[Title 14 CFR ]
[Code of Federal Regulations (annual edition) - January 1, 2019 Edition]
[From the U.S. Government Publishing Office]



[[Page i]]

          

          Title 14

Aeronautics and Space


________________________

Part 1200 to End

                         Revised as of January 1, 2019

          Containing a codification of documents of general 
          applicability and future effect

          As of January 1, 2019
                    Published by the Office of the Federal Register 
                    National Archives and Records Administration as a 
                    Special Edition of the Federal Register

[[Page ii]]

          U.S. GOVERNMENT OFFICIAL EDITION NOTICE

          Legal Status and Use of Seals and Logos
          
          
          The seal of the National Archives and Records Administration 
              (NARA) authenticates the Code of Federal Regulations (CFR) as 
              the official codification of Federal regulations established 
              under the Federal Register Act. Under the provisions of 44 
              U.S.C. 1507, the contents of the CFR, a special edition of the 
              Federal Register, shall be judicially noticed. The CFR is 
              prima facie evidence of the original documents published in 
              the Federal Register (44 U.S.C. 1510).

          It is prohibited to use NARA's official seal and the stylized Code 
              of Federal Regulations logo on any republication of this 
              material without the express, written permission of the 
              Archivist of the United States or the Archivist's designee. 
              Any person using NARA's official seals and logos in a manner 
              inconsistent with the provisions of 36 CFR part 1200 is 
              subject to the penalties specified in 18 U.S.C. 506, 701, and 
              1017.

          Use of ISBN Prefix

          This is the Official U.S. Government edition of this publication 
              and is herein identified to certify its authenticity. Use of 
              the 0-16 ISBN prefix is for U.S. Government Publishing Office 
              Official Editions only. The Superintendent of Documents of the 
              U.S. Government Publishing Office requests that any reprinted 
              edition clearly be labeled as a copy of the authentic work 
              with a new ISBN.

              
              
          U . S . G O V E R N M E N T P U B L I S H I N G O F F I C E

          ------------------------------------------------------------------

          U.S. Superintendent of Documents  Washington, DC 
              20402-0001

          http://bookstore.gpo.gov

          Phone: toll-free (866) 512-1800; DC area (202) 512-1800

[[Page iii]]




                            Table of Contents



                                                                    Page
  Explanation.................................................       v

  Title 14:
          Chapter V--National Aeronautics and Space 
          Administration                                             3
          Chapter VI--Air Transportation System Stabilization      355
  Finding Aids:
      Table of CFR Titles and Chapters........................     371
      Alphabetical List of Agencies Appearing in the CFR......     391
      List of CFR Sections Affected...........................     401

[[Page iv]]





                     ----------------------------

                     Cite this Code: CFR
                     To cite the regulations in 
                       this volume use title, 
                       part and section number. 
                       Thus, 14 CFR 1201.100 
                       refers to title 14, part 
                       1201, section 100.

                     ----------------------------

[[Page v]]



                               EXPLANATION

    The Code of Federal Regulations is a codification of the general and 
permanent rules published in the Federal Register by the Executive 
departments and agencies of the Federal Government. The Code is divided 
into 50 titles which represent broad areas subject to Federal 
regulation. Each title is divided into chapters which usually bear the 
name of the issuing agency. Each chapter is further subdivided into 
parts covering specific regulatory areas.
    Each volume of the Code is revised at least once each calendar year 
and issued on a quarterly basis approximately as follows:

Title 1 through Title 16.................................as of January 1
Title 17 through Title 27..................................as of April 1
Title 28 through Title 41...................................as of July 1
Title 42 through Title 50................................as of October 1

    The appropriate revision date is printed on the cover of each 
volume.

LEGAL STATUS

    The contents of the Federal Register are required to be judicially 
noticed (44 U.S.C. 1507). The Code of Federal Regulations is prima facie 
evidence of the text of the original documents (44 U.S.C. 1510).

HOW TO USE THE CODE OF FEDERAL REGULATIONS

    The Code of Federal Regulations is kept up to date by the individual 
issues of the Federal Register. These two publications must be used 
together to determine the latest version of any given rule.
    To determine whether a Code volume has been amended since its 
revision date (in this case, January 1, 2019), consult the ``List of CFR 
Sections Affected (LSA),'' which is issued monthly, and the ``Cumulative 
List of Parts Affected,'' which appears in the Reader Aids section of 
the daily Federal Register. These two lists will identify the Federal 
Register page number of the latest amendment of any given rule.

EFFECTIVE AND EXPIRATION DATES

    Each volume of the Code contains amendments published in the Federal 
Register since the last revision of that volume of the Code. Source 
citations for the regulations are referred to by volume number and page 
number of the Federal Register and date of publication. Publication 
dates and effective dates are usually not the same and care must be 
exercised by the user in determining the actual effective date. In 
instances where the effective date is beyond the cut-off date for the 
Code a note has been inserted to reflect the future effective date. In 
those instances where a regulation published in the Federal Register 
states a date certain for expiration, an appropriate note will be 
inserted following the text.

OMB CONTROL NUMBERS

    The Paperwork Reduction Act of 1980 (Pub. L. 96-511) requires 
Federal agencies to display an OMB control number with their information 
collection request.

[[Page vi]]

Many agencies have begun publishing numerous OMB control numbers as 
amendments to existing regulations in the CFR. These OMB numbers are 
placed as close as possible to the applicable recordkeeping or reporting 
requirements.

PAST PROVISIONS OF THE CODE

    Provisions of the Code that are no longer in force and effect as of 
the revision date stated on the cover of each volume are not carried. 
Code users may find the text of provisions in effect on any given date 
in the past by using the appropriate List of CFR Sections Affected 
(LSA). For the convenience of the reader, a ``List of CFR Sections 
Affected'' is published at the end of each CFR volume. For changes to 
the Code prior to the LSA listings at the end of the volume, consult 
previous annual editions of the LSA. For changes to the Code prior to 
2001, consult the List of CFR Sections Affected compilations, published 
for 1949-1963, 1964-1972, 1973-1985, and 1986-2000.

``[RESERVED]'' TERMINOLOGY

    The term ``[Reserved]'' is used as a place holder within the Code of 
Federal Regulations. An agency may add regulatory information at a 
``[Reserved]'' location at any time. Occasionally ``[Reserved]'' is used 
editorially to indicate that a portion of the CFR was left vacant and 
not accidentally dropped due to a printing or computer error.

INCORPORATION BY REFERENCE

    What is incorporation by reference? Incorporation by reference was 
established by statute and allows Federal agencies to meet the 
requirement to publish regulations in the Federal Register by referring 
to materials already published elsewhere. For an incorporation to be 
valid, the Director of the Federal Register must approve it. The legal 
effect of incorporation by reference is that the material is treated as 
if it were published in full in the Federal Register (5 U.S.C. 552(a)). 
This material, like any other properly issued regulation, has the force 
of law.
    What is a proper incorporation by reference? The Director of the 
Federal Register will approve an incorporation by reference only when 
the requirements of 1 CFR part 51 are met. Some of the elements on which 
approval is based are:
    (a) The incorporation will substantially reduce the volume of 
material published in the Federal Register.
    (b) The matter incorporated is in fact available to the extent 
necessary to afford fairness and uniformity in the administrative 
process.
    (c) The incorporating document is drafted and submitted for 
publication in accordance with 1 CFR part 51.
    What if the material incorporated by reference cannot be found? If 
you have any problem locating or obtaining a copy of material listed as 
an approved incorporation by reference, please contact the agency that 
issued the regulation containing that incorporation. If, after 
contacting the agency, you find the material is not available, please 
notify the Director of the Federal Register, National Archives and 
Records Administration, 8601 Adelphi Road, College Park, MD 20740-6001, 
or call 202-741-6010.

CFR INDEXES AND TABULAR GUIDES

    A subject index to the Code of Federal Regulations is contained in a 
separate volume, revised annually as of January 1, entitled CFR Index 
and Finding Aids. This volume contains the Parallel Table of Authorities 
and Rules. A list of CFR titles, chapters, subchapters, and parts and an 
alphabetical list of agencies publishing in the CFR are also included in 
this volume.

[[Page vii]]

    An index to the text of ``Title 3--The President'' is carried within 
that volume.
    The Federal Register Index is issued monthly in cumulative form. 
This index is based on a consolidation of the ``Contents'' entries in 
the daily Federal Register.
    A List of CFR Sections Affected (LSA) is published monthly, keyed to 
the revision dates of the 50 CFR titles.

REPUBLICATION OF MATERIAL

    There are no restrictions on the republication of material appearing 
in the Code of Federal Regulations.

INQUIRIES

    For a legal interpretation or explanation of any regulation in this 
volume, contact the issuing agency. The issuing agency's name appears at 
the top of odd-numbered pages.
    For inquiries concerning CFR reference assistance, call 202-741-6000 
or write to the Director, Office of the Federal Register, National 
Archives and Records Administration, 8601 Adelphi Road, College Park, MD 
20740-6001 or e-mail [email protected].

SALES

    The Government Publishing Office (GPO) processes all sales and 
distribution of the CFR. For payment by credit card, call toll-free, 
866-512-1800, or DC area, 202-512-1800, M-F 8 a.m. to 4 p.m. e.s.t. or 
fax your order to 202-512-2104, 24 hours a day. For payment by check, 
write to: US Government Publishing Office - New Orders, P.O. Box 979050, 
St. Louis, MO 63197-9000.

ELECTRONIC SERVICES

    The full text of the Code of Federal Regulations, the LSA (List of 
CFR Sections Affected), The United States Government Manual, the Federal 
Register, Public Laws, Public Papers of the Presidents of the United 
States, Compilation of Presidential Documents and the Privacy Act 
Compilation are available in electronic format via www.govinfo.gov. For 
more information, contact the GPO Customer Contact Center, U.S. 
Government Publishing Office. Phone 202-512-1800, or 866-512-1800 (toll-
free). E-mail, [email protected].
    The Office of the Federal Register also offers a free service on the 
National Archives and Records Administration's (NARA) World Wide Web 
site for public law numbers, Federal Register finding aids, and related 
information. Connect to NARA's web site at www.archives.gov/federal-
register.
    The e-CFR is a regularly updated, unofficial editorial compilation 
of CFR material and Federal Register amendments, produced by the Office 
of the Federal Register and the Government Publishing Office. It is 
available at www.ecfr.gov.

    Oliver A. Potts,
    Director,
    Office of the Federal Register
    January 1, 2019







[[Page ix]]



                               THIS TITLE

    Title 14--Aeronautics and Space is composed of five volumes. The 
parts in these volumes are arranged in the following order: Parts 1-59, 
60-109, 110-199, 200-1199, and part 1200-End. The first three volumes 
containing parts 1-199 are comprised of chapter I--Federal Aviation 
Administration, Department of Transportation (DOT). The fourth volume 
containing parts 200-1199 is comprised of chapter II--Office of the 
Secretary, DOT (Aviation Proceedings) and chapter III--Commercial Space 
Transportation, Federal Aviation Administration, DOT. The fifth volume 
containing part 1200-End is comprised of chapter V--National Aeronautics 
and Space Administration and chapter VI--Air Transportation System 
Stabilization. The contents of these volumes represent all current 
regulations codified under this title of the CFR as of January 1, 2019.

    For this volume, Michele Bugenhagen was Chief Editor. The Code of 
Federal Regulations publication program is under the direction of John 
Hyrum Martinez, assisted by Stephen J. Frattini.

[[Page 1]]



                     TITLE 14--AERONAUTICS AND SPACE




                  (This book contains part 1200 to end)

  --------------------------------------------------------------------
                                                                    Part

chapter v--National Aeronautics and Space Administration....        1201

chapter vi--Air Transportation System Stabilization.........        1300

[[Page 3]]



        CHAPTER V--NATIONAL AERONAUTICS AND SPACE ADMINISTRATION




  --------------------------------------------------------------------
Part                                                                Page
1200

[Reserved]

1201            Statement of organization and general 
                    information.............................           5
1203            Information Security Program................           6
1203a           NASA security areas.........................          21
1203b           Security programs; arrest authority and use 
                    of force by NASA security force 
                    personnel...............................          23
1204            Administrative authority and policy.........          26
1205

[Reserved]

1206            Procedures for disclosure of records under 
                    the Freedom of Information Act (FOIA)...          44
1207            Standards of conduct........................          64
1208            Uniform relocation assistance and real 
                    property acquisition for Federal and 
                    federally assisted programs.............          66
1209            Boards and committees.......................          66
1210-1211

 [Reserved]

1212            Privacy Act--NASA regulations...............          69
1213            Release of information to news and 
                    information media.......................          81
1214            Space flight................................          86
1215            Tracking and Data Relay Satellite System 
                    (TDRSS).................................          95
1216            Environmental quality.......................         100
1217            Duty-free entry of space articles...........         108
1221            The NASA Seal and other devices, and the 
                    Congressional Space Medal of Honor......         111
1230            Protection of human subjects................         122
1232            Care and use of animals in the conduct of 
                    NASA activities.........................         140
1240            Inventions and contributions................         140
1241

[Reserved]

1245            Patents and other intellectual property 
                    rights..................................         145
1250            Nondiscrimination in federally-assisted 
                    programs of NASA--effectuation of Title 
                    VI of the Civil Rights Act of 1964......         158

[[Page 4]]

1251            Nondiscrimination on basis of disability....         169
1252            Nondiscrimination on the basis of age in 
                    programs or activities receiving Federal 
                    financial assistance....................         188
1253            Nondiscrimination on the basis of sex in 
                    education programs or activities 
                    receiving Federal financial assistance..         195
1259            National Space Grant College and Fellowship 
                    Program.................................         211
1260

[Reserved]

1261            Processing of monetary claims (general).....         218
1262            Equal Access to Justice Act in agency 
                    proceedings.............................         250
1263            Demand for information or testimony served 
                    on agency employees; procedures.........         257
1264            Implementation of the Program Fraud Civil 
                    Penalties Act of 1986...................         259
1266            Cross-waiver of liability...................         276
1271            New restrictions on lobbying................         280
1273

[Reserved]

1274            Cooperative agreements with commercial firms         292
1275            Research misconduct.........................         347
1276-1299

 [Reserved]

[[Page 5]]

                          PART 1200 [RESERVED]



PART 1201_STATEMENT OF ORGANIZATION AND GENERAL INFORMATION
--Table of Contents



                         Subpart 1_Introduction

Sec.
1201.100 Creation and authority.
1201.101 Purpose.
1201.102 Functions.
1201.103 Administration.

                         Subpart 2_Organization

1201.200 General.

                     Subpart 3_Boards and Committees

1201.300 Boards and committees.

Subpart 4 [Reserved]

1201.400 NASA procurement program.
1201.401 Special document depositories.
1201.402 NASA Industrial Applications Centers.

    Authority: 51 U.S.C. 20112(h).

    Source: 55 FR 37222, Sept. 10, 1990, unless otherwise noted.



                         Subpart 1_Introduction



Sec.  1201.100  Creation and authority.

    The National Aeronautics and Space Administration was established by 
the National Aeronautics and Space Act (51 U.S.C. 20111), as amended 
(hereafter called the ``Act'').

[55 FR 37222, Sept. 10, 1990, as amended at 79 FR 18444, Apr. 2, 2014]



Sec.  1201.101  Purpose.

    It is the purpose of the National Aeronautics and Space 
Administration to carry out aeronautical and space activities of the 
United States. Such activities shall be the responsibility of, and shall 
be directed by, the National Aeronautics and Space Administration, 
except that activities peculiar to or primarily associated with the 
development of weapons systems, military operations, or the defense of 
the United States shall be the responsibility of, and shall be directed 
by, the Department of Defense.



Sec.  1201.102  Functions.

    In order to carry out the purpose of the Act, NASA is authorized to 
conduct research for the solution of problems of flight within and 
outside the Earth's atmosphere; to develop, construct, test, and operate 
aeronautical and space vehicles for research purposes; to operate a 
space transportation system including the space shuttle, upper stages, 
space program, space station, and related equipment; and to perform such 
other activities as may be required for the exploration of space. The 
term aeronautical and space vehicles means aircraft, missiles, 
satellites, and other space vehicles, together with related equipment, 
devices, components, and parts. It conducts activities required for the 
exploration of space with manned and unmanned vehicles and arranges for 
the most effective utilization of the scientific and engineering 
resources of the United States with other nations engaged in 
aeronautical and space activities for peaceful purposes.



Sec.  1201.103  Administration.

    (a) NASA is headed by an Administrator, who is appointed from 
civilian life by the President by and with the advice and consent of the 
Senate. The Administrator is responsible, under the supervision and 
direction of the President, for exercising all powers and discharging 
all duties of NASA.
    (b) The Deputy Administrator of NASA is also appointed by the 
President from civilian life by and with the advice and consent of the 
Senate. The Deputy Administrator acts with or for the Administrator 
within the full scope of the Administrator's responsibilities. In the 
Administrator's absence, the Deputy Administrator serves as Acting 
Administrator.



                         Subpart 2_Organization



Sec.  1201.200  General.

    NASA's basic organization consists of the Headquarters, nine field 
Centers, the Jet Propulsion Laboratory (a Federally Funded Research and 
Development Center), and several component installations which report to 
Center Directors. Responsibility for overall

[[Page 6]]

planning, coordination, and control of NASA programs is vested in NASA 
Headquarters located in Washington, DC. For additional information, 
visit http://www.nasa.gov/about/org_index.html.

[79 FR 18444, Apr. 2, 2014]



                     Subpart 3_Boards and Committees



Sec.  1201.300  Boards and committees.

    (a) NASA's Contract Adjustment Board (CAB) and Inventions and 
Contributions Board (ICB) were established as part of the permanent 
organization structure of NASA. Charters for both Boards are set forth 
in part 1209 of this chapter. Procedures for the CAB are set out in 48 
CFR part 1850, and procedures for the ICB are set out in 14 CFR parts 
1240 and 1245.
    (b) The Armed Services Board of Contract Appeals (ASBCA) is a 
neutral, independent forum whose primary function is to hear and decide 
post-award contract disputes between government contractors and those 
entities with whom the ASBCA has entered into agreement to provide 
services (NASA is one of those entities). The ASBCA functions in 
accordance with the Contract Disputes Act (41 U.S.C. 7101-7109), its 
Charter, or other remedy-granting provisions. Information about the 
ASBCA can be obtained by mail at ASBCA, Skyline 6, Suite 700, 5109 
Leesburg Pike, Falls Church, Virginia 22041-3208, by phone at 703-681-
8500, or from the Web at www.asbca.mil.
[79 FR 18444, Apr. 2, 2014]

Subpart 4 [Reserved]



PART 1203_INFORMATION SECURITY PROGRAM--Table of Contents



                             Subpart A_Scope

Sec.
1203.100 Legal basis.
1203.101 Other applicable NASA regulations.

               Subpart B_NASA Information Security Program

1203.200 Background and discussion.
1203.201 Information security objectives.
1203.202 Responsibilities.
1203.203 Degree of protection.

         Subpart C_Classification Principles and Considerations

1203.300 General.
1203.301 Identification of information requiring protection.
1203.302 Compilation.
1203.303 Distribution controls.
1203.304 Internal effect.
1203.305 Restricted data.

              Subpart D_Guides for Original Classification

1203.400 Specific classifying guidance.
1203.401 Effect of open publication.
1203.402 Classifying material other than documentation.
1203.403 [Reserved]
1203.404 Handling of unprocessed data.
1203.405 Proprietary information.
1203.406 Additional classification factors.
1203.407 Duration of classification.
1203.408 Assistance by Information Security Specialist in the Center 
          Protective Services Office.
1203.410 Limitations.
1203.411 Restrictions.
1203.412 Classification guides.

                   Subpart E_Derivative Classification

1203.500 Use of derivative classification.
1203.501 Applying derivative classification markings.

               Subpart F_Declassification and Downgrading

1203.600 Policy.
1203.601 Responsibilities.
1203.602 Authorization.
1203.603 Systematic review for declassification.
1203.604 Mandatory review for declassification.

Subpart G [Reserved]

  Subpart H_Delegation of Authority To Make Determinations in Original 
                         Classification Matters

1203.800 Establishment.
1203.801 Responsibilites
1203.802 Membership.
1203.803 Ad hoc committees.
1203.804 Meetings.

          Subpart I_NASA Information Security Program Committee

1203.900 Establishment.
1203.901 Responsibilities.
1203.902 Membership.
1203.903 Ad hoc committees.

[[Page 7]]

1203.904 Meetings.

  Subpart J_Special Access Programs (SAP) and Sensitive Compartmented 
                       Information (SCI) Programs

1203.1000 General.
1203.1001 Membership.
1203.1002 Ad hoc committees.
1203.1003 Meetings.

    Authority: E.O. 13526, E.O. 12968, E.O. 13549, E.O. 12829, 32 CFR 
part 2001, and 51 U.S.C., 20132, 20133.

    Source: 44 FR 34913, June 18, 1979, unless otherwise noted.



                             Subpart A_Scope



Sec.  1203.100  Legal basis.

