies to scientific 

collections, known in some disciplines as institutional collections, permanent collections, 

archival collections, museum collections, or voucher collections, which are assets with long-term 

scientific value. Materials assembled specifically for short-term use, sometimes referred to as 

"project collections", and not intended for long-term preservation, do not fall under this policy, 

but such collections should be reviewed periodically and carefully to ensure that they should not 

be considered institutional collections. 

Each agency policy should be consistent with the Executive Order on Making Open and Machine 

Readable the New Default for Government Information;3 my earlier memorandum on Increasing 

Access to the Results of Federally Funded Scientific Research;4 other relevant Administration 

initiatives and policies on open data and open government; and the objectives set out in this 

memorandum. For the purpose of developing agency policies, scientific collections are broadly 

defined as sets of physical objects, living or inanimate, and their supporting records and 

documentation, which are used in science and resource management and serve as long-term 

3 http://www.whitehouse.gov/the--press-office/2013/05/09/executive-order-making-onen-and-machine--readable-newdefault-goverwnent4 http://www.wbitehouse.gov/sitesldefault/files/microsites,lostp/ostp public access memo 2013.pdf 

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research assets that are preserved, cataloged, and managed by or supported by Federal agencies 

for research, resource management, education, and other uses. For example, scientific collections 

can include fossils, tissue specimens, rocks, and many other types of objects essential to 

scientific research. These policies should apply to scientific collections that are owned, directly 

managed, or financially supported by Federal agencies. 

Each agency's policy must include descriptions of the following requirements: 

a) the role and importance of collections in advancing the overall mission of the agency, 

including examples of how specific collections contribute to advancing the agency 

mission; 

b) the legislative and regulatory requirements and authorities related to the agency's 

scientific collections; 

c) the divisions, offices, or other organizational components within the agency that will be 

responsible for implementing the policy across the agency; 

d) the agency officials with responsibility for carrying out policies related to collections, 

including their specific responsibilities for ensuring compliance; 

e) any differences that may exist between department-wide policies and collections-specific 

policies established by the agency; 

f) the methodologies used for the assessment and projection of costs associated with the 

development, management, and preservation of agency scientific coiJections; 

g) how the agency budgets for the stewardship of scientific collections, including a 

description of the overall funding strategy to support scientific collections and ensure 

online access to information about scientific collections and individual objects; 

h) procedures for obtaining or supporting the development of new scientific collections; 

i) agency requirements for long-term preservation, maintenance, and accessibility of new 

and existing collections to maximize public benefit from their use; 

j) standards used by the agency for managing collections including ensuring the quality of 

the collection, its documentation, and for tracking progress on complying with their 

scientific collections policies and making such progress publicly available; 

k) practices for safeguarding individual privacy, confidentiality, intellectual property rights, 

and national security; 

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1) a strategy for providing online infonnation about the contents of the agency's scientific 

collections and, where appropriate, for maximizing access to individual objects in digital 

fonn for scientific and educational purposes; 

m) how the agency will provide access to the public or other members of the research 

community, including how collections and infonnation about collections will be 

disseminated equitably; 

n) the process for de-accessioning, transferring, and disposing of scientific collections, 

including documentation procedures and procedures for moving collections acquired for 

individual projects io institutional collections; and 

o) resources within the existing agency budget to implement the policy. 

3. Management Objectives for Scientific Collections: 

For the stewardship of scientific collections it supports, each agency shall, where applicable: 

a) Develop and clearly describe procedures for making scientific collections more 

accessible to educators and researchers, including non-Federal scientists, to maximize 

public benefit. 

b) Work with the Smithsonian Institution to ensure that infonnation on the contents of and 

how to access the agency's scientific collections is available on the Internet in a central 

Federal clearinghouse and to maintain participation in the Federal clearinghouse once it is 

established. 

c) Use machine-readable and open fonnats, data standards, and common-core and 

extensible metadata for all new infonnation creation and collection to facilitate search 

and discoverability and provide clear public guidance for accessing collections materials, 

consistent with the Executive Order on Making Open and Machine Readable the New 

Default for Government lnfonnation. 

d) When available and where not limited by law, make freely and easily accessible to the 

public all digital files in the highest available fidelity and resolution, including, but not 

limited to, photographs, videos, and digital 3D models, and associated records and 

doculnentation, describing or characterizing objects in government-managed scientific 

collections. 

e) Associate digital files describing or characterizing scientific collections with the agency's 

collections catalog and the central Federal clearinghouse referenced in Section 3(b) of 

this memorandum. By default, this information should be in machine-readable and open 

formats. 

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f) Limit access to colJections and information about collections for the purpose of 

protecting national interests including honoring copyright, international or tribal 

agreement, confidentiality, privacy and other laws, and regulations, or addressing security 

concerns. For example, locality information could be withheld or its release limited for 

the purpose of protecting endangered or otherwise protected species or research sites or 

complying with the Native American Graves Protection and Repatriation Act, the 

Archaeological Resources Protection Act, the Paleontological Resources Preservation 

Act, the National Parks Omnibus Management Act, or the Health Insurance Portability 

and Accountability Act. 

g) In the event that access to objects within or information about a collection must be 

restricted as described by 3(t), restrictions on access shall be limited to the minimal 

subset of specific objects and records possible, with all other collection content made 

public. Where possible, redaction of specific metadata fields should be favored over 

limiting access to the entire object or subset of objects. 

h) Clearly describe how the agency will apply its scientific collections policy as a term and 

condition, as appropriate, of providing funding for the acquisition and stewardship of 

scientific collections that are being managed by a third party or that the agency does not 

own, but supports or for which it has oversight responsibilities. 

i) Consistent with each agency's mission and authority, establish standards for de-accession 

and disposal of scientific collections. When transferring collections, give preference to 

transferring to other Federal agencies or non-Federal institutions that will continue to 

make the collections and information about the collections accessible for research and 

education. These standards should include: 

i. review of the research, resource management, and education values of a collection 

ii. consultation with researchers who have used the collection, parties interested in 

the collection's value for research, resource management, and educational 

purposes, and other subject matter experts, as needed; and 

iii. procedures to transfer scientific collections that agencies no longer need to 

researchers at institutions or other entities qualified to manage the collections. 

Agencies should work together to share and coordinate policies, where appropriate, through the 

IWGSC. 

OSTP will review draft agency policies to ensure they are consistent with the objectives of this 

memorandum and other requirements, including the America COMPETES Reauthorization Act 

of2010. During the drafting and review process, OSTP will seek opportunities to harmonize 

policies among Federal agencies and will provide feedback to facilitate the development of final 

agency policies that are consistent with the objectives of this memorandum. 

Some Federal agencies already have policies that partially or fully meet the requirements of this 

memorandum. Those agencies should adapt or maintain those policies, as necessary, to fully 

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meet these requirements. Once fmalized, each agency should post its scientific collections policy 

on its Open Government website. 

4. General Provisions 

Nothing in this memorandum shall be construed to impair or otherwise affect authority granted 

by law to an executive department, agency, or the head thereof; or functions of the Director of 

OMB relating to budgetary, administrative, or legislative proposals. 

This memorandum is not intended to, and does not create any right or benefit, substantive or 

procedural, enforceable at law or in equity, by any party against the United States, its 

departments, agencies, or entities, its officers, employees, or agents, or any other person. 

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