    (a) Executive Order 13526 (hereinafter referred to as ``the 
Order''). The responsibilities and authority of the Administrator of 
NASA with respect to the original classification of official information 
or material requiring protection against unauthorized disclosure in the 
interest of national defense or foreign relations of the United States 
(hereinafter collectively termed ``national security''), and the 
standards for such classification, are established by the ``the Order'' 
and the Information Security Oversight Office Directive No. 1, as 
amended (32 CFR part 2001, ``Classified National Security 
Information'');
    (b) E.O. 10865. Executive Order 10865 (24 FR 1583) requires the 
Administrator to prescribe by regulation such specific requirements, 
restrictions and other safeguards as the Administrator may consider 
necessary to protect:
    (1) Releases of classified information to or within United States 
industry that relate to contracts with NASA; and
    (2) Other releases of classified information to industry that NASA 
has responsibility for safeguarding.
    (c) The National Aeronautics and Space Act. (1) The National 
Aeronautics and Space Act (51 U.S.C. 20113) (Hereafter referred to as, 
``The Space Act''), states:

    The Administrator shall establish such security requirements, 
restrictions, and safeguards as he deems necessary in the interest of 
the national security * * *

    (2) Section 303 of the Space Act states:

    Information obtained or developed by the Administrator in the 
performance of his functions under this Act shall be made available for 
public inspection, except (i) information authorized or required by 
Federal statute to be withheld, and (ii) information classified to 
protect the national security: Provided, That nothing in this Act shall 
authorize the withholding of information by the Administrator from the 
duly authorized committees of the Congress.

[44 FR 34913, June 18, 1979, as amended at 48 FR 5889, Feb. 9, 1983; 64 
FR 72535, Dec. 28, 1999; 78 FR 5117, Jan. 24, 2013]



Sec.  1203.101  Other applicable NASA regulations.

    (a) Subpart H of this part, ``Delegation of Authority to Make 
Determinations in Original Security Classification Matters.''
    (b) Subpart I of this part, ``NASA Information Security Program 
Committee.''
    (c) NASA Procedural Requirements (NPR) 1600.2, NASA Classified 
National Security Information (CNSI).

[44 FR 34913, June 18, 1979, as amended at 78 FR 5117, Jan. 24, 2013]



               Subpart B_NASA Information Security Program



Sec.  1203.200  Background and discussion.

    (a) In establishing a civilian space program, the Congress required 
NASA to ``provide for the widest practicable and appropriate 
dissemination of information concerning its activities and the results 
thereof,'' and for the withholding from public inspection of that 
information that is classified to protect the national security.
    (b) The Order was promulgated in recognition of the essential 
requirement for an informed public concerning the activities of its 
Government, as well as the need to protect certain national security 
information from unauthorized disclosure. It delegates to NASA certain 
responsibility for matters pertaining to national security and confers 
on the Administrator of NASA, or such responsible officers or employees 
as the Administrator may designate, the authority for original 
classification of official information or material which requires 
protection in the interest of national security. It also provides for:

[[Page 8]]

    (1) Basic classification, downgrading and declassification 
guidelines;
    (2) The issuance of directives prescribing the procedures to be 
followed in safeguarding classified information or material;
    (3) A monitoring system to ensure the effectiveness of the Order;
    (4) Appropriate administrative sanctions against officers and 
employees of the United States Government who are found to be in 
violation of the Order or implementing directive; and
    (5) Classification limitations and restrictions as discussed in 
Sec. Sec.  1203.410 and 1203.411.
    (c) The Order requires the timely identification and protection of 
that NASA information the disclosure of which would be contrary to the 
best interest of national security. Accordingly, the determination in 
each case must be based on a judgment as to whether disclosure of 
information could reasonably be expected to result in damage to the 
national security.

[44 FR 34913, June 18, 1979, as amended at 48 FR 5889, Feb. 9, 1983; 78 
FR 5117, Jan. 24, 2013]



Sec.  1203.201  Information security objectives.

    The objectives of the NASA Information Security Program are to:
    (a) Ensure that information is classified only when a sound basis 
exists for such classification and only for such period as is necessary.
    (b) Prevent both the unwarranted classification and the 
overclassification of NASA information.
    (c) Ensure the greatest practicable uniformity within NASA in the 
classification of information.
    (d) Ensure effective coordination and reasonable uniformity with 
other Government departments and agencies, particularly in areas where 
there is an exchange or sharing of information, techniques, hardware, 
software, or other technologies.
    (e) Provide a timely and effective means for downgrading or 
declassifying information when the circumstances necessitating the 
original classification change or no longer exist.

[44 FR 34913, June 18, 1979, as amended at 78 FR 5117, Jan. 24, 2013]



Sec.  1203.202  Responsibilities.

    (a) The Chairperson, NASA Information Security Program Committee 
(NISPC) (Subpart I of this part), who is the Assistant Administrator for 
Protective Services, or designee, is responsible for:
    (1) Directing the NASA Information Security Program (NISP) in 
accordance with NASA policies and objectives and applicable laws and 
regulations.
    (2) Ensuring effective compliance with and implementation of ``the 
Order'' and the Information Security Oversight Office Directive No. 1 
relating to security classification matters.
    (3) Reviewing, in consultation with the NASA Information Security 
Program Committee NISPC, questions, suggestions, appeals and compliance 
concerning the NISP and making determinations concerning them.
    (4) Coordinating NASA security classification matters with NASA 
Centers and component facilities and other Government agencies.
    (5) Ensuring Security Classification Guides for NASA are developed 
for NASA programs and projects.
    (6) Developing, maintaining and recommending to the Administrator 
guidelines for the systematic review covering all classified information 
under NASA's jurisdiction.
    (7) Reviewing and coordinating with appropriate offices all appeals 
of denials of requests for records under sections 552 and 552a of Title 
5, United States Code (Freedom of Information and Privacy Acts) when the 
denials are based on the records' continued classification.
    (8) Recommending to the Administrator appropriate administrative 
action to correct abuse or violations of any provision of the NISP, 
including notifications by warning letter, formal reprimand and to the 
extent permitted by law, suspension without pay and removal.
    (b) All NASA employees are responsible for bringing to the attention 
of the Chairperson of the NISPC any information security problems in 
need of resolution, any areas of interest wherein information security 
guidance is lacking, and any other matters likely to impede achievement 
of the objectives prescribed in this section.

[[Page 9]]

    (c) Each NASA official to whom the authority for original 
classification is delegated shall be accountable for the propriety of 
each classification (see subpart H) and is responsible for:
    (1) Ensuring that classification determinations are consistent with 
the policy and objectives prescribed above, and other applicable 
guidelines.
    (2) Bringing to the attention of the Chairperson, NISPC, for 
resolution, any disagreement with classification determinations made by 
other NASA officials.
    (3) Ensuring that information and material which no longer requires 
its present level of protection is promptly downgraded or declassified 
in accordance with applicable guidelines within a reasonable period.
    (d) Other supervisors of NASA offices are responsible for:
    (1) Ensuring that classified information or material prepared within 
their respective offices is appropriately marked.
    (2) Ensuring that material proposed for public release is reviewed 
to redact classified information contained therein.
    (e) Chiefs of Protective Services at NASA Centers are responsible 
for:
    (1) Developing proposed Security Classification Guides and 
submitting the guide to the Office of Protective Services for review and 
approval.
    (2) Ensuring that classified information or material prepared in 
their respective Center is appropriately marked.
    (3) Ensuring that material proposed for public release is reviewed 
to redact classified information.
    (4) Coordinating all security classification actions with the 
Center's Protective Services Office.
    (f) The Director of the Office of Protective Services, NASA 
Headquarters, who serves as a member and Executive Secretary of the 
NISPC, is responsible for the NASA-wide coordination of security 
classification matters.
    (g) The Information Security Program Manager, Office of Protective 
Services (OPS), is responsible for establishing procedures for the 
safeguarding of classified information or material (e.g., 
accountability, control, access, storage, transmission, and marking) and 
for ensuring that such procedures are systematically reviewed; and those 
which are duplicative or unnecessary are eliminated.

[44 FR 34913, June 18, 1979, as amended at 45 FR 3888, Jan. 21, 1980; 48 
FR 5890, Feb. 9, 1983; 53 FR 41318, Oct. 21, 1988; 64 FR 72535, Dec. 28, 
1999; 78 FR 5117, Jan. 24, 2013]



Sec.  1203.203  Degree of protection.

    (a) General. Upon determination that information or material must be 
classified, the degree of protection commensurate with the sensitivity 
of the information must be determined. If there is reasonable doubt 
about the need to classify information, it shall be safeguarded as if it 
were classified pending a determination by an original classification 
authority, who shall make this determination within 30 days. If there is 
reasonable doubt about the appropriate level of classification, it shall 
be safeguarded at the higher level of classification pending a 
determination by an original classification authority, who shall make 
this determination within 30 days.
    (b) Authorized categories of classification. The three categories of 
classification, as authorized and defined in ``the Order,'' are set out 
below. No other restrictive markings are authorized to be placed on NASA 
classified documents or materials except as expressly provided by 
statute or by NASA Directives.
    (1) Top Secret. Top Secret is the designation applied to information 
or material, the unauthorized disclosure of which could reasonably be 
expected to cause exceptionally grave damage to the national security.
    (2) Secret. Secret is the designation applied to information or 
material, the unauthorized disclosure of which could reasonably be 
expected to cause serious damage to the national security.
    (3) Confidential. Confidential is the designation applied to that 
information or material for which the unauthorized disclosure could 
reasonably be expected to cause damage to the national security.

[44 FR 34913, June 18, 1979, as amended at 48 FR 5890, Feb. 9, 1983; 78 
FR 5117, Jan. 24, 2013]

[[Page 10]]



         Subpart C_Classification Principles and Considerations



Sec.  1203.300  General.

    In general, the types of NASA-generated information and material 
requiring protection in the interest of national security lie in the 
areas of applied research, technology or operations.



Sec.  1203.301  Identification of information requiring protection.

    Classifiers shall identify the level of classification of each 
classified portion of a document (including subject and titles), and 
those portions that are not classified.



Sec.  1203.302  Compilation.

    A compilation of items that are individually unclassified may be 
classified if the compiled information reveals an additional association 
or relationship that meets the standards of classification under the 
Order; and is not otherwise revealed in the individual items of 
information. As used in the Order, compilations mean an aggregate of 
pre-existing unclassified items of information.

[78 FR 5118, Jan. 24, 2013]



Sec.  1203.303  Distribution controls.

    NASA shall establish controls over the distribution of classified 
information to ensure that it is dispersed only to organizations or 
individuals eligible for access to such information and with a need-to-
know the information.

[78 FR 5118, Jan. 24, 2013]



Sec.  1203.304  Internal effect.

    The effect of security protection on program progess and cost and on 
other functional activities of NASA should be considered. Impeditive 
effects and added costs inherent in a security classification must be 
assessed and weighed against the detrimental effects on the national 
security interests which would result from failure to classify.

[44 FR 34913, June 18, 1979, as amended at 78 FR 5118, Jan. 24, 2013]



Sec.  1203.305  Restricted data.

    Restricted Data or Formerly Restricted Data is so classified when 
originated or by operation of the law, as required by the Atomic Energy 
Act of 1954, as amended. Specific guidance for the classification of 
Restricted Data and Formerly Restricted Data is provided in 
``Classification Guides'' published by the Department of Energy and or 
Department of Defense.

[44 FR 34913, June 18, 1979, as amended at 78 FR 5118, Jan. 24, 2013]



              Subpart D_Guides for Original Classification



Sec.  1203.400  Specific classifying guidance.

    Technological and operational information and material, and in some 
exceptional cases scientific information falling within any one or more 
of the following categories, must be classified if its unauthorized 
disclosure could reasonably be expected to cause some degree of damage 
to the national security. In cases where it is believed that a contrary 
course of action would better serve the national interests, the matter 
should be referred to the Chairperson, NISPC, for a determination. It is 
not intended that this list be exclusive; original classifiers are 
responsible for initially classifying any other type of information 
which, in their judgment, requires protection under Sec.  1.4 of ``the 
Order.''
    (a) Military plans, weapons systems, or operations;
    (b) Foreign government information;
    (c) Intelligence activities (including covert activities), 
intelligence sources or methods, or cryptology;
    (d) Foreign relations or foreign activities of the United States, 
including confidential sources;
    (e) Scientific, technological, or economic matters relating to the 
national security;
    (f) United States Government programs for safeguarding nuclear 
materials or facilities;
    (g) Vulnerabilities or capabilities of systems, installations, 
infrastructures, projects, plans, or protection services relating to the 
national security; or

[[Page 11]]

    (h) The development, production, or plans relating to the use of 
weapons of mass destruction.

[78 FR 5118, Jan. 24, 2013]



Sec.  1203.401  Effect of open publication.

    Public disclosure, regardless of source or form, of information 
currently classified or being considered for classification does not 
preclude initial or continued classification. However, such disclosure 
requires an immediate reevaluation to determine whether the information 
has been compromised to the extent that downgrading or declassification 
is indicated. Similar consideration must be given to related items of 
information in all programs, projects, or items incorporating or 
pertaining to the compromised items of information. In these cases, if a 
release were made or authorized by an official Government source, 
classification of clearly identified items may no longer be warranted. 
Questions as to the propriety of continued classification should be 
referred to the Chairperson, NASA Information Security Program 
Committee.



Sec.  1203.402  Classifying material other than documentation.

    Items of equipment or other physical objects may be classified only 
where classified information may be derived by visual observation of 
internal or external appearance, structure, operation, test, application 
or use. The overall classification assigned to equipment or objects 
shall be at least as high as the highest classification of any of the 
items of information which may be revealed by the equipment or objects, 
but may be higher if the classifying authority determines that the sum 
of classified or unclassified information warrants such higher 
classification. In every instance where classification of an item of 
equipment or object is determined to be warranted, such determination 
must be based on a finding that there is at least one aspect of the item 
or object which requires protection. If mere knowledge of the existence 
of the equipment or object would compromise or nullify the reason or 
justification for its classification, the fact of its existence should 
be classified.



Sec.  1203.403  [Reserved]



Sec.  1203.404  Handling of unprocessed data.

    It is the usual practice to withhold the release of raw scientific 
data received from spacecraft until it can be calibrated, correlated and 
properly interpreted by the experimenter under the monitorship of the 
cognizant NASA office. During this process, the data are withheld 
through administrative measures, and it is not necessary to resort to 
security classification to prevent premature release. However, if at any 
time during the processing of raw data it becomes apparent that the 
results require protection under the criteria set forth in this subpart 
D, it is the responsibility of the cognizant NASA office to obtain the 
appropriate security classification.



Sec.  1203.405  Proprietary information.

    Proprietary information made available to NASA is subject to 
examination for classification purposes under the criteria set forth in 
this subpart D. Where the information is in the form of a proposal and 
accepted by NASA for support, it should be categorized in accordance 
with the criteria of Sec.  1203.400. If NASA does not support the 
proposal but believes that security classification would be appropriate 
under the criteria of Sec.  1203.400 if it were under Government 
jurisdiction, the contractor should be advised of the reasons why 
safeguarding would be appropriate, unless security considerations 
preclude release of the explanation to the contractor. NASA should 
identify the Government department, agency or activity whose national 
security interests might be involved and the contractor should be 
instructed to protect the proposal as though classified pending further 
advisory classification opinion by the Government activity whose 
interests are involved. If such a Government activity cannot be 
identified, the contractor should be advised that the proposal is not 
under NASA jurisdiction for classification purposes, and that the 
information should be sent, under proper safeguards, to the

[[Page 12]]

Director, Information Security Oversight Office for a determination.

[44 FR 34913, June 18, 1979, as amended at 78 FR 5118, Jan. 24, 2013]



Sec.  1203.406  Additional classification factors.

    In determining the appropriate classification category, the 
following additional factors should be considered:
    (a) Uniformity within government activities. The effect 
classification will have on technological programs of other Government 
departments and agencies should be considered. Classification of 
official information must be reasonably uniform within the Government.
    (b) Applicability of classification directives of other Government 
agencies. It is necessary to determine whether authoritative 
classification guidance exists elsewhere for the information under 
consideration which would make it necessary to assign a higher 
classification than that indicated by the applicable NASA guidance. The 
Office of Protective Services will coordinate with the Information 
Security Oversight Office (ISOO) Committee and the National 
Declassification Center to determine what classification guides are 
current.

[44 FR 34913, June 18, 1979, as amended at 78 FR 5118, Jan. 24, 2013]



Sec.  1203.407  Duration of classification.

    (a) At the time of original classification, the original 
classification authority shall establish a specific date or event for 
declassification based on the duration of the national security 
sensitivity of the information. Upon reaching the date or event, the 
information shall be automatically declassified. Except for information 
that should clearly and demonstrably be expected to reveal the identity 
of a confidential human source or a human intelligence source or key 
design concepts of weapons of mass destruction, the date or event shall 
not exceed the timeframe established in paragraph (b) of this section.
    (b) If the original classification authority cannot determine an 
earlier specific date or event for declassification, information shall 
be marked for declassification 10 years from the date of the original 
decision, unless the original classification authority otherwise 
determines that the sensitivity of the information requires that it be 
marked for declassification for up to 25 years from the date of the 
original decision.
    (c) An original classification authority may extend the duration of 
classification up to 25 years from the date of origin of the document, 
change the level of classification, or reclassify specific information 
only when the standards and procedures for classifying information under 
this Order are followed.
    (d) No information may remain classified indefinitely. Information 
that is marked for an indefinite duration of classification under 
predecessor orders, for example, information marked as ``Originating 
Agency's Determination Required,'' or classified information that 
contains either incomplete or no declassification instructions, shall 
have appropriate declassification information applied in accordance with 
part 3 of this order.

[78 FR 5118, Jan. 24, 2013]



Sec.  1203.408  Assistance by Information Security Specialist in
the Center Protective Services Office.

    Center Security Classification Officers, as the Center point-of-
contact, will assist Center personnel in:
    (a) Interpreting security classification guides and classification 
assignments for the Center.
    (b) Answering questions and considering suggestions concerning 
security classification matters.
    (c) Ensuring a continuing review of classified information for the 
purpose of declassifying or downgrading in accordance with subpart E of 
this part.
    (d) Reviewing and approving, as the representative of the 
contracting officer, the DD Form 254, Contract Security Classification 
Specification, issued to contractors by the Center.
    (e) Forwarding all security classification guides to the Office of 
Protective Services, NASA Headquarters, for final approval.

[44 FR 34913, June 18, 1979, as amended at 78 FR 5118, Jan. 24, 2013]

[[Page 13]]



Sec.  1203.409  Exceptional cases.

    (a) In those cases where a person not authorized to classify 
information originates or develops information which is believed to 
require classification, that person must contact the Center's or 
installation's Information Security Officer in the Protective Services 
Office to arrange for proper review and safeguarding. Persons other than 
NASA employees should forward the information to the NASA Central 
Registry at 300 E Street SW., Washington, DC 20546, Attention: Office of 
Protective Services.
    (b) Information in which NASA does not have primary interest shall 
be returned promptly, under appropriate safeguards, to the sender in 
accordance with Sec.  1203.405.
    (c) Material received from another agency for a NASA security 
classification determination shall be processed within 90 days. If a 
classification cannot be determined during that period, the material 
shall be sent, under appropriate safeguards, to the Director, 
Information Security Oversight Office, for a determination.

[44 FR 34913, June 18, 1979, as amended at 78 FR 5118, Jan. 24, 2013]



Sec.  1203.410  Limitations.

    (a) In no case shall information be classified, continue to be 
maintained as classified, or fail to be declassified in order to:
    (1) Conceal violations of law, inefficiency, or administrative 
error;
    (2) Prevent embarrassment to a person, organization, or agency;
    (3) Restrain competition; or
    (4) Prevent or delay the release of information that does not 
require protection in the interest of the national security.
    (b) Basic scientific research information not clearly related to the 
national security may not be classified.
    (c) Information may not be reclassified after declassification after 
being released to the public under proper authority unless: The 
reclassification is based on a document-by-document review by NASA and a 
determination that reclassification is required to prevent at least 
significant damage to the national security and personally approved in 
writing by the Administrator, the Deputy Administrator, or the Assistant 
Administrator for Protective Services. All reclassification actions will 
be coordinated with the Information Security Oversight Office before 
final approval; the information may be reasonably recovered without 
bringing undue public attention to the information; the reclassification 
action is reported promptly to the Assistant to the President for 
National Security Affairs (the National Security Advisor) and the 
Director of the Information Security Oversight Office; and for documents 
in the physical and legal custody of the National Archives and Records 
Administration (National Archives) that have been available for public 
use, the Administrator, the Deputy Administrator, or the Assistant 
Administrator for Protective Services, after making the determinations 
required by this paragraph, shall notify the Archivist of the United 
States (hereafter, Archivist), who shall suspend public access pending 
approval of the reclassification action by the Director of the 
Information Security Oversight Office. Any such decision by the Director 
may be appealed by the agency head to the President through the National 
Security Advisor. Public access shall remain suspended pending a prompt 
decision on the appeal.
    (d) Information that has not previously been disclosed to the public 
under proper authority may be classified or reclassified after an agency 
has received a request for it under the Freedom of Information Act (5 
U.S.C. 552), the Presidential Records Act, 44 U.S.C. 2204(c)(1), the 
Privacy Act of 1974 (5 U.S.C. 552a), or the mandatory review provisions 
of section 3.5 of this Order only if such classification meets the 
requirements of this Order and is accomplished by document-by-document 
review with the personal participation or under the direction of the 
Administrator, the Deputy Administrator, or the Assistant Administrator 
for Protective Services. The requirements in this paragraph also apply 
to those situations in which information has been declassified in 
accordance

[[Page 14]]

with a specific date or event determined by an original classification 
authority in accordance with section 1.5 of this Order.
    (e) Compilations of items of information that are individually 
unclassified may be classified if the compiled information reveals an 
additional association or relationship that:
    (1) Meets the standards for classification under this Order; and
    (2) Is not otherwise revealed in the individual items of 
information.

[44 FR 34913, June 18, 1979, as amended at 48 FR 5890, Feb. 9, 1983; 78 
FR 5119, Jan. 24, 2013]



Sec.  1203.411  Restrictions.

    (a) Except as provided by directives issued by the President through 
the National Security Council, classified information originating in one 
agency may not be disseminated outside any other agency to which it has 
been made available without the consent of the originating agency. For 
purposes of this section, the Department of Defense shall be considered 
one agency.
    (b) Classified information shall not be disseminated outside the 
Executive Branch except under conditions that ensure the information 
will be given protection equivalent to that afforded within the 
Executive Branch.

[48 FR 5890, Feb. 9, 1983]



Sec.  1203.412  Classification guides.

    (a) General. A classification guide, based upon classification 
determinations made by appropriate program and classification 
authorities, shall be issued for each classified system, program or 
project. Classification guides shall:
    (1) Identify the information elements to be protected, using 
categorization and subcategorization to the extent necessary to ensure 
that the information involved can be readily and uniformly identified.
    (2) State which of the classification designations (i.e., Top 
Secret, Secret or Confidential) apply to the identified information 
elements.
    (3) State the duration of each specified classification in terms of 
a period of time or future event. If the original classification 
authority cannot determine an earlier specific date or event for 
declassification, information shall be marked for declassification 10 
years from the date of the original decision, unless the original 
classification authority otherwise determines that the sensitivity of 
the information requires it be marked for declassification for up to 25 
years from the date of the original decision.
    (4) Indicate specifically that the designations, time limits, 
markings and other requirements of ``the Order'' are to be applied to 
information classified pursuant to the guide.
    (5) All security classification guides should be forwarded to the 
Office of Protective Services for review and final approval. The Office 
of Protective Services will maintain a list of all classification guides 
in current use.
    (b) Review of classification guides. Classification guides shall be 
reviewed by the originator for currency and accuracy not less than once 
every five years. Changes shall be in strict conformance with the 
provisions of this part 1203 and shall be issued promptly. If no changes 
are made, the originator shall so annotate the record copy and show the 
date of the review.

[44 FR 34913, June 18, 1979, as amended at 48 FR 5891, Feb. 9, 1983; 78 
FR 5119, Jan. 24, 2013]



                   Subpart E_Derivative Classification



Sec.  1203.500  Use of derivative classification.

    (a) Persons who reproduce, extract, or summarize classified 
information, or who apply classification markings derived from source 
material or as directed by a classification guide, need not possess 
original classification authority.
    (b) Persons who apply derivative classification markings shall:
    (1) Be identified by name and position or by personal identifier, in 
a manner that is immediately apparent for each derivative classification 
action;
    (2) Observe and respect original classification decisions; and
    (3) Carry forward to any newly created documents the pertinent 
classification markings. For information derivatively classified based 
on multiple

[[Page 15]]

sources, the derivative classifier shall carry forward:
    (i) The date or event for declassification that corresponds to the 
longest period of classification among the sources or the marking 
established pursuant to section 1.6(a)(4)(D) of the Order; and
    (ii) A listing of the source materials.
    (c) Derivative classifiers shall, whenever practicable, use a 
classified addendum when classified information constitutes a small 
portion of an otherwise unclassified document or prepare a product to 
allow for dissemination at the lowest level of classification possible 
or in unclassified form.
    (d) Persons who apply derivative classification markings shall 
receive training in the proper application of the derivative 
classification principles of the Order, with an emphasis on avoiding 
over-classification, at least once every two years. Derivative 
classifiers who do not receive such training at least once every two 
years shall have their authority to apply derivative classification 
markings suspended until they have received such training. A waiver may 
be granted by the Administrator, the Deputy Administrator, or the 
Assistant Administrator for Protective Services if an individual is 
unable to receive such training due to unavoidable circumstances. 
Whenever a waiver is granted, the individual shall receive such training 
as soon as practicable.

[78 FR 5119, Jan. 24, 2013]



Sec.  1203.501  Applying derivative classification markings.

    Persons who apply derivative classification markings shall:
    (a) Observe and respect original classification decisions:
    (b) Verify the information's current level of classification so far 
as practicable before applying the markings; and
    (c) Carry forward to newly created documents any assigned authorized 
markings. The declassification date or event that provides the longest 
period of classification shall be used for documents classified on the 
basis of multiple sources.

[44 FR 34913, June 18, 1979, as amended at 48 FR 5891, Feb. 9, 1983]



               Subpart F_Declassification and Downgrading



Sec.  1203.600  Policy.

    Information shall be declassified or downgraded as soon as national 
security considerations permit. NASA reviews of classified information 
shall be coordinated with other agencies that have a direct interest in 
the subject matter. Information that continues to meet the 
classification requirements prescribed by Sec.  1203.400 despite the 
passage of time will continue to be protected in accordance with ``the 
Order.''

[48 FR 5891, Feb. 9, 1983]



Sec.  1203.601  Responsibilities.

    Authorized officials with Declassification Authority (DCA) may 
declassify or downgrade information that is subject to the final 
classification jurisdiction of NASA and shall take such action in 
accordance with the provisions of this subpart F.

[44 FR 34913, June 18, 1979, as amended at 78 FR 5120, Jan. 24, 2013]



Sec.  1203.602  Authorization.

    Information shall be declassified or downgraded by an authorized DCA 
official. If that official is still serving in the same position, the 
originator's successor, a supervisory official of either, or officials 
delegated such authority in writing by the Administrator or the 
Chairperson, NISPC, may also make a decision to declassify or downgrade 
information.

[78 FR 5120, Jan. 24, 2013]



Sec.  1203.603  Systematic review for declassification:

    (a) General. (1) NASA must establish and conduct a program for 
systematic declassification review of NASA-originated records of 
permanent historical value exempted from automatic declassification 
under section 3.3 of this Order. The NASA Office of Protective Services 
shall prioritize the review of

[[Page 16]]

such records in coordination with the Center Protective Service Offices.
    (2) The Archivist shall conduct a systematic declassification review 
program for classified records:
    (i) Accessioned into the National Archives;
    (ii) Transferred to the Archivist pursuant to 44 U.S.C. 2203; and
    (iii) For which the National Archives serves as the custodian for an 
agency or organization that has gone out of existence.
    (3) The Chairperson, NISPC, shall designate experienced personnel to 
assist the Archivist in the systematic review of U.S. originated 
information and foreign information exempted from automated 
declassification. Such personnel shall:
    (i) Provide guidance and assistance to the National Archives and 
Records Service in identifying and separating documents and specific 
categories of information within documents which are deemed to require 
continued classification; and
    (ii) Develop reports of information or document categories so 
separated, with recommendations concerning continued classification.
    (iii) Develop, in coordination with NASA organizational elements, 
guidelines for the systematic review for declassification of classified 
information under NASA's jurisdiction. The guidelines shall state 
specific limited categories of information which, because of their 
national security sensitivity, should not be declassified automatically, 
but should be reviewed to determine whether continued protection beyond 
25 years is needed. These guidelines are authorized for use by the 
Archivist and the Director of the Information Security Oversight Office, 
with the approval of the Senior Agency Official, which is the Assistant 
Administrator, Office of Protective Services, for categories listed in 
section 3.3 of the Order. These guidelines shall be reviewed at least 
every five years and revised as necessary, unless an earlier review for 
revision is requested by the Archivist. Copies of the declassification 
guidelines promulgated by NASA will be provided to the Information 
Security Oversight Office, National Archives and Records Administration 
(NARA). All security classified records exempt from automatic 
declassification, whether held in storage areas under installation 
control or in Federal Records Centers, will be surveyed to identify 
those requiring scheduling for future disposition.
    (A) Classified information or material over which NASA exercises 
exclusive or final original classification authority and which is to be 
declassified in accordance with the systematic review guidelines shall 
be so marked.
    (B) Classified information or material over which NASA exercises 
exclusive or final original classification authority and which, in 
accordance with the systematic review guidelines is to be kept 
protected, shall be listed by category by the responsible custodian and 
referred to the Chairperson, NASA Information Security Program 
Committee. This listing shall:
    (1) Identify the information or material involved.
    (2) Recommend classification beyond 25 years to a specific event 
scheduled to happen or a specific period of time in accordance with the 
Order.
    (3) The Administrator shall delegate to the Senior Agency Official 
the authority to determine which category shall be kept classified and 
the dates or event for declassification.
    (4) Declassification by the Director of the Information Security 
Oversight Office (DISOO). If the Director determines that NASA 
information is classified in violation of the Order, the Director may 
require the information to be declassified. Any such decision by the 
Director may be appealed through the NASA ISPC to the National Security 
Council. The information shall remain classified pending a prompt 
decision on the appeal.
    (b) [Reserved]

[78 FR 5120, Jan. 24, 2013]



Sec.  1203.604  Mandatory review for declassification.

    (a) Information covered. Except as provided in paragraph (b) of this 
section, all information classified under the Order or predecessor 
orders shall be subject to a review for declassification by the 
originating agency if:
    (1) The request for a review describes the document or material 
containing

[[Page 17]]

the information with sufficient specificity to enable the agency to 
locate it in a reasonably timely manner;
    (2) The document or material containing the information responsive 
to the request is not contained within an operational file exempted from 
search and review, publication, and disclosure under 5 U.S.C. 552 in 
accordance with law; and
    (3) The information is not the subject of pending litigation.
    (b) Presidential papers. Information originated by the President or 
Vice President; the President's White House Staff, or the Vice 
President's Staff; committees, commissions, or boards appointed by the 
President; or other entities within the Executive Office of the 
President that solely advise and assist the President are exempted from 
the provisions of paragraph (a) of this section. However, the Archivist 
shall have the authority to review, downgrade, and declassify papers or 
records of former Presidents and Vice Presidents under the control of 
the Archivist pursuant to 44 U.S.C. 2107, 2111, 2111 note, or 2203. 
Procedures developed by the Archivist shall provide for consultation 
with agencies having primary subject matter interest and shall be 
consistent with the provisions of applicable laws or lawful agreements 
that pertain to the respective Presidential papers or records. Agencies 
with primary subject matter interest shall be notified promptly of the 
Archivist's decision. Any final decision by the Archivist may be 
appealed by the requester or an agency to the Panel. The information 
shall remain classified pending a decision on the appeal.
    (c) Submission of requests for review. Requests for mandatory review 
of classified information shall be submitted in accordance with the 
following:
    (1) Requests originating within NASA shall, in all cases, be 
submitted directly to the NASA Office of Protective Services.
    (2) For the most expeditious action, requests from other 
Governmental agencies or from members of the public should be submitted 
directly to the NASA Office of Protective Services only. The requestor 
may submit the request to: National Aeronautics and Space Administration 
(NASA), Central Registry, 300 E Street SW., Washington DC 20546, 
Attention: Office of Protective Services/Information Security Program 
Manager. The phrase, ``Mandatory Declassification Review,'' must be 
stated in the request.
    (d) Requirement for processing. (1) Requests which are submitted 
under the Freedom of Information Act cannot be processed under the MDR 
process.
    (2) The request describes the document or material containing the 
information with sufficient specificity, such as accession numbers, box 
titles or numbers, date and title of document, in any combination, to 
enable NASA to locate it with a reasonable amount of effort, not to 
exceed 30 days. If more time is required, NASA will notify the 
requester. After review, the information or any portion thereof that no 
longer requires protection shall be declassified and released unless 
withholding is otherwise warranted under applicable law.
    (e) Processing of requests. Requests that meet the requirements of 
paragraph (d)(2) of this section will be processed as follows:
    (1) The NASA Office of Protective Services review upon receiving the 
initial request shall be completed within 365 days.
    (2) Receipt of the request shall be acknowledged promptly. The NASA 
Office of Protective Services shall determine whether, under the 
declassification provisions of this part 1203, the requested information 
may be declassified and, if so, shall make such information available to 
the requestor, unless withholding is otherwise warranted under 
applicable law. If the information may not be released in whole or in 
part, the requestor shall be given a brief statement of the reasons for 
denial, a notice of the right to appeal the determination to the 
Chairperson, NASA Information Security Program Committee, National 
Aeronautics and Space Administration, Washington, DC 20546, and a notice 
that such an appeal must be filed within 60 days in order to be 
considered.
    (3) All appeals of denials of requests for declassification shall be 
acted upon and determined finally within 120 working days after receipt, 
and the requester shall be advised that the appeal

[[Page 18]]

determination is final. If the requester is dissatisfied with NASA's 
appeal decision, the requester may initiate an appeal to the Interagency 
Security Classification Appeals Panel (ISCAP), within the Information 
Security Oversight Office. If continued classification is required under 
the provisions of this part 1203, the requester shall be notified of the 
reasons thereof.
    (4) The declassification and release of foreign government 
information that is subjected to mandatory review under this section 
shall be determined only in accordance with Sec.  1203.703.
    (5) When the NASA Office of Protective Services receives any request 
for declassification of information in documents in its custody that was 
classified by another Government agency, it shall refer copies of the 
request and the requested documents to the originating agency for 
processing and may, after consultation with the originating agency, 
inform the requester of the referral.
    (f) Neutral response. In response to a request for information under 
the Freedom of Information Act, the Privacy Act of 1974, or the 
mandatory review provisions of ``the Order,'' NASA shall refuse to 
confirm or deny the existence or non-existence of requested information 
whenever the fact of its existence or non-existence is itself 
classifiable under ``the Order.''
    (g) Declassification of transferred documents or material--(1) 
Material officially transferred. In the case of classified information 
or material transferred by or pursuant to statute or Executive Order to 
NASA in conjunction with a transfer of functions (not merely for storage 
purposes) for NASA's use and as part of its official files or property, 
as distinguished from transfers merely for purposes of storage, NASA 
shall be deemed to be the original classifying authority over such 
material for purposes of downgrading and declassification.
    (2) Material not officially transferred. When NASA has in its 
possession classified information or material originated by an agency 
which has since ceased to exist and that information has not been 
officially transferred to another department or agency or when it is 
impossible for NASA to identify the originating agency and a review of 
the material indicates that it should be downgraded or declassified, 
NASA shall be deemed to be the originating agency for the purpose of 
declassifying or downgrading such material. NASA will consult with the 
Information Security Oversight Office to assist in final disposition of 
the information.
    (3) Transfer for storage or retirement. (i) Insofar as practicable, 
classified documents shall be reviewed to determine whether or not they 
can be downgraded or declassified prior to being forwarded to records 
centers or to the National Archives for storage. Any downgrading or 
declassification determination shall be indicated on each document by 
appropriate markings.
    (ii) Classified information transferred to the General Services 
Administration for accession into the Archives of the United States 
shall be downgraded or declassified by the Archivist of the United 
States in accordance with ``the Order,'' the directives of the 
Information Security Oversight Office, GSA, and NASA guidelines.
    (h) Downgrading and declassification actions--(1) Notification of 
changes in classification or declassification. When classified material 
has been marked with specific dates or events for downgrading or 
declassification, it is not necessary to issue notices of such actions 
to any holders. However, when such actions are taken earlier than 
originally scheduled, or the duration of classification is shortened, 
the authority making such changes shall, to the extent practicable, 
ensure prompt notification to all addressees to whom the information or 
material was originally transmitted. The notification shall specify the 
marking action to be taken, the authority therefor, and the effective 
date. Upon receipt of notification, recipients shall effect the proper 
changes and shall notify addressees to whom they have transmitted the 
classified information or material.
    (2) Posted notice. If prompt remarking of large quantities would be 
unduly burdensome, the custodian may attach declassification, 
downgrading, or upgrading notices to the storage unit in lieu of the 
remarking action otherwise required. Each notice shall indicate the 
change, the authority for the action, the date of the action, and the 
storage

[[Page 19]]

units to which it applies. Items withdrawn from such storage units shall 
be promptly remarked. However, when information subject to a posted 
downgrading or declassification notice is withdrawn from one storage 
unit solely for transfer to another, or a storage unit containing such 
information is transferred from one place to another, the transfer may 
be made without remarking if the notice is attached to or remains with 
each shipment.
    (i) Foreign Relations Series. In order to permit the State 
Department editors of Foreign Relations of the United States to meet 
their mandated goal of publishing 20 years after the event, NASA shall 
assist these editors by facilitating access to appropriate classified 
materials in its custody and by expediting declassification review of 
items from its files selected for publication.
    (ii) [Reserved]

[44 FR 34913, June 18, 1979, as amended at 45 FR 3888, Jan. 21, 1980; 48 
FR 5892, Feb. 9, 1983; 53 FR 41318, Oct. 21, 1988; 78 FR 5120, Jan. 24, 
2013]

    Editorial Note: At 78 FR 5120, Jan. 24, 2013, Sec.  1203.604 was 
amended in part by revising paragraphs (d)(3) and (4); however, the 
amendatory instruction could not be incorporated completely because 
(d)(3) and (4) did not exist.

Subpart G [Reserved]



  Subpart H_Delegation of Authority To Make Determinations in Original 
                         Classification Matters

    Source: 62 FR 54380, Oct. 20, 1997, unless otherwise noted.



Sec.  1203.800  Establishment.

    Pursuant to Executive Order 13526, ``Classified National Security 
Information,'' and The Space Act, in accordance with U.S.C. Title 51, 
National and Commercial Space Program Sections 20132 and 20133, there is 
established a NASA Information Security Program Committee (as part of 
the permanent administrative structure of NASA). The NASA Assistant 
Administrator for Protective Services, or designee, shall be the 
Chairperson of the Committee. The Information Security Program Manager, 
NASA Office of Protective Services, is designated to act as the 
Committee Executive Secretary.

[78 FR 5121, Jan. 24, 2013]



Sec.  1203.801  Responsibilities.

    (a) The Chairperson reports to the Administrator concerning the 
management and direction of the NASA Information Security Program as 
provided for in subpart B of this part. In this connection, the 
Chairperson is supported and advised by the Committee.
    (b) The Committee shall act on all appeals from denials of 
declassification requests and on all suggestions and complaints with 
respect to administration of the NASA Information Security Program as 
provided for in subpart B of this part.
    (c) The Executive Secretary of the Committee shall maintain all 
records produced by the Committee, its subcommittees, and its ad hoc 
panels.
    (d) The Office of Protective Services will provide staff assistance 
and investigative and support services for the Committee.

[78 FR 5121, Jan. 24, 2013]



Sec.  1203.802  Membership.

    The Committee membership will consist of the Chairperson, the 
Executive Secretary, and one person nominated by each of the following 
NASA officials:
    (a) The Associate Administrators for:
    (1) Aeronautics.
    (2) Science Missions Directorate.
    (3) Human Explorations and Operations.
    (4) International and Interagency Relations.
    (b) The Associate Administrator.
    (c) The General Counsel.
    (d) The Chief Information Officer.
    (e) Other members may be designated upon specific request of the 
Chairperson.

[78 FR 5121, Jan. 24, 2013]



Sec.  1203.803  Ad hoc committees.

    The Chairperson is authorized to establish such ad hoc panels or 
subcommittees as may be necessary in the conduct of the Committee's 
work.

[78 FR 5121, Jan. 24, 2013]

[[Page 20]]



Sec.  1203.804  Meetings.

    (a) Meetings will be held at the call of the Chairperson.
    (b) Records produced by the Committee and the minutes of each 
meeting will be maintained by the Executive Secretary.

[78 FR 5121, Jan. 24, 2013]



          Subpart I_NASA Information Security Program Committee

    Source: 54 FR 6881, Feb. 15, 1989, unless otherwise noted.



Sec.  1203.900  Establishment.

    Pursuant to Executive Order 13526, ``Classified National Security 
Information,'' and The Space Act, in accordance with U.S.C. Title 51, 
National and Commercial Space Program Sections 20132 and 20133, there is 
established a NASA Information Security Program Committee (as part of 
the permanent administrative structure of NASA. The NASA Assistant 
Administrator for Protective Services, or designee, shall be the 
Chairperson of the Committee. The Information Security Program Manager, 
NASA Office of Protective Services, is designated to act as the 
Committee Executive Secretary.

[78 FR 5122, Jan. 24, 2013]



Sec.  1203.901  Responsibilities.

    (a) The Chairperson reports to the Administrator concerning the 
management and direction of the NASA Information Security Program as 
provided for in subpart B of this part. In this connection, the 
Chairperson is supported and advised by the Committee.
    (b) The Committee shall act on all appeals from denials of 
declassification requests and on all suggestions and complaints with 
respect to administration of the NASA Information Security Program as 
provided for in subpart B of this part.
    (c) The Executive Secretary of the Committee shall maintain all 
records produced by the Committee, its subcommittees, and its ad hoc 
panels.
    (d) The Office of Protective Services, will provide staff 
assistance, and investigative and support services for the Committee.

[54 FR 6881, Feb. 15, 1989, as amended at 78 FR 5122, Jan. 24, 2013]



Sec.  1203.902  Membership.

    The Committee will consist of the Chairperson and Executive 
Secretary. In addition, each of the following NASA officials will 
nominate one person to Committee membership:
    (a) Associate Administrator for:
    (1) Aero-Space Technology.
    (2) Space Science.
    (3) Space Flight.
    (4) External Relations.
    (5) Life and Microgravity Sciences and Applications.
    (b) Associate Deputy Administrator.
    (c) General Counsel.
    Other members may be designated upon specific request of the 
Chairperson.

[54 FR 6881, Feb. 15, 1989, as amended at 64 FR 72535, Dec. 28, 1999]



Sec.  1203.903  Ad hoc committees.

    The Chairperson is authorized to establish such ad hoc panels or 
subcommittees as may be necessary in the conduct of the Committee's 
work.



Sec.  1203.904  Meetings.

    (a) Meetings will be held at the call of the Chairperson.
    (b) Records produced by the Committee and the minutes of each 
meeting will be maintained by the Executive Secretary.



  Subpart J_Special Access Programs (SAP) and Sensitive Compartmented 
                       Information (SCI) Programs

    Source: 78 FR 5122, Jan. 24, 2013, unless otherwise noted.



Sec.  1203.1000  General.

    A SAP or SCI program shall be created within NASA only upon specific 
written approval of the Administrator and must be coordinated with the 
Assistant Administrator for Protective Services, or designee, to ensure 
required security protocols are implemented and maintained.

[[Page 21]]



Sec.  1203.1001  Membership.

    The Committee membership will consist of the Chairperson, the 
Executive Secretary, and one person nominated by each of the following 
NASA officials:
    (a) The Associate Administrators for:
    (1) Aeronautics.
    (2) Science Missions Directorate.
    (3) Human Explorations and Operations.
    (4) International and Interagency Relations.
    (b) The Associate Administrator.
    (c) The General Counsel.
    (d) The Chief Information Officer.
    (e) Other members may be designated upon specific request of the 
Chairperson.



Sec.  1203.1002  Ad hoc committees.

    The Chairperson is authorized to establish such ad hoc panels or 
subcommittees as may be necessary in the conduct of the Committee's 
work.



Sec.  1203.1003  Meetings.

    (a) Meetings will be held at the call of the Chairperson.
    (b) Records produced by the Committee and the minutes of each 
meeting will be maintained by the Executive Secretary.



PART 1203a_NASA SECURITY AREAS--Table of Contents



Sec.
1203a.100 Purpose and scope.
1203a.101 Definitions.
1203a.102 Establishment, maintenance, and revocation of security areas.
1203a.103 Access to security areas.
1203a.104 Violation of security areas.
1203a.105 Implementation by field and component installations.

    Authority: The National Aeronautics and Space Act of 1958, as 
amended, 51 U.S.C. 20101 et seq.

    Source: 38 FR 8056, Mar. 28, 1973, unless otherwise noted.



Sec.  1203a.100  Purpose and scope.

    (a) To insure the uninterrupted and successful accomplishment of the 
NASA mission, certain designated security areas may be established and 
maintained by NASA Centers and Component Facilities in order to provide 
appropriate and adequate protection for facilities, property, or 
classified/proprietary information and material in the possession of 
NASA or NASA contractors located at NASA Centers and Component 
Facilities.
    (b) This part sets forth:
    (1) The designation and maintenance of security areas,
    (2) The responsibilities and procedures in connection therewith, and
    (3) The penalties that may be enforced through court actions against 
unauthorized persons entering security areas.

[38 FR 8056, Mar. 28, 1973, as amended at 78 FR 5123, Jan. 24, 2013]



Sec.  1203a.101  Definitions.

    For the purpose of this part, the following definitions apply:
    (a) Security area. A physically defined area, established for the 
protection or security of facilities, property, or classfied/proprietary 
information and material in the possession of NASA or a NASA contractor 
located at a NASA Center or Component Facility, entry to which is 
subject to security measures, procedures, or controls. Security areas 
which may be established are:
    (1) Controlled area. An area in which security measures are taken to 
safeguard and control access to property and hazardous materials or 
other sensitive material or to protect operations that are vital to the 
accomplishment of the mission assigned to a Center or Component 
Facility. The controlled area shall have a clearly defined perimeter, 
but permanent physical barriers are not required.
    (2) Limited area. An area in which security measures are taken to 
safeguard or control access to classified material or unclassified 
property warranting special protection or property and hazardous 
materials or to protect operations that are vital to the accomplishment 
of the mission assigned to a Center or Component Facility. A Limited 
Area shall also have a clearly defined perimeter, but differs from a 
Controlled Area in that permanent physical barriers and access control 
devices, including walls and doors with locks or access devices, are 
emplaced to assist the occupants in keeping out unauthorized personnel. 
All facilities

[[Page 22]]

designated as NASA Critical Infrastructure or a key resource will be 
designated at a minimum as ``Limited'' areas.
    (3) Exclusion area. An area that is a permanent facility dedicated 
solely to the safeguarding and use of Classified National Security 
Information. It is used when vaults are unsuitable or impractical and 
where entry to the area alone provides visible or audible access to 
classified material. To prevent unauthorized access to an exclusion 
area, visitors will be escorted or other internal restrictions 
implemented, as determined by the Center Security Office.
    (b) Temporary security area. A designated interim security area, the 
need for which will not exceed 30 days from date of establishment. A 
temporary security area may also be established, pending approval of its 
establishment as a permanent security area.
    (c) Permanent security area. A designated security area, the need 
for which will exceed 30 days from date of establishment.

[38 FR 8056, Mar. 28, 1973, as amended at 78 FR 5123, Jan. 24, 2013]



Sec.  1203a.102  Establishment, maintenance, and revocation of security areas.

    (a) Establishment. (1) Directors of NASA Centers, including 
Component Facilities and Technical and Service Support Centers, and the 
Executive Director for Headquarters Operations at NASA Headquarters may 
establish, maintain, and protect such areas designated as Controlled, 
Limited, or Exclusion, depending upon their assessment of the potential 
for unauthorized persons either to:
    (i) Obtain knowledge of classified information,
    (ii) Damage or remove property, or to
    (iii) Disrupt NASA or NASA contractor operations.
    (2) The concurrence of the Assistant Administrator for Protective 
Services NASA Headquarters, shall be obtained prior to the establishment 
of a permanent security area.
    (3)(i) At a minimum, the following information will be submitted to 
the Assistant Administrator for Protective Services 15 workdays prior to 
establishment of each permanent security area:
    (a) The name and specific location of the NASA Center or Component 
Facility, or property to be protected.
    (b) A statement that the property is owned by, or leased to, the 
United States for use by NASA or is the property of a NASA contractor 
located on a NASA Center or Component Facility.
    (c) Designation desired: i.e., controlled, limited, or Exclusion.
    (d) Specific purpose(s) for the establishment of a security area.
    (ii) For those areas currently designated by the Center as 
``permanent security areas,'' the information set forth in paragraph 
(d)(3)(i) of this section will be furnished to the Assistant 
Administrator for Protective Services , NASA Headquarters, within 30 
workdays of the effective date of this part.
    (b) Maintenance. The security measures which may be utilized to 
protect such areas will be determined by the requirements of individual 
situations. At a minimum, such security measures will:
    (1) Provide for the posting of signs at entrances and at such 
intervals along the perimeter of the designated area as to provide 
reasonable notice to persons about to enter thereon. The Assistant 
Administrator for Protective Services, NASA Headquarters, upon request, 
may approve the use of signs that are now being used pursuant to a State 
statute.
    (2) Regulate authorized personnel entry and movement within the 
area.
    (3) Deny entry of unauthorized persons or property.
    (4) Prevent unauthorized removal of classified information and 
material or property from a NASA Center or Component Facility.
    (c) Revocation. Once the need for an established permanent security 
area no longer exists, the area will be returned immediately to normal 
controls and procedures or as soon as practicable. The Assistant 
Administrator for Protective Services will be informed of permanent 
security area revocations within 15 workdays.

[38 FR 8056, Mar. 28, 1973, as amended at 78 FR 5124, Jan. 24, 2013]

[[Page 23]]



Sec.  1203a.103  Access to security areas.

    (a) Only those NASA employees, NASA contractor employees, and 
visitors who have a need for such access and who meet the following 
criteria may enter a security area:
    (1) Controlled area. Be authorized to enter the area alone or be 
escorted by or under the supervision of a NASA employee or NASA 
contractor employee who is authorized to enter the area.
    (2) Limited area. Possess a security clearance equal to the level of 
the classified information or material held, discussed, or disseminated 
on site or is the holder of a positive national agency check if 
classified material or information is not involved. Personnel who do not 
meet the requirements for unescorted access may be escorted by a NASA 
employee or NASA contractor employee who meets the access requirements 
and has been authorized to enter the area.
    (3) Exclusion area. Possess a security clearance equal to the 
classified information or material involved.
    (b) The Center Directors, including Component Facilities and 
Technical and Service Support Centers, and the Executive Director for 
Headquarters Operations, NASA Headquarters, may rescind previously 
granted authorizations to enter a security area when an individual's 
access is no longer required, threatens the security of the property, or 
is disruptive of Government operations.

[38 FR 8056, Mar. 28, 1973, as amended at 78 FR 5124, Jan. 24, 2013]



Sec.  1203a.104  Violation of security areas.

    (a) Removal of unauthorized persons. The Center Directors, including 
Component Facilities and Technical and Service Support Centers, and the 
Executive Director for Headquarters, NASA Headquarters may order the 
removal or eviction of any person whose presence in a designated 
security area is in violation of the provisions of this part or any 
regulation or order established pursuant to the provisions of this part.
    (b) Criminal penalties for violation. Whoever willfully violates, 
attempts to violate, or conspires to violate any regulation or order 
establishing requirements or procedures for authorized entry into an 
area designated controlled, limited, or exclusion pursuant to the 
provisions of this part may be subject to prosecution under 18 U.S.C. 
799 which provides penalties for a fine of not more than $5,000 or 
imprisonment for not more than 1 year, or both.

[38 FR 8056, Mar. 28, 1973, as amended at 78 FR 5124, Jan. 24, 2013]



Sec.  1203a.105  Implementation by field and component installations.

    If a Director of a NASA Centers and Component Facilities, finds it 
necessary to issue supplemental instructions to any provision of this 
part, the instructions must first be published in the Federal Register. 
Therefore, the proposed supplemental instructions will be sent to the 
Assistant Administrator for Protective Services, NASA Headquarters, in 
accordance with NASA Policy Directive 1400.2, Publishing NASA Documents 
in the Federal Register and Responding to Regulatory Actions for 
processing.

[38 FR 8056, Mar. 28, 1973, as amended at 78 FR 5124, Jan. 24, 2013]



PART 1203b_SECURITY PROGRAMS; ARREST AUTHORITY AND USE OF FORCE BY
NASA SECURITY FORCE PERSONNEL--Table of Contents



Sec.
1203b.100 Purpose.
1203b.101 Scope.
1203b.102 Definitions.
1203b.103 Arrest authority.
1203b.104 Exercise of arrest authority--general guidelines.
1203b.105 Use of non-deadly physical force when making an arrest.
1203b.106 Use of deadly force.
1203b.107 Use of firearms.
1203b.108 Management oversight.
1203b.109 Disclaimer.

    Authority: The National and Commercial Space Program (51 U.S.C.). 
Sections 20132 and 20133 et seq.

    Source: 57 FR 4926, Feb. 11, 1992, unless otherwise noted.



Sec.  1203b.100  Purpose.

    This regulation implements 51 U.S.C. National and Commercial Space 
Programs, sections 20133 and 20134, by establishing guidelines for the 
exercise of

[[Page 24]]

arrest authority and for the exercise of physical force, including 
deadly force, in conjunction with such authority.

[57 FR 4926, Feb. 11, 1992, as amended at 78 FR 5124, Jan. 24, 2013]



Sec.  1203b.101  Scope.

    This part applies to only those NASA and NASA contractor security 
force personnel who are authorized to exercise arrest authority in 
accordance with 51 U.S.C. 20134 and this regulation.

[57 FR 4926, Feb. 11, 1992, as amended at 78 FR 5124, Jan. 24, 2013]



Sec.  1203b.102  Definitions.

    Accredited Course of Training. A course of instruction offered by 
the NASA Protective Services Training Academy, or an equivalent course 
of instruction offered by another Federal agency. See Sec.  
1203b.103(a)(1).
    Arrest. An act, resulting in the restriction of a person's movement, 
other than a brief detention for purposes of questioning concerning a 
person's identity and requesting identification, accomplished by means 
of force or show of authority under circumstances that would lead a 
reasonable person to believe that he/she was not free to leave the 
presence of the officer.
    Contractor. NASA contractors and subcontractors at all levels.

[57 FR 4926, Feb. 11, 1992, as amended at 78 FR 5125, Jan. 24, 2013]



Sec.  1203b.103  Arrest authority.

    (a) NASA security force personnel may exercise arrest authority, 
provided that:
    (1) They have graduated from an accredited training course (see 
Sec.  1203b.102(a)); and
    (2) They have been certified in writing by the Assistant 
Administrator for Protective Services, or designee, as specifically 
authorized to exercise arrest authority.
    (b) The authority of NASA security force personnel to make a 
warrantless arrest is subject to the following conditions:
    (1) The arresting officer must be guarding and protecting property 
owned or leased by, or under the control of, the United States under the 
administration and control of NASA or one of its contractors or 
subcontractors, at facilities owned by or contracted to NASA; and
    (2) The person to be arrested has committed in the arresting 
officer's presence an offense against the United States Government, 
NASA, or a NASA contractor; or
    (3) The arresting officer has reasonable grounds to believe that the 
person to be arrested has committed or is committing any felony 
cognizable under the laws of the United States.
    (c) The Office of the General Counsel, NASA Headquarters, or the 
Center Chief Counsel's Office, as appropriate, shall provide guidance as 
to the applicability of these regulations.

[57 FR 4926, Feb. 11, 1992, as amended at 78 FR 5125, Jan. 24, 2013]



Sec.  1203b.104  Exercise of arrest authority--general guidelines.

    (a) In making an arrest, the security force personnel should 
announce their authority and that the person is under arrest prior to 
taking the person into custody. If the circumstances are such that 
making such an announcement would be useless or dangerous to the 
security force personnel or others, the security force personnel may 
dispense with these announcements, but must subsequently identify 
themselves and their arrest authority to the arrested person(s) as soon 
as reasonably possible.
    (b) The security force personnel at the time and place of arrest may 
search the arrested person and the area immediately surrounding the 
arrested person for weapons and criminal evidence. This is to protect 
the arresting officer and to prevent the destruction of evidence.
    (c) Custody of the person arrested should be transferred to other 
Federal law enforcement personnel (e.g., United States Marshals or FBI 
agents) or to local law enforcement agency personnel, as appropriate, as 
soon as possible, in order to ensure the person is brought before a 
magistrate without unnecessary delay.

[57 FR 4926, Feb. 11, 1992, as amended at 78 FR 5125, Jan. 24, 2013]

[[Page 25]]



Sec.  1203b.105  Use of non-deadly physical force when making an arrest.

    When a security force personnel has the right to make an arrest, as 
discussed in Sec.  1203b.103, the officer may use only that non-deadly 
physical force which is reasonable and necessary to apprehend and arrest 
the offender; to prevent the escape of the offender; or to defend 
himself/herself or a third person from what the security force officer 
reasonably believes to be the use or threat of imminent use of non-
deadly physical force by the offender. Verbal abuse alone by the 
offender cannot be the basis under any circumstances for use of non-
deadly physical force by a security force officer.

[57 FR 4926, Feb. 11, 1992, as amended at 78 FR 5125, Jan. 24, 2013]



Sec.  1203b.106  Use of deadly force.

    NASA security force personnel may use deadly force only when 
necessary, that is, when the officer has a reasonable belief that the 
subject of such force poses an imminent danger of death or serious 
physical injury to the officer or to another person.
    (a) Deadly force may not be used solely to prevent the escape of a 
fleeing suspect.
    (b) Firearms may not be fired solely to disable moving vehicles.
    (c) If feasible and if to do so would not increase the danger to the 
officer or others, a verbal warning to submit to the authority of the 
officer shall be given prior to the use of deadly force.
    (d) Warning shots are not permitted outside of the prison context.
    (e) Officers will be trained in alternative methods and tactics for 
handling resisting subjects which must be used when the use of deadly 
force is not authorized by this policy.

[78 FR 5125, Jan. 24, 2013]



Sec.  1203b.107  Use of firearms.

    (a) If it becomes necessary to use a firearm in any of the 
circumstances described in Sec.  1203b.106, NASA security force 
personnel shall comply with the following precautions whenever possible:
    (1) Give an order to halt or desist before firing.
    (2) Do not fire if shots are likely to harm innocent bystanders.
    (3) Shoot to stop.
    (b) Warning shots are not authorized.
    (c) In the event that a security force personnel discharges a weapon 
while in a duty status:
    (1) The incident shall be reported to the Center Chief of Security 
who, in turn, will report it to the NASA Assistant Administrator for 
Protective Services as expeditiously as possible, with as many details 
supplied as are available.
    (2) The officer shall be promptly suspended from duty with pay or 
reassigned to other duties not involving the use of a firearm, as the 
Center Director or the Assistant Administrator for Protective Services 
deems appropriate, pending investigation of the incident.
    (3) The cognizant Center Director, or for incidents occurring at 
NASA Headquarters, the Executive Director for Headquarters Operations, 
shall appoint an investigating officer to conduct a thorough 
investigation of the incident. Additional personnel may also be 
appointed, as needed to assist the investigating officer. Upon 
conclusion of the investigation, the investigating officer shall submit 
a written report of findings and recommendations to the appropriate 
Installation Director or the Assistant Administrator for Protective 
Services.
    (4) Upon conclusion of the investigation, the Center Director or the 
Assistant Administrator for Protective Services, with the advice of 
Counsel, shall determine the disposition appropriate to the case.
    (d) Firearms will be periodically inspected and kept in good working 
order by a qualified gunsmith. Ammunition, holsters, and related 
equipment will be periodically inspected for deterioration and kept in 
good working order. Firearms and ammunition will be securely stored 
separately in locked containers. Firearms will not be stored in a loaded 
condition. Neither firearms nor ammunition will be stored in the same 
containers as money, drugs, precious materials, or classified 
information. NASA Headquarters and each Installation shall adopt 
procedures for the maintenance of records with respect to

[[Page 26]]

the issuance of firearms and ammunition.

[57 FR 4926, Feb. 11, 1992, as amended at 58 FR 5263, Jan. 21, 1993; 78 
FR 5125, Jan. 24, 2013]



Sec.  1203b.108  Management oversight.

    (a) The Administrator shall establish a committee to exercise 
management oversight over the implementation of arrest authority.
    (b) The Administrator shall establish a reporting requirement for 
NASA Headquarters and NASA Centers.
    (c) The Assistant Administrator for Protective Services, or 
designee, will ensure that all persons who are authorized to exercise 
arrest authority will, before performing these duties:
    (1) Receive instructions on regulations regarding the use of force, 
including deadly force; and
    (2) Demonstrate requisite knowledge and skill in the use of unarmed 
defense techniques and their assigned firearms.
    (d) The Associate Assistant Administrator for Protective Services, 
or designee, will also:
    (1) Ensure periodic refresher training to maintain continued 
proficiency and current knowledge of unarmed defense techniques;
    (2) Require security force personnel exercising arrest authority to 
requalify semiannually with their assigned firearms; and
    (3) Require periodic refresher training to ensure continued 
familiarity with regulations.
    (e) The Executive Director for Headquarters Operations, and Center 
Directors shall issue local policies and procedural requirements, 
subject to prior NASA Headquarters approval, which will supplement this 
regulation for NASA Headquarters or NASA Center-specific concerns.

[57 FR 4926, Feb. 11, 1992, as amended at 58 FR 5263, Jan. 21, 1993; 78 
FR 5125, Jan. 24, 2013]



Sec.  1203b.109  Disclaimer.

    These regulations are set forth solely for the purpose of internal 
National Aeronautics and Space Administration guidance. They are not 
intended to, and may not be relied upon to create any rights, 
substantive or procedural, enforceable at law by any party in any 
matter, civil or criminal, and they do not place any limitations on 
otherwise lawful activities of security force personnel or the National 
Aeronautics and Space Administration.

[57 FR 4926, Feb. 11, 1992, as amended at 58 FR 5263, Jan. 21, 1993; 78 
FR 5125, Jan. 24, 2013]



PART 1204_ADMINISTRATIVE AUTHORITY AND POLICY--Table of Contents



Subparts 1-3 [Reserved]

                     Subpart 4_Small Business Policy

Sec.
1204.400 Scope of subpart.
1204.401 Policy.
1204.402 Responsibilities.
1204.403 General policy.

                 Subpart 5_Delegations and Designations

1204.500 Scope of subpart.
1204.501 Delegation of authority--to take actions in real estate and 
          related matters.
1204.502 [Reserved]
1204.503 Delegation of authority to grant easements.
1204.504 Delegation of authority to grant leaseholds, permits, and 
          licenses in real property.
1204.505 Delegation of authority to execute certificates of full faith 
          and credit.
1204.506-1204.507 [Reserved]
1204.508 Delegation of authority of certain civil rights functions to 
          Department of Education.
1204.509 Delegation of authority to take action regarding ``liquidated 
          damage'' assessments under the Contract Work Hours and Safety 
          Standards Act, and associated labor statutes.

Subparts 6-9 [Reserved]

     Subpart 10_Inspection of Persons and Personal Effects at NASA 
Installations or on NASA Property; Trespass or Unauthorized Introduction 
                    of Weapons or Dangerous Materials

1204.1000 Scope of subpart.
1204.1001 Policy.
1204.1002 Responsibility.
1204.1003 Procedures.
1204.1004 Trespass.
1204.1005 Unauthorized introduction of firearms or weapons, explosives, 
          or other dangerous materials.
1204.1006 Violations.

[[Page 27]]

    Subpart 11_Enforcing Traffic Laws at NASA Centers and Component 
                               Facilities

1204.1100 Scope of subpart.
1204.1101 Policy.
1204.1102 Responsibilities.
1204.1103 Procedures.
1204.1104 Violations.

Subparts 12-13 [Reserved]

Subpart 14_Use of NASA Airfield Facilities by Aircraft Not Operated for 
                  the Benefit of the Federal Government

1204.1400 Scope.
1204.1401 Definitions.
1204.1402 Policy.
1204.1403 Available airport facilities.
1204.1404 Requests for use of NASA airfield facilities.
1204.1405 Approving authority.
1204.1406 Procedures in the event of a declared in-flight emergency.
1204.1407 Procedure in the event of an unauthorized use.

 Subpart 15_Intergovernmental Review of National Aeronautics and Space 
                 Administration Programs and Activities

1204.1501 Purpose.
1204.1502 Definitions.
1204.1503 Programs and activities subject to these regulations.
1204.1504 [Reserved]
1204.1505 Federal interagency coordination.
1204.1506 Procedures for selecting programs and activities under these 
          regulations.
1204.1507 Communicating with State and local officials concerning the 
          Agency's programs and activities.
1204.1508 Time limitations for receiving comments on proposed direct 
          Federal development.
1204.1509 Receiving and responding to comments.
1204.1510 Efforts to accommodate intergovernmental concerns.
1204.1511 Coordination in interstate situations.
1204.1512 [Reserved]
1204.1513 Waivers of provisions of these regulations.

 Subpart 16_Temporary Duty Travel_Issuance of Motor Vehicle for Home-to-
                           Work Transportation

1204.1600 Issuance of motor vehicle for home-to-work.

Appendix A to Part 1204--Items To Cover in Memoranda of Agreement

Subparts 1-3 [Reserved]



                     Subpart 4_Small Business Policy

    Authority: 42 U.S.C. 2473(c)(5); 42 U.S.C. 2473b; Public Law 101-
507, the VA/HUD/Indep. Agencies Appropriation Act for FY 1991, at 104 
Stat. 1380 (Nov. 5, 1990); and 15 U.S.C. 631-650.

    Source: 58 FR 43554, Aug. 17, 1993, unless otherwise noted.



Sec.  1204.400  Scope of subpart.

    This subpart establishes NASA's small business policy and outlines 
the delegation of authority in implementing this policy as required by 
Federal law.



Sec.  1204.401  Policy.

    (a) It is NASA's policy to enable small businesses (including small 
disadvantaged businesses, small women-owned businesses, HUBZone small 
businesses, veteran-owned small businesses and service disabled veteran-
owned small businesses), historically black colleges and universities, 
and other minority educational institutions the opportunity to 
participate equitably and proportionately in its total purchases and 
contracts that are consistent with the Agency's needs to execute its 
mission.
    (b) In carrying out the NASA procurement program, the primary 
consideration shall be that of securing contract performance, including 
obtaining deliveries of required items or services at the time, in the 
quantity and of the quality prescribed. In the area of research and 
development (R&D) contracts, the general policy of NASA is to award such 
contracts to those organizations determined by responsible personnel to 
have a high degree of competence in the specific branch of science or 
technology required for the successful conduct of the work. It is in the 
interest of the civilian space program that the number of firms engaged 
inR&D, work for NASA be expanded and that there be an increase in the 
extent of participation in such work by competent small business firms.

[58 FR 43554, Aug. 17, 1993, as amended at 78 FR 77353, Dec. 23, 2013]

[[Page 28]]



Sec.  1204.402  Responsibilities.

    (a) Office of Small Business Programs (OSBP). The Associate 
Administrator for Small Business Programs, NASA Headquarters, is 
responsible for the activities described in NASA Policy Directive 
1000.3, The NASA Organization. The Associate Administrator is also 
responsible for representing NASA before other Government agencies on 
matters primarily affecting small businesses.
    (b) NASA Headquarters and NASA Centers. Center Directors (including 
the Executive Director for the NASA Shared Services Center and the 
Director for the NASA Management Office, but excluding the Director for 
the Jet Propulsion Laboratory) along with the Associate Administrator 
for the Office of Small Business Programs shall nominate a qualified 
individual in their contracting office as a small business specialist to 
provide a central point of contact to which small business concerns may 
direct inquiries concerning small business matters and participation in 
NASA acquisitions. When a Center Director determines that the volume of 
acquisitions or the functions relating to acquisitions at the Center do 
not warrant a full-time small business specialist, these duties may be 
assigned to procurement personnel on a part-time basis, with the 
concurrence of the Associate Administrator for the Office of Small 
Business Programs. NASA Centers shall establish and maintain liaison 
with the Small Business Administration (SBA) Procurement Center 
Representative (PCR) or the appropriate SBA Regional Office in matters 
relating to NASA Center procurement activities. Small Business 
Specialists shall perform the duties delineated in NASA FAR Supplement 
1819.201(e)(ii). The Associate Administrator for Small Business Programs 
shall assign a Small Business Technical Advisor to each contracting 
activity within the Agency to which the SBA has assigned a PCR, pursuant 
to FAR 19.201(d)(8).

[78 FR 77353, Dec. 23, 2013]



Sec.  1204.403  General policy.

    NASA's general policy for small business programs is described in 48 
CFR part 1819, Small Business Programs; 48 CFR part 1852, Solicitation 
Provisions and Contract; and NASA Policy Directive 5000.2C, Small 
Business Subcontracting Goals (http://nodis3.gsfc.nasa.gov/
displayDir.cfm?t=NPD&c=5000&s=2).

[78 FR 77353, Dec. 23, 2013]



                 Subpart 5_Delegations and Designations

    Authority: 51 U.S.C. 20113.



Sec.  1204.500  Scope of subpart.

    This subpart establishes various delegations of authority to, and 
designations of, National Aeronautics and Space Administration officials 
and other Government officials acting on behalf of the agency to carry 
out prescribed functions of the National Aeronautics and Space 
Administration.

[30 FR 3378, Mar. 13, 1965]



Sec.  1204.501  Delegation of authority--to take actions in real 
estate and related matters.

    (a) Delegation of authority. The Assistant Administrator for 
Strategic Infrastructure and the Director, Integrated Asset Management 
Division, are delegated authority, in accordance with applicable laws 
and regulations, and subject to conditions imposed by immediate 
superiors, to:
    (1) Prescribe agency real estate policies, procedures, and 
regulations;
    (2) Enter into and take other actions including, but not limited to, 
the following;
    (i) Acquire (by purchase, lease, condemnation, or otherwise) fee and 
lesser interests in real property and, in the case of acquisition by 
condemnation, to sign declarations of taking.
    (ii) Use, with their consent, the facilities of Federal and other 
agencies with or without reimbursement.
    (iii) Determine entitlement to and quantum of, financial 
compensation under, and otherwise exercise the authority contained in 
the Uniform Relocation Assistance and Real Property Acquisition Policies 
Act of 1970, as amended (42 U.S.C. 4601), and regulations in 
implementation thereof.
    (iv) Grant easements, leaseholds, licenses, permits, or other 
interests

[[Page 29]]

(wherever located) controlled by NASA.
    (v) Grant the use of NASA-controlled real property and approve the 
acquisition and use of nongovernment owned real property for any NASA-
related, nonappropriated fund activity purpose with the concurrence of 
the NASA Comptroller.
    (vi) Sell and otherwise dispose of real property in accordance with 
the provisions of the Federal Property and Administrative Services Act 
of 1949, as amended (40 U.S.C. 471, et seq).
    (vii) Exercise control over the acquisition, utilization, and 
disposal of movable/relocatable structures including prefabricated 
buildings, commercial packaged accommodations, trailers, and other like 
items used as facility substitutes.
    (viii) Request other government agencies to act as real estate agent 
for NASA.
    (ix) Authorize other NASA officials to take specific implementing 
action with regard to any real property transaction included in the 
scope of authority delegated in paragraph (a)(2) of this section.
    (b) Redelegation. (1) The authority delegated in paragraph (a)(1) of 
this section may not be redelegated.
    (2) The authority delegated in paragraph (a)(2) of this section may 
be redelegated with power of further redelegation.
    (c) Reporting. The officials to whom authority is delegated in this 
section shall ensure that feedback is provided to keep the Administrator 
fully and currently informed of significant actions, problems, or other 
matters of substance related to the exercise of the authority delegated 
hereunder.

[51 FR 26862, July 28, 1986, as amended at 56 FR 57592, Nov. 13, 1991; 
79 FR 11319, Feb. 28, 2014]



Sec.  1204.502  [Reserved]



Sec.  1204.503  Delegation of authority to grant easements.

    (a) Scope. 40 U.S.C. 319 to 319C authorizes executive agencies to 
grant, under certain conditions, the easements as the head of the agency 
determines will not be adverse to the interests of the United States and 
subject to the provisions as the head of the agency deems necessary to 
protect the interests of the United States.
    (b) Delegation of authority. The Assistant Administrator for 
Strategic Infrastructure and the Director, Integrated Asset Management 
Division, are delegated authority to take actions in connection with the 
granting of easements.
    (c) Definitions. The following definitions will apply:
    (1) State means the States of the Union, the District of Columbia, 
the Commonwealth of Puerto Rico, and the possessions of the United 
States.
    (2) Person includes any corporation, partnership, firm, association, 
trust, estate, or other entity.
    (d) Determination. It is hereby determined that grants of easements 
made in accordance with the provisions of this section will not be 
adverse to the interests of the United States.
    (e) Redelegation. (1) NASA Center Directors with respect to real 
property under their supervision and management may, subject to the 
restrictions in paragraph (f) of this section, exercise the authority of 
the National Aeronautics and Space Act of 1958, as amended, and 40 
U.S.C. 319 to 319C to authorize or grant easements in, over, or upon 
real property of the United States controlled by NASA as will not be 
adverse to the interests of the United States.
    (2) NASA Center Directors may redelegate this authority to only two 
senior management officials of the appropriate Center.
    (f) Restrictions. Except as otherwise specifically provided, no such 
easement shall be authorized or granted under the authority stated in 
paragraph (e) of this section unless:
    (1) The appropriate Center Director determines:
    (i) That the interest in real property to be conveyed is not 
required for a NASA program.
    (ii) That the grantee's exercise of rights under the easement will 
not interfere with NASA operations.
    (2) Monetary or other benefit, including any interest in real 
property, is received by the government as consideration for the 
granting of the easement.

[[Page 30]]

    (3) The instrument granting the easement provides:
    (i) For the termination of the easement, in whole or in part, and 
without cost to the government, if there has been:
    (A) A failure to comply with any term or condition of the grant;
    (B) A nonuse of the easement for a consecutive 2-year period for the 
purpose for which granted; or
    (C) An abandonment of the easement; or
    (D) A determination by the Assistant Administrator for Strategic 
Infrastructure, the Director, Integrated Asset Management Division, or 
the appropriate Center Director that the interests of the national space 
program, the national defense, or the public welfare require the 
termination of the easement; and a 30-day notice, in writing, to the 
grantee that the determination has been made.
    (ii) That written notice of the termination shall be given to the 
grantee, or its successors or assigns, by the Assistant Administrator 
for Strategic Infrastructure , the Director, Integrated Asset Management 
Division, or the appropriate Center Director, and that termination shall 
be effective as of the date of the notice.
    (iii) For any other reservations, exceptions, limitations, benefits, 
burdens, terms, or conditions necessary to protect the interests of the 
United States.
    (g) Waivers. If, in connection with a proposed granting of an 
easement, the Center Director determines that a waiver from any of the 
restrictions in paragraph (f) of this section is appropriate, authority 
for the waiver may be requested from the Assistant Administrator for 
Strategic Infrastructure or the Director, Integrated Asset Management 
Division.
    (h) Services of the Corps of Engineers. In exercising the authority 
herein granted, the Center Directors, under the applicable provisions of 
any cooperative agreement between NASA and the Corps of Engineers (in 
effect at that time), may:
    (1) Utilize the services of the Corps of Engineers, U.S. Army.
    (2) Delegate authority to the Corps of Engineers to execute, on 
behalf of NASA, grants of easements in real property, as authorized in 
this section, provided that the conditions set forth in paragraphs (f) 
and (g) of this section are complied with.
    (i) Distribution of documents. One copy of each document granting an 
easement interest under this authority, including instruments executed 
by the Corps of Engineers, will be forwarded for filing in the Central 
Depository for Real Property Documents to: National Aeronautics and 
Space Administration, Office of Strategic Infrastructure, Integrated 
Asset Management Division, Washington, DC 20546.

[51 FR 26860, July 28, 1986, as amended at 56 FR 57592, Nov. 13, 1991; 
79 FR 11319, Feb. 28, 2014]



Sec.  1204.504  Delegation of authority to grant leaseholds, permits,
and licenses in real property.

    (a) Delegation of authority. The National Aeronautics and Space Act 
of 1958, as amended, authorizes NASA to grant leaseholds, permits, and 
licenses in real property. This authority is delegated to the Assistant 
Administrator for Strategic Infrastructure and the Director, Facilities 
Engineering and Real Property Division.
    (b) Definition. Real Property means land, buildings, other 
structures and improvements, appurtenances, and fixtures located 
thereon.
    (c) Determination. It is hereby determined that grants of 
leaseholds, permits, or licenses made in accordance with the provisions 
of this section will not be adverse to the interests of the United 
States.
    (d) Redelegation. (1) Center Directors with respect to real property 
under their supervision and management may, subject to the restrictions 
in paragraph (e) of this section, grant a leasehold, permit, or license 
to any person or organization, including other Government agencies, a 
State, or political subdivision or agency thereof. This authority may 
not be exercised with respect to real property which is proposed for use 
by a NASA exchange and subject to the provisions of NASA Policy 
Directive 9050.6, NASA Exchange and Morale Support Activities.

[[Page 31]]

    (2) Center Directors may redelegate this authority to only two 
senior management officials of the NASA Center concerned.
    (e) Restrictions. Except as otherwise specifically provided, no 
leasehold, permit, or license shall be granted under the authority 
stated in paragraph (d) of this section unless:
    (1) The Director of the Center Director concerned determines:
    (i) That the interest to be granted is not required for a NASA 
program.
    (ii) That the grantee's exercise of rights granted will not 
interfere with NASA operations.
    (2) Fair value in money is received by NASA on behalf of the 
Government as consideration.
    (3) The instrument provides:
    (i) For a term not to exceed 5 years.
    (ii) For the termination thereof, in whole or in part, and without 
cost to the Government if there has been:
    (A) A failure to comply with any term or condition of the grant; or
    (B) A determination by the Assistant Administrator for Strategic 
Infrastructure, the Director, Integrated Asset Management Division, or 
the Center Director concerned that the interests of the national space 
program, the national defense, or the public welfare require the 
termination of the interest granted; and a 30-day notice, in writing, to 
the grantee that such determination has been made.
    (iii) That written notice of termination shall be given to the 
grantee, or its successors or assigns, by the Assistant Administrator 
for Strategic Infrastructure, the Director, Integrated Asset Management 
Division, or the Center Director concerned, and that termination shall 
be effective as of the date specified by such notice.
    (iv) For any other reservations, exceptions, limitations, benefits, 
burdens, terms, or conditions necessary to protect the interests of the 
United States.
    (f) Waivers. If, in connection with a proposed grant, the Center 
Director determines that a waiver from any of the restrictions set forth 
in paragraph (e) of this section is appropriate, a request may be 
submitted to the Associate Administrator for Strategic Infrastructure or 
the Director, Integrated Asset Management Division.
    (g) Services of the Corps of Engineers. In exercising the authority 
herein granted, NASA Center Directors, pursuant to the applicable 
provisions of any cooperative agreement between NASA and the Corps of 
Engineers (in effect at the time), may:
    (1) Utilize the services of the Corps of Engineers, U.S. Army.
    (2) Delegate authority to the Corps of Engineers to execute, on 
behalf of NASA, any grants of interests in real property as authorized 
in this section provided that the conditions set forth in paragraphs (e) 
and (f) of this section are complied with.
    (h) Distribution of Documents. One copy of each document granting an 
interest in real property, including instruments executed by the Corps 
of Engineers, will be forwarded for filing in the Central Depository for 
Real Property Documents to: National Aeronautics and Space 
Administration, Office of Strategic Infrastructure, Washington, DC 
20546.

[51 FR 27528, Aug. 1, 1986, as amended at 56 FR 57592, Nov. 13, 1991; 79 
FR 11319, Feb. 28, 2014]



Sec.  1204.505  Delegation of authority to execute certificates of 
full faith and credit.

    (a) Scope. This section designates NASA officials authorized to 
certify NASA documents to be submitted in evidence in Federal Courts.
    (b) Delegation of authority. The following NASA Headquarters 
officials are delegated authority to execute certificates of full faith 
and credit certifying the signatures and authority of employees of the 
National Aeronautics and Space Administration, whenever such 
certification is required to authenticate copies of official records for 
possible admission in evidence in judicial proceedings pursuant to 28 
U.S.C. 1733 or any other statute:
    (1) General Counsel;
    (2) Deputy General Counsel;
    (3) [Reserved]
    (4) Assistant General Counsels.

[29 FR 6319, May 14, 1964, as amended at 39 FR 25229, July 9, 1974; 43 
FR 34122, Aug. 3, 1978; 79 FR 11320, Feb. 28, 2014]

[[Page 32]]



Sec. Sec.  1204.506-1204.507  [Reserved]



Sec.  1204.508  Delegation of authority of certain civil rights
functions to Department of Education.

    It is the National Aeronautics and Space Administration's (NASA) 
policy to comply with the Civil Rights Act of 1964 (Pub. L. 88-352) that 
prohibits discrimination in a host of areas, including employment and 
Federally-assisted programs and activities. To implement the provisions 
of this Act, NASA promulgated the following internal policies and 
requirements, and entered into a memorandum of understanding (MOU) with 
the Department of Education to ensure compliance:
    (a) NASA Policy Directive (NPD) 2081.1, Nondiscrimination in 
Federally Assisted and Conducted Programs of NASA, describes the 
Agency's policy to ensure nondiscrimination in Federally-assisted and 
conducted programs of NASA, nondiscrimination in Federally-conducted 
education and training programs, and access for individuals with 
disabilities to Federal electronic and information technology. NPD 
2081.1 is accessible at http://nodis3.gsfc.nasa.gov/;
    (b) NASA Procedural Requirements (NPR) 2081.1, Nondiscrimination in 
Federally Assisted and Conducted Programs, describes the requirements 
for processing complaints of discrimination, conducting civil rights 
compliance reviews, and internal functional equal opportunity reviews. 
NPR 2081.1 is accessible at http://nodis3.gsfc.nasa.gov/; and
    (c) Memorandum of Understanding between NASA and the Department of 
Education delegates both the agencies as responsible for specific civil 
rights compliance duties with respect to elementary and secondary 
schools, and institutions of higher education. The MOU can be accessed 
at http://odeo.hq.nasa.gov/documents/DOEd-NASA_MOU.pdf.

[78 FR 76058, Dec. 16, 2013]



Sec.  1204.509  Delegation of authority to take action regarding
``liquidated damage'' assessments under the Contract Work Hours and
Safety Standards Act, and associated labor statutes.

    (a) Delegation of authority. The Assistant Administrator, Office of 
Strategic Infrastructure, is hereby delegated the authority to act for 
the Administrator in all matters where the ``Agency Head'' is authorized 
to act under 29 CFR part 5, labor standards provisions applicable to 
contracts covering federally financed and assisted construction and 
labor standards provisions applicable to nonconstruction contracts as 
they are subject to the Contract Work Hours and Safety Standards Act, in 
regards to the assessment of liquidated damages.
    (b) Redelegation. None authorized except by virtue of succession.
    (c) Reporting. The official to whom authority is delegated in this 
regulation will assure that feedback is provided to keep the 
Administrator informed of significant actions, problems, or other 
matters of substance related to the exercise of the authority delegated 
hereunder.

[52 FR 35538, Sept. 22, 1987, as amended at 79 FR 11320, Feb. 28, 2014]

Subparts 6-9 [Reserved]



     Subpart 10_Inspection of Persons and Personal Effects at NASA 
Installations or on NASA Property; Trespass or Unauthorized Introduction 
                    of Weapons or Dangerous Materials

    Authority: The National and Commercial Space Program (51 U.S.C.). 
Sections 20132 and 20133 et seq.

    Source: 65 FR 47663, Aug. 3, 2000, unless otherwise noted.



Sec.  1204.1000  Scope of subpart.

    This subpart establishes NASA policy and prescribes baseline, 
procedures concerning the inspection of persons and property in their 
possession while entering, or on, or exiting NASA real property or 
facilities (including NASA

[[Page 33]]

Headquarters, NASA Centers, or Component Facilities). In addition, it 
proscribes unauthorized entry or the unauthorized introduction of 
weapons or other dangerous instruments or materials at any NASA 
facility.

[65 FR 47663, Aug. 3, 2000, as amended at 78 FR 5125, Jan. 24, 2013]



Sec.  1204.1001  Policy.

    (a) In the interest of national security, NASA will provide 
appropriate and adequate protection or security for personnel, property, 
facilities (including NASA Headquarters, NASA Centers, and Component 
Facilities), and information in its possession or custody. In 
furtherance of this policy, NASA reserves the right to conduct an 
inspection of any person, including any property in the person's 
possession or control, as a condition of admission to, continued 
presence on, or exiting any NASA facility.
    (b) This policy is intended to comply with the heightened security 
measures for facilities owned or occupied by Federal agencies (in this 
case NASA), to mitigate threats to such facilities and to better protect 
the persons and property thereon.

[65 FR 47663, Aug. 3, 2000, as amended at 78 FR 5126, Jan. 24, 2013]



Sec.  1204.1002  Responsibility.

    The NASA Center Directors and the Executive Director for 
Headquarters Operations are responsible for implementing the provisions 
of this subpart. In implementing this subpart, these officials will 
coordinate their action with appropriate officials of other affected 
agencies.

[65 FR 47663, Aug. 3, 2000, as amended at 78 FR 5126, Jan. 24, 2013]



Sec.  1204.1003  Procedures.

    (a) All entrances to NASA real property or facilities (including 
NASA Headquarters, NASA Centers, or Component Facilities) will be 
conspicuously posted with the following notices:
    (1) CONSENT TO INSPECTION: YOUR ENTRY INTO, CONTINUED PRESENCE ON, 
OR EXIT FROM THIS FACILITY IS CONTINGENT UPON YOUR CONSENT TO INSPECTION 
OF PERSON AND PROPERTY.
    (2) UNAUTHORIZED INTRODUCTION OF WEAPONS OR DANGEROUS MATERIALS IS 
PROHIBITED UNLESS SPECIFICALLY AUTHORIZED BY NASA. YOU MAY NOT CARRY, 
TRANSPORT, INTRODUCE, STORE, OR USE FIREARMS OR OTHER DANGEROUS WEAPONS, 
EXPLOSIVES OR OTHER INCENDIARY DEVICES, OR OTHER DANGEROUS INSTRUMENT OR 
MATERIAL LIKELY TO PRODUCE SUBSTANTIAL INJURY OR DAMAGE TO PERSONS OR 
PROPERTY UNLESS AUTHORIZED BY NASA.
    (b) Only NASA security personnel or members of the facility's 
uniformed security force will conduct inspections pursuant to this 
subpart. Such inspections will be conducted in accordance with 
guidelines established by the Assistant Administrator for Protective 
Services , NASA Headquarters.
    (c) If an individual does not consent to an inspection, it will not 
be conducted, but the individual will be denied entry to, or be escorted 
off the facililty.
    (d) If, during an inspection, an individual is found to be in 
unauthorized possession of items believed to represent a threat to the 
safety or security of the facility, the individual will be denied entry 
to or be escorted off the facility, and appropriate law enforcement 
authorities will be notified immediately.
    (e) If, during an inspection conducted pursuant to this subpart, an 
individual is in possession of U.S. Government property without proper 
authorization, that person will be required to relinquish the property 
to the security representative pending proper authorization for the 
possession of the property or its removal from the facility. The 
individual relinquishing the property will be provided with a receipt 
for the property.

[65 FR 47663, Aug. 3, 2000, as amended at 78 FR 5126, Jan. 24, 2013]



Sec.  1204.1004  Trespass.

    Unauthorized entry upon any NASA real property or facility is 
prohibited.

[65 FR 47663, Aug. 3, 2000, as amended at 78 FR 5126, Jan. 24, 2013]

[[Page 34]]



Sec.  1204.1005  Unauthorized introduction of firearms or weapons,
explosives, or other dangerous materials.

    (a) Refer to the notice in Sec.  1204.1003, paragraph (a)(2), for a 
description of the consequences for unauthorized introduction of 
firearms or weapons, explosives, or other dangerous materials.
    (b)Sec.  1204.1003, paragraph (a)(2) shall not apply to:
    (1) The lawful performance of official duties by an officer, agent, 
or employee of the United States, a State, or a political subdivision 
thereof, or NASA contractor, who is authorized to carry firearms or 
other material covered by paragraph (a) of this section.
    (2) The lawful carrying of firearms or other dangerous weapons at or 
on a NASA facility after written prior approval has been obtained from 
the facility Security Office in connection with sanctioned hunting, 
range practice, or other lawful purpose.

[65 FR 47663, Aug. 3, 2000, as amended at 78 FR 5126, Jan. 24, 2013]



Sec.  1204.1006  Violations.

    Anyone violating these regulations may be cited for violating Title 
18 of the United States Code (U.S.C.) Section 799, which states that 
whoever willfully shall violate, attempt to violate, or conspire to 
violate any regulation or order promulgated by the Administrator of the 
National Aeronautics and Space Administration for the protection or 
security of any laboratory, station, base or other facility, or part 
thereof, or any aircraft, missile, spacecraft, or similar vehicle, or 
part thereof, or other property or equipment in the custody of the 
Administration [NASA], or any real or personal property or equipment in 
the custody of any contractor under any contract with the Administration 
or any subcontractor of any such contractor, shall be fined under this 
title [Title 18], or imprisoned not more than one year, or both.

[65 FR 47663, Aug. 3, 2000, as amended at 78 FR 5126, Jan. 24, 2013]



    Subpart 11_Enforcing Traffic Laws at NASA Centers and Component 
                               Facilities

    Authority: The National and Commercial Space Program, 51 U.S.C. 
20132 and 20133; 5 U.S.C. 301, and 18 U.S.C. 799.

    Source: 79 FR 54903, Sept. 15, 2014, unless otherwise noted.



Sec.  1204.1100  Scope of subpart.

    This subpart establishes policies pursuant to the requirements of 
National and Commercial Space Programs (51 U.S.C.) authorizing the NASA 
Administrator to establish such security requirements, restrictions, and 
safeguards as he deems necessary in the interest of national security, 
under 5 U.S.C. 301, and 18 U.S.C. 799, providing for the imposition of 
fines and imprisonment for violating NASA regulations for the protection 
and security of NASA assets or assets that are in NASA's custody. The 
provisions of this subpart apply to all NASA installations, including 
NASA Headquarters, NASA Centers, and component facilities. NASA 
installations refers to all NASA-owned, controlled, or leased property, 
with exclusive or concurrent Federal jurisdiction, including non-
contiguous or unfenced areas and including areas otherwise open to the 
public at large. These provisions are also applicable to all persons who 
are in or on a NASA installation over which the United States exercises 
exclusive or concurrent legislative jurisdiction.

[80 FR 70152, Nov .13, 2015]



Sec.  1204.1101  Policy.

    (a) It is NASA policy that an effective, standardized, and 
comprehensive traffic safety program be established and maintained at 
all NASA Centers, and component facilities, as prescribed in NASA 
Procedural Requirement (NPR) 8715.C, NASA General Safety Program 
Requirements. A traffic safety program is essential for the protection 
and security of NASA laboratories, stations, bases, or other facilities 
of NASA's aircraft, missiles, spacecraft, or similar vehicles or part 
thereof and of NASA's real and personal property, including property in 
the

[[Page 35]]

custody of NASA contractors and subcontractors.
    (b) To ensure a safe and secure workplace and to provide better for 
preservation of life and property, all persons on or in a NASA 
installation or component facility shall comply with the vehicular and 
pedestrian traffic requirements of the installation per this Subpart.
    (c) Vehicular and pedestrian traffic. The following requirements 
apply to the drivers or all vehicles on or in NASA-owned, controlled, or 
leased property:
    (1) A driver shall be in possession of a current and valid state- or 
territory-issued driver's license and vehicle registration, and the 
vehicle shall display all current and valid tags and licenses required 
by the jurisdiction in which it is registered.
    (2) A driver who has had his or her privilege or license to drive 
suspended or revoked by any state or territory shall not drive any 
vehicle in or on such property during such period of suspension or 
revocation.
    (3) Drivers shall drive in a careful and safe manner at all times 
and shall comply with the signals and directions of security personnel 
and other authorized individuals; all posted traffic signs, including 
speed limits; and all rules implemented under section 1204.1102.
    (4) Drivers shall not block entrances, driveways, walks, loading 
platforms, or fire hydrants.
    (5) Drivers shall not park without authority, park in unauthorized 
locations or in locations reserved for other persons, park continuously 
in excess of 18 hours without permission, or park in any manner contrary 
to the direction of posted signs.
    (d) A copy of this subpart shall be posted in an appropriate place 
at each NASA Center or component facility.

[80 FR 70152, Nov. 13, 2015]



Sec.  1204.1102  Responsibilities.

    (a) Consistent with this subpart and applicable statutes, Center 
Directors of NASA installations and the Executive Director for 
Headquarters Operations, over which the United States has exclusive or 
concurrent legislative jurisdiction, are delegated the authority to 
establish specific vehicular and pedestrian traffic rules and 
regulations for their installations; to specify maximum punishments for 
violating such rules and regulations; and to issue citations, including 
District Court Violation Notices to persons who violate such rules and 
regulations.
    (b) All persons on a NASA Center or component facility are 
responsible for compliance with locally established vehicular and 
pedestrian traffic rules and regulations.

[79 FR 54903, Sept. 15, 2014, as amended at 80 FR 70152, Nov. 13, 2015]



Sec.  1204.1103  Procedures.

    The Center Directors and the Executive Director for Headquarters 
Operations shall issue local policies and procedural requirements, which 
will implement this regulation for their respective NASA Centers and 
component facilities.

[80 FR 70152, Nov. 13, 2015]



Sec.  1204.1104  Violations.

    As authorized by and consistent with 18 U.S.C. 799, local policies 
and procedural requirements issued under section 1204.1103 may provide 
for punishments for offenses, which shall be classified in accordance 
with 18 U.S.C. 3559(a)(6)-(9). A person found in violation, in or on a 
NASA installation, of any vehicular or pedestrian traffic law, or local 
installation vehicular or pedestrian traffic rule or regulation made 
applicable to the installation under the provisions of this subpart, is 
subject to punishment as provided for by the applicable local policies 
and procedural requirements that a Center Director or the Executive 
Director for Headquarters Operations has issued under section 1204.1102 
and in accordance with section 1204.1103.

[80 FR 70152, Nov. 13, 2015]

Subparts 12-13 [Reserved]



Subpart 14_Use of NASA Airfield Facilities by Aircraft Not Operated for 
                  the Benefit of the Federal Government

    Authority: 42 U.S.C. 2473(c)(1).

[[Page 36]]


    Source: 56 FR 35812, July 29, 1991, unless otherwise noted.



Sec.  1204.1400  Scope.

    This subpart establishes the responsibility and sets forth the 
conditions and procedures for the use of NASA airfield facilities by 
aircraft not operated for the benefit of the Federal Government.



Sec.  1204.1401  Definitions.

    For the purpose of this subpart, the following definitions apply:
    (a) NASA Airfield Facility. Those aeronautical facilities owned and 
operated by NASA that consist of the following:
    (1) Shuttle Landing Facility. The aeronautical facility which is a 
part of the John F. Kennedy Space Center (KSC), Kennedy Space Center, 
Florida, and is located at 80[deg]41[min] west longitude and 
28[deg]37[min] north latitude.
    (2) Wallops Airport. The aeronautical facility which is part of the 
Wallops Flight Facility (WFF), Wallops Island, VA, and is located at 
75[deg]28[min] west longitude and 37[deg]56[min] north latitude in the 
general vicinity of Chincoteague, Virginia.
    (3) Moffett Federal Airfield (MFA). The aeronautical facility which 
is part of the Ames Research Center, Moffett Field, California, and is 
located at 122[deg]03[min] west longitude and 37[deg]25[min] north 
latitude.
    (4) Crows Landing Airport. The aeronautical facility which is a part 
of the Crows Landing Flight Facility (CLEF) and is located at 
121[deg]06[min] west longitude and 37[deg]25[min] north latitude, 45 
miles east of the Ames Research Center.
    (b) Aircraft not Operated for the Benefit of the Federal Government. 
Aircraft which are not owned or leased by the United States Government 
or aircraft carrying crew members or passengers who do not have official 
business requiring the use of a NASA airfield facility in the particular 
circumstance in question.
    (c) Official Business. Business, in the interest of the U.S. 
Government, which personnel aboard an aircraft must transact with U.S. 
Government personnel or organizations at or near a NASA facility. The 
use of a NASA airfield facility by transient aircraft to petition for 
U.S. Government business or to obtain clearance, servicing, or other 
items pertaining to itinerant operations is not considered official 
business.
    (d) User. An individual partnership or corporation owning, 
operating, or using an aircraft not operated for the benefit of the 
Federal Government in whose name permission to use a NASA airfield 
facility is to be requested and granted.
    (e) Hold Harmless Agreement. An agreement executed by the user by 
which the user acknowledges awareness of the conditions of the 
permission to use a NASA airfield facility, assumes any risks connected 
therewith, and releases the U.S. Government from all liability incurred 
by the use of such facility.
    (f) Use Permit. The written permission signed by the authorized 
approving official to land, take off, and otherwise use a NASA airfield 
facility. Such use permit may be issued for single or multiple 
occasions. The specific terms of the use permit and the provisions of 
this subpart govern the use which may be made of the airport by aircraft 
not operated for the benefit for the Federal Government.
    (g) Certificate of Insurance. A certificate signed by an authorized 
insurance company representative (or a facsimile of an insurance policy) 
evidencing that insurance is then in force with respect to any aircraft 
not operated for the benefit of the Federal Government, the user of 
which is requesting permission to use a NASA airfield facility (see 
Sec.  1204.1404(b)).

[56 FR 35812, July 29, 1991, as amended at 60 FR 37567, July 21, 1995]



Sec.  1204.1402  Policy.

    (a) NASA airfields are not normally available to the general public; 
hence, any use of airfield facilities by aircraft not operated for the 
benefit of the Federal Government shall be within the sole discretion of 
the approving authorities.
    (b) Except in the event of a declared in-flight emergency (see Sec.  
1204.1406) or as otherwise determined by an approving authority, 
aircraft not operated for the benefit of the Federal Government are not 
permitted to land or otherwise use NASA airfield facilities.

[[Page 37]]

    (c) Any use of a NASA airfield facility by aircraft not operated for 
the benefit of the Federal Government shall be free of charge and no 
consideration (monetary or otherwise) shall be exacted or received by 
NASA for such use. However, each user, as a condition of receiving 
permission to use such airfield facility, shall agree to become familiar 
with the physical condition of the airfield; abide by the conditions 
placed upon such use; subject the aircraft, the user, and those 
accompanying the user to any requirements imposed by NASA in the 
interest of security and safety while the aircraft or persons are on a 
NASA facility; use the facilities entirely at the user's own risk; hold 
the Federal Government harmless with respect to any and all liabilities 
which may arise as a result of the use of the facilities; and carry 
insurance covering liability to others in amounts not less than those 
listed in the Hold Harmless Agreement.
    (d) Permission to use a NASA airfield facility will be granted only 
in accordance with the limitations and procedures established by an 
approving authority and then only when such use will not compete with 
another airport in the vicinity which imposes landing fees or other user 
charges.
    (e) In no event, except for an in-flight emergency (see Sec.  
1204.1406), will permission to use NASA airfield facilities be granted 
to an aircraft arriving directly from, or destined for, any location 
outside the continental United States unless previously arranged and 
approved by the authorized approving official.
    (f) Permission to use NASA airfields may be granted only to those 
users having the legal capacity to contract and whose aircraft are in 
full compliance with applicable Federal Aviation Administration (FAA) or 
other cognizant regulatory agency requirements.
    (g) Permission to use NASA airfields, except in connection with a 
declared in-flight emergency, will consist only of the right to land, 
park an aircraft, and subsequently take off. NASA is not equipped to 
provide any other services such as maintenance or fuel and such services 
will not be provided except following an in-flight emergency.



Sec.  1204.1403  Available airport facilities.

    The facilities available vary at each NASA Installation having an 
airfield. The airport facilities available are:
    (a) Shuttle Landing Facility--(1) Runways. Runway 15-33 is 15,000 
feet long and 300 feet wide with 1,000-foot overruns. The first 3,500 
feet at each end of the runway have been modified for smoothness. The 
center 8,000 feet of the runway is grooved for improved braking under 
wet conditions.
    (2) Parking Areas and Hangar Space. No hangar space is available. 
Limited available concrete parking ramp space makes precoordination 
necessary.
    (3) Control Tower. The control tower is normally in operation from 
0800 to 1600 local time, Monday through Friday. Additional hours of 
operation are filed with the St. Petersburg Flight Service Station 
(FSS). The tower may be contacted on 128.55 MHz or 284.0 MHz. FAA 
regulations pertaining to the operation of aircraft at airports with an 
operating control tower (Sec.  91.87 of this title) will apply. When the 
tower is not in operation, the FAA regulations pertaining to the 
operation of aircraft at airports without an operating control tower 
(Sec.  91.89 of this title) will apply.
    (4) Navigation aids. A Microwave Scanning Beam Landing System 
(MSBLS) and a Tactical Airborne Navigation System (TACAN) are installed 
at the Facility. There are two published TACAN approaches and an 
approved and published nondirectional beacon (NDB) approach available 
from Titusville. Runway approach lighting (similar to Category II ALSF-
2) and edge lights are available by prior arrangement.
    (5) Hazards. There are towers and buildings south, southeast, and 
northeast of the facility as high as 550 feet that could pose hazards to 
air navigation. All are marked with obstruction lights.
    (6) Emergency Equipment. Aircraft Rescue and Fire-fighting (ARFF) 
equipment will be provided in accordance with 14 CFR part 139.
    (b) Wallops Airport--(1) Runways. There are three hard surfaced 
runways in satisfactory condition. The runways and taxiways are concrete 
and/or asphalt. Runway 10-28 is 8,000 feet long,

[[Page 38]]

200 feet wide with maximum wheel load of 57,500 pounds; runway 04-22 is 
8,750 feet long, 150 feet wide with maximum wheel load of 57,500 pounds; 
and runway 17-35 is 4,820 feet long, 150 feet wide with maximum wheel 
load of 14,700 pounds.
    (2) Parking Areas and Hangar Space. No hangar space is available. 
However, limited concrete parking ramp space is available as directed by 
the control tower.
    (3) Control Tower. This control tower is normally in operation from 
0630 to 1830 local time, Monday through Friday, excluding Federal 
holidays. The tower may be contacted on 126.5 MHz or 394.3 MHz. When the 
tower is in operation, FAA regulations pertaining to the operation of 
aircraft at airports with an operating tower (Sec.  91.87 of this title) 
will apply. When the tower is not in operation, all aircraft operations 
will be handled by Wallops UNICOM on the tower frequency, and FAA 
regulations pertaining to the operation of aircraft at airports without 
an operating control tower (Sec.  91.89 of this title) will apply. In 
addition to Federal Aviation Regulations (FAR's) (s 91 of this title), 
Wallops requires that pilots obtain clearances from the Wallops UNICOM 
before landings, takeoffs, and taxiing. Civil aircraft operations are 
normally confined to daylight hours.
    (4) Navigation Aids. All runways, 04-22, 10-28, and 17-35 are 
lighted. Both active taxiways, parallels 04-22 and 10-28, are lighted. 
Airfield lighting is available upon request. All runway approaches are 
equipped with operating precision approach path indicator (PAPI) systems 
and are available on request. All airfield obstructions are equipped 
with red obstruction lights.
    (5) Hazards. Numerous towers in airport vicinity up to 241 feet 
above ground level. Existing tree obstructions are located 1500 feet 
west of runway 10 threshold. High shore bird population exists in the 
Wallops area. Deer occasionally venture across runways. Light-controlled 
traffic crossovers are in existence. Potential radio frequency (RF) 
hazards exist from tracking radars. Hazards involving aircraft and 
rocket launch operations exist when Restricted Area R-6604 is active.
    (6) Emergency Equipment. Aircraft rescue and fire-fighting equipment 
is normally available on a continuous basis.
    (c) Moffett Federal Airfield--(1) Runways. There are two parallel 
runways, 32-14, both in satisfactory to good condition. The runways and 
taxiways are concrete and/or asphalt. Runway 32R-14L is 9,200 feet long, 
200 feet wide; 32L-14R is 8,125 feet long, 200 feet wide with a 600 foot 
displaced threshold on 32L.
    (2) Parking areas and hangar space. Hangar space is not available; 
concrete parking ramp space is available as directed by the control 
tower.
    (3) Control tower. The control tower normally operates from 0700 to 
2300 local time, 7 days a week, excluding Federal holidays. The tower 
frequencies are 126.2 Mhz, 353.2 Mhz, and 340.2 Mhz. When the tower is 
operating, FAA regulations pertaining to the operation of aircraft at 
airports with an operating tower (Sec.  91.87 of this title) will apply. 
When the tower is not in operation, all aircraft operations will be 
conducted by Moffett UNICOM on the tower frequency. FAA regulations 
pertaining to the operation of aircraft at airports without an operating 
control tower (Sec.  91.89 of this title) will apply.
    (4) Navigation aids. An Instrument Landing System (ILS) is 
installed. An ILS/DME approach to runway 32R and an LOC/DME approach to 
runway 14L are published in DOD Flight Information Publication 
(Terminal), Low Altitude United States, Volume 2. ILS frequency is 
110.35 Mhz, identifiers are Runway 32R, I-NUQ; Runway 14L, I-MNQ; 
Tactical Airborne Navigation (TACAN) (DME) is Channel 123, identifier is 
NUQ. Precision Approach Path Indicators (PAPI) are to be installed by 
July 1, 1995, to provide visual reference for the ILS and LOC approaches 
to runways 32R and 14L. A TACAN with approved and published approaches 
is operational at the facility (identification is NUQ, Channel 123). A 
Radio Controlled Lighting System (RCLS) is operational for the runway 
lights on 32R-14L; 3 clicks within 5 seconds, low intensity; 5 clicks, 
medium intensity; 7 clicks, high intensity (tower frequency, 126.2 Mhz). 
Lights automatically extinguish after 15 minutes.
    (5) Hazards. Large blimp hangars (approximately 200 feet high) 
bracket the

[[Page 39]]

parallel runways, one on the west side, two on the east side. A freeway 
at the approach end of 32L displaces the threshold 600 feet.
    (6) Emergency equipment. Aircraft Rescue and Fire Fighting (ARFF) 
equipment is provided by the California Air National Guard continuously 
in accordance with U.S. Air Force Regulations.
    (d) Crows Landing Airport--(1) Runways. There are two concrete 
runways, 35-17 and 30-12, both in satisfactory condition. Parallel 
taxiways are asphalt overlay or concrete. Runway 35-17 is 7,950 feet 
long, 200 feet wide; runway 30-12 is 6,975 feet long, 200 feet wide.
    (2) Parking areas and hangar space. Hangars/hangar space do not 
exist; concrete parking ramp space is available as directed by the 
control tower.
    (3) Control tower. The control tower normally operates only when 
research flight is scheduled by NASA-Ames. The airfield is closed at all 
other times except as arranged by other Federal users with the Chief, 
Airfield Management Office, Moffett Federal Airfield. The tower 
frequencies are 125.05 Mhz, 126.2 Mhz, 328.1 Mhz, and 337.8 Mhz. When 
the tower is operating, FAA regulations pertaining to the operation of 
aircraft at airports with an operating tower (Sec.  91.87 of this title) 
will apply. When the tower is not operating, all aircraft operations 
will be conducted with Crows Landing UNICOM on the primary tower 
frequency. FAA regulations pertaining to the operation of aircraft at 
airports without an operating control tower (Sec.  91.89 of this title) 
will apply.
    (4) Navigation aids. Crows Landing Airport is a VFR facility. No 
certified NAVAIDS or published approach procedures exist.
    (5) Hazards. Crows Landing Airport is located in an agricultural 
area. No obstructions exist within or immediately adjacent to the 
airspace. The most persistent potential hazard is that of agricultural 
aircraft (crop dusters) without radios which transit the airspace.
    (6) Emergency equipment. Aircraft Rescue and Fire Fighting (ARFF) 
equipment and services are provided by the California Air National Guard 
only during published hours of operation.
    (e) Other facilities. No facilities or services other than those 
described above are available except on an individual emergency basis to 
any user.
    (f) Status of facilities. Changes to the status of the KSC, WFF, 
MFA, and CLFF facilities will be published in appropriate current FAA or 
DOD aeronautical publications.

[56 FR 35812, July 29, 1991, as amended at 60 FR 37568, July 21, 1995]



Sec.  1204.1404  Requests for use of NASA airfield facilities.

    (a) Request for use of a NASA airfield, whether on a one time or 
recurring basis, must be in writing and addressed to the appropriate 
NASA facility, namely:
    (1) Shuttle Landing Facility. Director of Center Support Operations, 
John F. Kennedy Space Center, Kennedy Space Center, Florida 32899.
    (2) Wallops Airport. Director of Suborbital Projects and Operations, 
Goddard Space Flight Center, Wallops Flight Facility, Wallops Island, 
Virginia 23337.
    (3) Moffett Federal Airfield and Crows Landing Flight Facility. 
Chief, Airfield Management Office, Ames Research Center, Mail Stop 158-
1, Moffett Field, California 94035-1000.
    (b) Such requests will:
    (1) Fully identify the prospective user and aircraft.
    (2) State the purpose of the proposed use and the reason why the use 
of the NASA airfield is proposed rather than a commercial airport.
    (3) Indicate the expected annual use, to include number and 
approximate date(s) and time(s) of such proposed use.
    (4) State that the prospective user is prepared to fully comply with 
the terms of this subpart 14 and the use permit which may be issued.
    (c) Upon receipt of the written request for permission to use the 
airport, the NASA official designated by each facility will request 
additional information, if necessary, and forward both this regulation 
and the required Hold Harmless Agreement for execution by the requestor 
or forward, where appropriate, a denial of the request.
    (d) The signed original of the Hold Harmless Agreement shall be 
returned

[[Page 40]]

to the designated NASA official, and a copy retained in the aircraft at 
all times. Such copy shall be exhibited upon proper demand by any 
designated NASA official.
    (e) At the same time that the prospective user returns the executed 
original of the Hold Harmless Agreement, the user shall forward to the 
designated NASA official the required Certificate of Insurance and 
waiver of rights to subrogation. Such certificate shall evidence that 
during any period for which a permit to use is being requested, the 
prospective user has in force a policy of insurance covering liability 
in amounts not less than those listed in the Hold Harmless Agreement.
    (f) When the documents (in form and substance) required by 
paragraphs b through e of this section have been received, they will be 
forwarded with a proposed use permit to the approving authority for 
action.
    (g) The designated NASA official will forward the executed use 
permit or notification of denial thereof to the prospective user after 
the approving authority has acted.

[56 FR 35812, July 29, 1991, as amended at 60 FR 37568, July 21, 1995]



Sec.  1204.1405  Approving authority.

    The authority to establish limitations and procedures for use of a 
NASA airfield, as well as the authority to approve or disapprove the use 
of the NASA airfield facilities subject to the terms and conditions of 
this subpart and any supplemental rules or procedures established for 
the facility is vested in:
    (a) Shuttle Landing Facility. Director of Center Support Operations, 
Kennedy Space Center, NASA.
    (b) Wallops Airport. Director of Suborbital Projects and Operations, 
Goddard Space Flight Center, Wallops Flight Facility, NASA.
    (c) Moffett Federal Airfield and Crows Landing Flight Facility. 
Chief, Airfield Management Office, Ames Research Center, NASA.

[56 FR 35812, July 29, 1991, as amended at 60 FR 37568, July 21, 1995]



Sec.  1204.1406  Procedures in the event of a declared in-flight emergency.

    (a) Any aircraft involved in a declared in-flight emergency that 
endangers the safety of its passengers and aircraft may land at a NASA 
airfield. In such situations, the requirements for this subpart for 
advance authorizations, do not apply.
    (b) NASA personnel may use any method or means to clear the aircraft 
or wreckage from the runway after a landing following an in-flight 
emergency. Care will be taken to preclude unnecessary damage in so 
doing. However, the runway will be cleared as soon as possible for 
appropriate use.
    (c) The emergency user will be billed for all costs to the 
Government that result from the emergency landing. No landing fee will 
be charged, but the charges will include the labor, materials, parts, 
use of equipment, and tools required for any service rendered under 
these circumstances.
    (d) In addition to any report required by the Federal Aviation 
Administration, a complete report covering the landing and the emergency 
will be filed with the airfield manager by the pilot or, if the pilot is 
not available, any other crew member or passenger.
    (e) Before an aircraft which has made an emergency landing is 
permitted to take off (if the aircraft can and is to be flown out) the 
owner or operator thereof shall make arrangements acceptable to the 
approving authority to pay any charges assessed for services rendered 
and execute a Hold Harmless Agreement. The owner or operator may also be 
required to furnish a certificate of insurance, as provided in Sec.  
1204.1404, covering such takeoff.



Sec.  1204.1407  Procedure in the event of an unauthorized use.

    Any aircraft not operated for benefit of the Federal Government 
which lands at a NASA airfield facility without obtaining prior 
permission from the approving authority, except in a bona fide 
emergency, is in violation of this subpart. Such aircraft will 
experience delays while authorization for departure is obtained pursuant 
to this subpart and may, contrary to the other provisions of this 
subpart, be required,

[[Page 41]]

at the discretion of the approving authority, to pay a user fee of not 
less than $100. Before the aircraft is permitted to depart, the 
approving authority will require full compliance with this subpart 
1204.14, including the filing of a complete report explaining the 
reasons for the unauthorized landing. Violators could also be subject to 
legal liability for unauthorized use. When it appears that the violation 
of this subpart was deliberate or is a repeated violation, the matter 
will be referred to the Aircraft Management Office, NASA Headquarters, 
which will then grant any departure authorization.



 Subpart 15_Intergovernmental Review of National Aeronautics and Space 
                 Administration Programs and Activities

    Authority: E.O. 12372, July 14, 1982, 47 FR 30959, as amended April 
8, 1983, 48 FR 15887; sec. 401 of the Intergovernmental Cooperation Act 
of 1968, as amended (31 U.S.C. 6506).

    Source: 48 FR 29340, June 24, 1983, unless otherwise noted.



Sec.  1204.1501  Purpose.

    (a) The regulations in this part implement Executive Order 12372, 
``Intergovernmental Review of Federal Programs,'' issued July 14, 1982, 
and amended on April 8, 1983. These regulations also implement 
applicable provisions of section 401 of the Intergovernmental 
Cooperation Act of 1968, as amended.
    (b) These regulations are intended to foster an intergovernmental 
partnership and a strengthened federalism by relying on state processes 
and on state, areawide, regional and local coordination for review of 
proposed direct Federal development.
    (c) These regulations are intended to aid the internal management of 
the Agency, and are not intended to create any right or benefit 
enforceable at law by a party against the agency or its officers.



Sec.  1204.1502  Definitions.

    Administrator means the Administrator of the U.S. National 
Aeronautics and Space Administration or an official or employee of the 
Agency acting for the Administrator under a delegation of authority.
    Agency means the U.S. National Aeronautics and Space Administration.
    Order means Executive Order 12372, issued July 14, 1982, and amended 
April 8, 1983, and titled ``Intergovernmental Review of Federal 
Programs.''
    State means any of the 50 states, the District of Columbia, the 
Commonwealth of Puerto Rico, the Commonwealth of the Northern Mariana 
Islands, Guam, American Samoa, the U.S. Virgin Islands, or the Trust 
Territory of the Pacific Islands.



Sec.  1204.1503  Programs and activities subject to these regulations.

    The Administrator publishes in the Federal Register a description of 
the Agency's programs and activities that are subject to these 
regulations.



Sec.  1204.1504  [Reserved]



Sec.  1204.1505  Federal interagency coordination.

    The Administrator to the extent practicable, consults with and seeks 
advice from all other substantially affected federal departments and 
agencies in an effort to assure full coordination between such agencies 
and the Agency regarding programs and activities covered under these 
regulations.



Sec.  1204.1506  Procedures for selecting programs and activities
under these regulations.

    (a) A state may select any program or activity published in the 
Federal Register in accordance with Sec.  1204.1503 of this part for 
intergovernmental review under these regulations. Each state, before 
selecting programs and activities shall consult with local elected 
officials.
    (b) Each state that adopts a process shall notify the Administrator 
of the Agency's programs and activities selected for that process.
    (c) A state may notify the Administrator of changes in its 
selections at any time. For each change, the state shall submit to the 
Administrator an assurance that the state has consulted with local 
elected officials regarding the change. The Agency may establish

[[Page 42]]

deadlines by which states are required to inform the Administrator of 
changes in their program selections.
    (d) The Administrator uses a state's process as soon as feasible, 
depending on individual programs and activities, after the Administrator 
is notified of its selections.



Sec.  1204.1507  Communicating with State and local officials 
concerning the Agency's programs and activities.

    (a) For those programs and activities covered by a state process 
under Sec.  1204.1506 the Administrator, to the extent permitted by law:
    (1) Uses the official state process to determine views of state and 
local elected officials; and;
    (2) Communicates with state and local elected officials, through the 
official state process, as early in a program planning cycle as is 
reasonably feasible to explain specific plans and actions.
    (b) The Administrator provides notice to directly affected state, 
areawide, regional, and local entities in a state of proposed direct 
Federal development if:
    (1) The state has not adopted a process under the Order; or
    (2) The development involves a program or activity not selected for 
the state process.

This notice may be made by publication in a periodical of general 
circulation in the area likely to be affected or other appropriate 
means, which the Agency in its discretion deems appropriate.



Sec.  1204.1508  Time limitations for receiving comments on 
proposed direct Federal development.

    (a) Except in unusual circumstances, the Administrator gives state 
processes or state, areawide, regional and local officials and entities 
at least 60 days from the date established by the Administrator to 
comment on proposed direct Federal development.
    (b) This section also applies to comments in cases in which the 
review, coordination, and communication with the Agency has been 
delegated.



Sec.  1204.1509  Receiving and responding to comments.

    (a) The Administrator follows the procedures in Sec.  1204.1510 if:
    (1) A state office or official is designated to act as a single 
point of contact between a state process and all federal agencies; and
    (2) That office or official transmits a state process recommendation 
for a program selected under Sec.  1204.1506.
    (b)(1) The single point of contact is not obligated to transmit 
comments from state, areawide, regional or local officials and entities 
where there is no state process recommendation.
    (2) If a state process recommendation is transmitted by a single 
point of contact, all comments from state, areawide, regional, and local 
officials and entities that differ from it must also be transmitted.
    (c) If a state has not established a process, or is unable to submit 
a state process recommendation, state, areawide, regional and local 
officals and entities may submit comments to the Agency.
    (d) If a program or activity is not selected for a state process, 
state, areawide, regional and local officials and entities may submit 
comments to the Agency. In addition, if a state process recommendation 
for a nonselected program or activity is transmitted to the Agency by 
the single point of contact, the Administrator follows the procedures of 
Sec.  1204.1510 of this part.
    (e) The Administrator considers comments which do not constitute a 
state process recommendation submitted under these regulations and for 
which the Administrator is not required to apply the procedures of Sec.  
1204.1510 of this part, when such comments are provided by a single 
point of contact, or directly to the Agency by a commenting party.



Sec.  1204.1510  Efforts to accommodate intergovernmental concerns.

    (a) If a state provides a state process recommendation to the Agency 
through its single point of contact, the Administrator either:
    (1) Accepts the recommendation;
    (2) Reaches a mutally agreeable solution with the state process; or

[[Page 43]]

    (3) Provides the single point of contact with a written explanation 
of its decision, in such form as the Administrator in his or her 
discretion deems appropriate. The Administrator may also supplement the 
written explanation by providing the explanation to the single point of 
contact by telephone, other telecommunication, or other means.
    (b) In any explanation under paragraph (a)(3) of this section, the 
Administrator informs the single point of contact that:
    (1) The Agency will not implement its decision for a least ten days 
after the single point of contact receives the explanation; or
    (2) The Administrator has reviewed the decision and determined that, 
because of unusual circumstances, the waiting period of at least ten 
days is not feasible.
    (c) For purposes of computing the waiting period under paragraph 
(b)(1) of this section, a single point of contact is presumed to have 
received written notification five days after the date of mailing of 
such notification.



Sec.  1204.1511  Coordination in interstate situations.

    (a) The Administrator is responsible for--
    (1) Identifying proposed direct Federal development that has an 
impact on interstate areas;
    (2) Notifying appropriate officials and entities in states which 
have adopted a process and which select the Agency's program or 
activity.
    (3) Making efforts to identify and notify the affected state, 
areawide, regional, and local officials and entities in those states 
that have not adopted a process under the Order or do not select the 
Agency's program or activity;
    (4) Responding pursuant to Sec.  1204.1510 of this part if the 
Administrator receives a recommendation from a designated areawide 
agency transmitted by a single point of contact, in cases in which the 
review, coordination, and communication with the Agency have been 
delegated.
    (b) The Administrator uses the procedures in Sec.  1204.1510 if a 
state process provides a state process recommendation to the Agency 
through a single point of contact.



Sec.  1204.1512  [Reserved]



Sec.  1204.1513  Waivers of provisions of these regulations.

    In an emergency, the Administrator may waive any provision of these 
regulations.



 Subpart 16_Temporary Duty Travel_Issuance of Motor Vehicle for
 Home-to-Work Transportation

    Authority: 31 U.S.C. 1344 note, 40 U.S.C. 486(c).



Sec.  1204.1600  Issuance of motor vehicle for home-to-work.

    When a NASA employee on temporary duty travel is authorized to 
travel by Government motor vehicle and the official authorizing the 
travel determines that there will be a significant savings in time, a 
Government motor vehicle may be issued at the close of the preceding 
working day and taken to the employee's residence prior to the 
commencement of official travel. Similarly, when a NASA employee is 
scheduled to return from temporary duty travel after the close of 
working hours and the official authorizing the travel determines that 
there will be a significant savings in time, the motor vehicle may be 
taken to the employee's residence and returned the next regular working 
day.

[68 FR 60847, Oct. 24, 2003]





 Sec. Appendix A to Part 1204--Items To Cover in Memoranda of Agreement

    The items to be covered in Memoranda of Agreement between NASA 
Installations and state and areawide OMB Circular A-95 clearinghouses 
for coordinating NASA and civilian planning:
    1. Clearinghouses will be contacted at the earliest practicable 
point in project planning. Generally, this will be during the 
preparation of Preliminary Engineering Reports, or possibly earlier if 
meaningful information is available that could practically serve as an 
input in the decision-making process. It

[[Page 44]]

should be noted that clearinghouses are generally comprehensive planning 
agencies. As such, they are often the best repositories of information 
required for development planning and constitute a resource that can 
often save Federal planners substantial time and effort, if consulted 
early enough. In addition to providing information necessary for 
preliminary engineering, clearinghouses can make useful inputs to the 
development of environmental impact statements, as well as in reviewing 
draft statements. Thus, consultation at the earliest stage in planning 
can have substantial payoffs in installation development.
    2. Clearinghouses will be afforded a minimum time of 30 days in 
which to review and comment on a proposed project and a maximum time of 
45 days in which to complete such review.
    3. The minimum information to be provided to the clearinghouse will 
consist of project description, scope and purpose, summary technical 
data, maps and diagrams where relevant, and any data which would show 
the relationship of the proposed project or action to applicable land 
use plans, policies, and controls for the affected area.
    4. Establish procedures for notifying clearinghouses of the actions 
taken on projects, such as implementation, timing, postponement, 
abandonment, and explaining, where appropriate, actions taken contrary 
to clearinghouse recommendations.

                          PART 1205 [RESERVED]



PART 1206_PROCEDURES FOR DISCLOSURE OF RECORDS UNDER THE FREEDOM 
OF INFORMATION ACT (FOIA)--Table of Contents



                         Subpart A_Basic Policy

Sec.
1206.100 Scope of part.
1206.101 General policy.

             Subpart B_Types of Records To Be Made Available

1206.200 Publishing of records.
1206.201 Proactive disclosure of Agency records.
1206.202 Records that have been published.
1206.203 Incorporation by reference.

                          Subpart C_Procedures

1206.300 How to make a request for Agency records.
1206.301 Describing records sought.
1206.302 Fee agreements.
1206.303 Format of records disclosed.
1206.304 Expedited processing.
1206.305 Responding to requests.
1206.306 Granting a request.
1206.307 Denying a request.
1206.308 Referrals and consultations within NASA or other Federal 
          agencies.

     Subpart D_Procedures and Time Limits for Responding to Requests

1206.400 Procedures for processing queues and expedited processing.
1206.401 Procedures and time limits for acknowledgement letters and 
          initial determinations.
1206.402 Suspending the basic time limit.
1206.403 Time extensions.

           Subpart E_Fees Associated With Processing Requests

1206.500 Search.
1206.501 Review.
1206.502 Duplication.
1206.503 Restrictions on charging fees.
1206.504 Charging fees.
1206.505 Advance payments.
1206.506 Requirements for a waiver or reduction of fees.
1206.507 Categories of requesters.
1206.508 Aggregation of requests.
1206.509 Form of payment.
1206.510 Nonpayment of fees.
1206.511 Other rights and services.

                    Subpart F_Commercial Information

1206.600 General policy.
1206.601 Notice to submitters.
1206.602 Opportunity to object to disclosure.
1206.603 Notice of intent to disclose.

                            Subpart G_Appeals

1206.700 How to submit an appeal.
1206.701 Actions on appeals.
1206.702 Litigation.

                       Subpart H_Responsibilities

1206.800 Delegation of authority.
1206.801 Chief FOIA Officer.
1206.802 General Counsel.
1206.803 NASA Headquarters.
1206.804 NASA Centers and Components.
1206.805 Inspector General.

     Subpart I_Location for Inspection and Request of Agency Records

1206.900 FOIA offices and electronic libraries.

    Authority: 5 U.S.C. 552, 552a; 51 U.S.C. 20113(a)

    Source: 79 FR 46678, Aug. 11, 2014, unless otherwise noted.

[[Page 45]]



                         Subpart A_Basic Policy



Sec.  1206.100  Scope of part.

    This part 1206 establishes the policies, responsibilities, and 
procedures for the release of Agency records which are under the 
jurisdiction of the National Aeronautics and Space Administration, 
hereinafter NASA, to members of the public. This part applies to 
information and Agency records located at NASA Headquarters, and NASA 
Centers, including Component Facilities and Technical and Service 
Support Centers, herein NASA Headquarters and Centers, as defined in 
this part.



Sec.  1206.101  General policy.

    (a) In compliance with the Freedom of Information Act (FOIA), as 
amended 5 U.S.C. 552, a positive and continuing obligation exists for 
NASA, herein Agency, to make available to the fullest extent practicable 
upon request by members of the public, all Agency records under its 
jurisdiction, as described in this regulation.
    (b) Part 1206 does not entitle any person to any service or to the 
disclosure of any record that is not required under the FOIA.



             Subpart B_Types of Records To Be Made Available



Sec.  1206.200  Publishing of records.

    (a) Records required to be published in the Federal Register. The 
following records are required to be published in the Federal Register, 
for codification in Title 14, Chapter V, of the CFR.
    (1) Description of NASA Headquarters and NASA Centers and the 
established places at which, the employees from whom, and the methods 
whereby, the public may secure information, make submittals or requests, 
or obtain decisions;
    (2) Statements of the general course and method by which NASA's 
functions are channeled and determined, including the nature and 
requirements of all formal and informal procedures available;
    (3) Rules of procedure, descriptions of forms available or the 
places at which forms may be obtained, and instructions regarding the 
scope and contents of all papers, reports, or examinations;
    (4) Substantive rules of general applicability adopted as authorized 
by law, and statements of general policy or interpretations of general 
applicability formulated and adopted by NASA;
    (5) Each amendment, revision, or repeal of the foregoing.
    (b) Agency opinions, orders, statements, and manuals. (1) Unless 
they are exempt from disclosure in accordance with the FOIA, or unless 
they are promptly published and copies offered for sale, NASA shall make 
available the following records for public inspection and copying or 
purchase:
    (i) All final opinions (including concurring and dissenting 
opinions) and all orders made in the adjudication of cases;
    (ii) Those statements of NASA policy and interpretations which have 
been adopted by NASA and are not published in the Federal Register;
    (iii) Administrative staff manuals (or similar issuances) and 
instructions to staff that affect a member of the public;
    (iv) Copies of all records, regardless of form or format, that have 
been released to any person under Subpart C herein and which, because of 
the nature of their subject matter, the Agency determines have become or 
are likely to become the subject of subsequent requests for 
substantially the same records (frequently requested documents).
    (2) A general index of records referred to under paragraph 
(b)(1)(iv) of this section.
    (i) For records created after November 1, 1997, which are covered by 
paragraph (b)(l)(i) through (b)(l)(iv) of this section, such records 
shall be available electronically, through an electronic library and in 
electronic forms or formats.
    (ii) In connection with all records required to be made available or 
published under this paragraph (b), identifying details shall be deleted 
to the extent required to prevent a clearly unwarranted invasion of 
personal privacy. However, in each case, the justification for the 
deletion shall be explained fully in writing. The extent of such 
deletion shall be indicated on the portion of the

[[Page 46]]

record which is made available or published, unless including that 
indication would harm an interest protected by an exemption in the FOIA. 
If technically feasible, the extent of the deletion shall be indicated 
at the place in the record where the deletion is made.
    (c) Other Agency records. (1) In addition to the records made 
available or published under paragraphs (a) and (b) of this section, 
NASA shall, upon request for other records made in accordance with this 
part, make such records promptly available to any person, unless they 
are exempt from disclosure, or unless they may be purchased by the 
public from other readily available sources, i.e., books.
    (2) Furthermore, at a minimum, NASA will maintain records in its 
electronic library that were created after November 1, 1997, under 
paragraphs (b)(1)(iv) and a guide for requesting records or information 
from NASA.



Sec.  1206.201  Proactive disclosure of Agency records.

    Records that are required by the FOIA to be made available for 
public inspection and copying are accessible on the Agency's Web site, 
http://www.nasa.gov. Each Center is responsible for determining which of 
its records are required to be made publicly available, as well as 
identifying additional records of interest to the public that are 
appropriate for public disclosure, and for posting such records. Each 
Center has a FOIA Public Liaison who can assist individuals in locating 
records particular to a Center. A list of the Agency's FOIA Public 
Liaisons is available at http://www.hq.nasa.gov/office/pao/FOIA/agency/.



Sec.  1206.202  Records that have been published.

    Publication in the Federal Register is a means of making certain 
Agency records are available to the public in accordance with 5 
U.S.C.552(a)(2) without requiring the filing of a FOIA request. NASA has 
a FOIA Electronic Library Web site at NASA Headquarters and each of its 
Centers. The FedBizOpps (FBO) (formerly Commerce Business Daily), is 
also a source of information concerning Agency records or actions. 
Various other NASA publications and documents, and indexes thereto, are 
available from other sources, such as the U.S. Superintendent of 
Documents and the Earth Resources Observation and Science Center 
(Department of the Interior). Such publications and documents are not 
required to be made available or reproduced in response to a request 
unless they cannot be purchased readily from available sources.



Sec.  1206.203  Incorporation by reference.

    Records reasonably available to the members of the public affected 
thereby shall be deemed published in the Federal Register when 
incorporated by reference in material published in the Federal Register 
(pursuant to the Federal Register regulation on incorporation by 
reference, 1 CFR Part 51).



                          Subpart C_Procedures



Sec.  1206.300  How to make a request for Agency records.

    (a) A requester submitting a request for records must include his/
her name and mailing address, a description of the record(s) sought (see 
Sec.  1206.301), and must address fees or provide justification for a 
fee waiver (see Sec.  1206.302) as well as address the fee category in 
accordance with Sec.  1206.507. It is also helpful to provide a 
telephone number and email address in case the FOIA office needs to 
contact you regarding your request; however, this information is 
optional when submitting a written request. If a requester chooses to 
submit a request online via the NASA FOIA Web site, the required 
information must be completed. Do not include a social security number 
on any correspondence with the FOIA office.
    (b) NASA does not have a central location for submitting FOIA 
requests and it does not maintain a central index or database of records 
in its possession. Instead, Agency records are decentralized and 
maintained by various Centers and offices throughout the country.
    (c) NASA has not yet implemented a records management application 
for automated capture and control of e-records; therefore, official 
files are primarily paper files.

[[Page 47]]

    (d) A member of the public may request an Agency record by mail, 
facsimile (FAX), electronic-mail (email), or by submitting a written 
request in person to the FOIA office having responsibility over the 
record requested or to the NASA Headquarters (HQ) FOIA Office.
    (e) When a requester is unable to determine the proper NASA FOIA 
Office to direct a request to, the requester may send the request to the 
NASA HQ FOIA Office, 300 E. Street SW., Washington, DC 20546-0001. The 
HQ FOIA Office will forward the request to the Center(s) that it 
determines to be most likely to maintain the records that are sought.
    (1) It is in the interest of the requester to send the request to 
the Center FOIA Office they believe has responsibility over the records 
being sought. (See Appendix A for www.nasa.gov/foia for NASA FOIA Office 
locations and addresses.)
    (2) A misdirected request may take up to ten (10) additional working 
(meaning all days except Saturdays, Sundays and all Federal legal 
holidays) days to reroute to the proper FOIA office.
    (f) A requester who is making a request for records about himself or 
herself (a Privacy Act request) must comply with the verification of 
identity provisions set forth in 14 CFR 1212.202.
    (g) Where a request pertains to a third party, a requester may 
receive greater access by submitting either a notarized authorization 
signed by the individual who is the subject of the record requested, or 
a declaration by that individual made in compliance with the 
requirements set forth in 28 U.S.C. 1746, authorizing disclosure of the 
records to the requester, or submit proof that the individual is 
deceased (e.g., a copy of a death certificate or a verifiable obituary).
    (h) As an exercise of its administrative discretion, each Center 
FOIA office may require a requester to supply additional information if 
necessary, i.e., a notarized statement from the subject of the file, in 
order to verify that a particular individual has consented to a third 
party disclosure. Information will only be released on a case-by-case 
basis to third party requesters if they have independently provided 
authorization from the individual who is the subject of the request.



Sec.  1206.301  Describing records sought.

    In view of the time limits under 5 U.S.C. 552(a)(6) for an initial 
determination on a request for an Agency record, a request must meet the 
following requirements:
    (a) The request must be addressed to an appropriate FOIA office or 
otherwise be clearly identified in the letter as a request for an Agency 
record under the ``Freedom of Information Act.''
    (b) Requesters must describe the records sought in sufficient detail 
to enable Agency personnel who are familiar with the subject area of the 
request to identify and locate the record with a reasonable amount of 
effort. To the extent possible, requesters should include specific 
information that may assist a FOIA office in identifying the requested 
records, such as the date, title or name, author, recipient, subject 
matter of the record, case number, file designation, or reference 
number. In general, requesters should include as much detail as possible 
about the specific records or the types of records sought.
    (c) If the requester fails to reasonably describe the records 
sought, the FOIA office shall inform the requester of what additional 
information is needed or why the request is deficient. The FOIA office 
will also notify the requester that it will not be able to comply with 
the FOIA request unless the additional information requested is provided 
within 20 working days from the date of the letter. If the additional 
information is not provided within that timeframe, the request will be 
closed without further notification.
    (d) If after being asked to clarify a request, the requester 
provides additional information to the FOIA office but fails to provide 
sufficient details or information to allow the FOIA office to ascertain 
exactly what records are being requested and locate them, or in general 
to process the request, the FOIA office will notify the requester that 
the request has not been properly made and the request will be closed.

[[Page 48]]

The FOIA office will advise him/her that they may submit a new request 
for the information; however, the requester will need to provide more 
detailed information to allow processing of the request.
    (e) NASA need not comply with a blanket or categorical request (such 
as ``all matters relating to'' a general subject) where it is not 
reasonably feasible to determine what record is sought.
    (f) NASA will in good faith attempt to identify and locate the 
record(s) sought and will consult with the requester when necessary and 
appropriate for that purpose in accordance with these regulations.
    (g) NASA is not required to create or compile records in response to 
a FOIA request.



Sec.  1206.302  Fee agreements.

    (a) A request must explicitly state a willingness to pay all fees 
associated with processing the request, fees up to a specified amount, 
or a request for a fee waiver, if processing fees will likely exceed the 
statutory entitlements as defined in Sec.  1206.507(b) and (c).
    (b) If the FOIA office determines that fees for processing the 
request will exceed the agreed upon amount or the statutory 
entitlements, the FOIA office will notify the requester that:
    (1) He/she must provide assurance of payment for all anticipated 
fees or provide an advance payment if estimated fees are expected to 
exceed $250.00, or
    (2) The FOIA office will not be able to fully comply with the FOIA 
request unless an assurance or advance payment as requested has been 
provided.
    (3) He/she may wish to limit the scope of the request to reduce the 
processing fees.
    (c) If the FOIA office does not receive a written response within 20 
working days after requesting the information, it will presume the 
requester is no longer interested in the records requested and will 
close the file on the request without further notification.
    (d) A commercial-use requester (as defined inSec.  1206.507(c)(1)) 
must:
    (1) State a willingness to pay all fess associated with processing a 
request; or
    (2) State a willingness to pay fees to cover the costs of conducting 
an initial search for responsive records to determine a fee estimate.
    (e) If a requester is only willing to pay a limited amount for 
processing a request and it is for more than one document, the requester 
must state the order in which he/she would like the request for records 
to be processed.
    (f) If a requester is seeking a fee waiver, the request must include 
sufficient justification to substantiate a waiver. (See subpart E of 
this part for information on fee waivers.) Failure to provide sufficient 
justification will result in a denial of the fee waiver request.
    (g) If a requester is seeking a fee waiver, he/she may also choose 
to state a willingness to pay fees in case the fee waiver request is 
denied in order to allow the FOIA office to begin processing the request 
while considering the fee waiver.
    (h) If a fee is chargeable for search, review, duplication, or other 
costs incurred in connection with a request for an Agency record, the 
requester will be billed prior to releasing Agency documents. If the 
total amount of processing fees is under $50.00, the Agency will release 
the records when final processing is complete.
    (1) If the exact amount of the fee chargeable is not known at the 
time of the request, the requester will be notified in the initial 
determination (or in a final determination in the case of an appeal) of 
the amount of fees chargeable.
    (2) For circumstances in which advance payment of fees is required, 
the requester will be notified after the FOIA office has obtained an 
estimate of associated fees.
    (i) The FOIA office will begin processing a request only after the 
request has been properly described in accordance with these regulations 
and fees have been resolved.
    (j) If the requester is required to pay a fee and it is later 
determined on appeal that he/she was entitled to a full or partial fee 
waiver, a refund will be sent as appropriate.
    (k) NASA may refuse to consider a waiver or reduction of fees for 
requesters (persons or organizations) from whom unpaid fees remain owed 
to the

[[Page 49]]

Agency for another information access request.



Sec.  1206.303  Format of records disclosed.

    (a) The FOIA office will provide the records in the requested format 
if the records can readily be reproduced from the original file to that 
specific format.
    (b) The FOIA office may charge direct costs associated with 
converting the records or files into the requested format if they are 
not maintained in that format. If the costs to convert the records 
exceed the amount the requester has agreed to pay, the FOIA office will 
notify the requester in writing. If the requester does not agree to pay 
the additional fees for converting the records, the records may not be 
provided in the requested format.



Sec.  1206.304  Expedited processing.

    A requester may ask for expedited processing of a request. However, 
information to substantiate the request must be included in accordance 
with Sec.  1206.400, Criteria for Expedited Processing; otherwise, the 
request for expedited processing will be denied and processed in the 
simple or complex queue.



Sec.  1206.305  Responding to requests.

    (a) Except in the instances described in paragraphs (e) and (f) of 
this section, the FOIA office that first receives a request for a record 
and maintains that record is the FOIA office responsible for responding 
to the request.
    (b) In determining what records are responsive to a request, a FOIA 
office ordinarily will include only records in its possession as of the 
date that it begins its search. If any other date is used, the FOIA 
office shall inform the requester of that date.
    (c) A record that is excluded from the requirements of the FOIA 
pursuant to 5 U.S.C. 552(c)(1)-(3), shall not be considered responsive 
to a request.
    (d) The Head of a Center, or designee, is authorized to grant or to 
deny any requests for records that are maintained by that Center.
    (e) The FOIA office may refer a request to or consult with another 
Center FOIA office or Federal agency in accordance with Sec.  1206.308, 
if the FOIA office receives a request for records that are in its 
possession that were not created at that Center. If another Center 
within NASA or another Federal agency has substantial interest in or 
created the records, the request will either be referred or they will 
consult with that FOIA office/agency.
    (f) If a request for an Agency record is received by a FOIA office 
not having responsibility of the record (for example, when a request is 
submitted to one NASA Center or Headquarters and another NASA Center has 
responsibility of the record), the FOIA office receiving the request 
shall promptly forward it to that FOIA office within 10 working days 
from the date of receipt. The receiving FOIA office shall acknowledge 
the request and provide the requester with a tracking number.



Sec.  1206.306  Granting a request.

    (a) The FOIA office will not begin processing a request until all 
issues regarding scope and fees have been resolved.
    (b) If fees are not expected to exceed the minimum threshold of 
$50.00, and the scope of the request is in accordance with Sec.  
1206.301, the FOIA office will begin processing the request.
    (c) If the FOIA office contacts the requester regarding fees or 
clarification and the requester has provided a response, the FOIA office 
will notify the requester in writing of the decision to either grant or 
deny the request.



Sec.  1206.307  Denying a request.

    (a) If the FOIA office denies records in response to a request 
either in full or in part, it will advise the requester in writing that:
    (1) The requested record(s) is exempt in full or in part; or
    (2) Records do not exist, cannot be located, or are not in the 
Agency's possession; or
    (3) A record is not readily reproducible in the form or format 
requested; or
    (4) Denial is based on a procedural issue only and not access to the 
underlying records when it makes a decision that:
    (i) A fee waiver or another fee-related issue will not be granted; 
or
    (ii) Expedited processing will not be provided.

[[Page 50]]

    (b) The denial notification must include:
    (1) The name, title, or position of the person(s) responsible for 
the denial;
    (2) A brief statement of the reasons for the denial, including a 
reference to any FOIA exemption(s) applied by the FOIA office to 
withhold records in full or in part;
    (3) An estimate of the volume of any records or information 
withheld, i.e., the number of pages or a reasonable form of estimation, 
unless such an estimate would harm an interest protected by the 
exemption(s) used to withhold the records or information;
    (4) A statement that the denial may be appealed under Subpart G of 
this part and a description of the requirements set forth therein.
    (c) If the requested records contain both exempt and non-exempt 
material, the FOIA office will:
    (1) Segregate and release the non-exempt material unless the non-
exempt material is so intertwined with the exempt material that 
disclosure of it would leave only meaningless words and phrases;
    (2) Indicate on the released portion(s) of the records the amount of 
information redacted and the FOIA exemption(s) under which the redaction 
was made, unless doing so would harm an interest protected by the FOIA 
exemption used to withhold the information; and
    (3) If technically feasible, place the exemption at the place of 
excision.



Sec.  1206.308  Referrals and consultations within NASA or other
Federal Agencies.

    (a) Referrals and consultations can occur within the Agency or 
outside the Agency.
    (b) If a FOIA office (other than the Office of Inspector General) 
receives a request for records in its possession that another NASA FOIA 
office has responsibility over or is substantially concerned with, it 
will either:
    (1) Consult with the other FOIA office before deciding whether to 
release or withhold the records; or
    (2) Refer the request, along with the records, to that FOIA office 
for direct response.
    (c) If the FOIA office that originally received the request refers 
all or part of the request to another FOIA office within the Agency for 
further processing, they will notify the requester of the partial 
referral and provide that FOIA contact information.
    (d) If while responding to a request, the FOIA office locates 
records that originated with another Federal agency, it will generally 
refer the request and any responsive records to that other agency for a 
release determination and direct response.
    (e) If the FOIA office refers all the records to another agency, it 
will document the referral and maintain a copy of the records that it 
refers; notify the requester of the referral in writing, unless that 
identification will itself disclose a sensitive, exempt fact; and will 
provide the contact information for the other agency and if known, the 
name of a contact at the other agency.
    (f) If the FOIA office locates records that originated with another 
Federal agency while responding to a request, the office will make the 
release determination itself (after consulting with the originating 
agency) when:
    (1) The record is of primary interest to NASA (for example, a record 
may be of primary interest to NASA if it was developed or prepared 
according to Agency regulations or directives, or in response to an 
Agency request); or
    (2) NASA is in a better position than the originating agency to 
assess whether the record is exempt from disclosure; or
    (3) The originating agency is not subject to the FOIA; or
    (4) It is more efficient or practical depending on the 
circumstances.
    (g) If the FOIA office receives a request for records that another 
Federal agency has classified under any applicable executive order 
concerning record classification, it must refer the request to that 
agency for response.
    (h) If the FOIA office receives a request for records that are under 
the purview of another Federal agency, the office will return the 
request to the requester and may advise the requester to submit it 
directly to another agency. The FOIA office will then close the request.

[[Page 51]]

    (i) All consultations and referrals received by the Agency will be 
handled according to the date that the FOIA request initially was 
received by the first FOIA office.



     Subpart D_Procedures and Time Limits for Responding to Requests



Sec.  1206.400  Procedures for processing queues and expedited
processing.

    (a) The FOIA office will normally process requests in the order in 
which they are received in each of the processing tracks.
    (b) FOIA offices use three queues for multi-track processing 
depending on the complexity of the request. Once it has been determined 
the request meets the criteria in accordance with subpart C of this 
part, the FOIA office will place the request in one of the following 
tracks:
    (1) Simple--A request that can be processed within 20 working days.
    (2) Complex--A request that will take over 20 working days to 
process. (A complex request will generally require coordination with 
more than one office and a legal 10 working day extension for unusual 
circumstances (see Sec.  1206.403) may be taken either up front or 
during the first 20 days of processing the request.)
    (3) Expedited processing--A request for expedited processing will be 
processed in this track if the requester can show exceptional need or 
urgency that their request should be processed out of turn in accordance 
with paragraph (c) of this section.
    (c) Requests and appeals will be processed on an expedited basis 
whenever it is determined that they involve one or more of the 
following:
    (1) Circumstances in which the lack of expedited treatment could 
reasonably be expected to pose an imminent threat to the life or 
physical safety of an individual;
    (2) Circumstances in which there is an urgency to inform the public 
about an actual or alleged Federal Government activity if the FOIA 
request is made by a person primarily engaged in disseminating 
information;
    (i) In most situations, a person primarily engaged in disseminating 
information will be a representative of the news media and therefore, 
will qualify as a person primarily engaged in disseminating information.
    (ii) To substantiate paragraph (c)(2) of this section, the requested 
information must be the type of information which has particular value 
that will be lost if not disseminated quickly; this ordinarily refers to 
a breaking news story of general public interest. Information of 
historical interest only or information sought for litigation or 
commercial activities would not qualify, nor would a news media deadline 
unrelated to breaking news; or
    (3) The loss of substantial due process rights.
    (d) A request for expedited processing must contain a statement 
that:
    (1) Explains in detail how the request meets one or more of the 
criteria in paragraph (c) of this section; and
    (2) Certifies that the explanation is true and correct to the best 
of the requester's knowledge and belief.
    (3) If the request is made referencing paragraph (c)(2) of this 
section, the requester must substantiate the public interest.
    (e) A request for expedited processing may be made at any time. 
Requests must be submitted to the FOIA office responsible for processing 
the requested records.
    (f) The FOIA office must notify the requester of its decision to 
grant or deny expedited processing within 10 calendar days from the date 
of receipt.
    (g) If expedited processing is granted, the request will be 
processed on a first-in, first-out basis in that queue.
    (h) If expedited processing is denied, the FOIA office will notify 
the requester and provide information on appealing this decision in 
accordance with Subpart G of this part and place the request in the 
appropriate processing queue.
    (i) If the FOIA office processing the request does not provide 
notification of either granting or denying the request for expedited 
processing within 10 calendar days from the date of receipt, the 
requester may file an appeal for non-response in accordance with subpart 
G of this part.

[[Page 52]]



Sec.  1206.401  Procedures and time limits for acknowledgement
letters and initial determinations.

    (a) Following receipt of a request submitted under the FOIA, the 
FOIA staff will send an acknowledgement letter providing the case 
tracking number and processing track within ten (10) working days from 
date of receipt to the requester.
    (b) An initial determination is a decision by a NASA official, in 
response to a request by a member of the public for an Agency record, on 
whether the record described in the request can be identified and 
located after a reasonable search and, if so, whether the record (or 
portions thereof) will be made available under this part or will be 
withheld from disclosure under the FOIA.
    (c) An initial determination on a request for an Agency record 
addressed in accordance with this regulation (to include one submitted 
in person at a FOIA office) shall be made (for example, to grant, 
partially grant or deny a request), and the requester shall be sent an 
initial determination letter within 20 working days after receipt of the 
request, as required by 5 U.S.C. 552(a)(6) (unless unusual circumstances 
exist as defined in Sec.  1206.403).
    (d) The basic time limit for a misdirected FOIA request (not a 
referral or consultation) begins on the date on which the request is 
first received by the appropriate FOIA office within the Agency, but in 
any event no later than ten (10) working days after the date the request 
is first received by a FOIA office designated to receive FOIA requests.
    (e) Any notification of an initial determination that does not 
comply fully with the request for an Agency record, including those 
searches that produce no responsive documents, shall include a statement 
of the reasons for the adverse determination, include the name and title 
of the person making the initial determination, and notify the requester 
of the right to appeal to the Administrator or the Inspector General, as 
appropriate, pursuant to subpart G of this part.



Sec.  1206.402  Suspending the basic time limit.

    (a) In accordance with 5 U.S.C. 552(a)(6)(A)(ii)(I), the FOIA office 
may make one request to the requester for information to clarify a 
request and temporarily suspend (toll) the time (the 20-day period) 
while it is awaiting such information that it has reasonably requested 
from the requester. Receipt of the requester's response by the FOIA 
office to the Agency's request for additional information or 
clarification ends the temporary time suspension.
    (b) In accordance with 5 U.S.C. 552(a)(6)(A)(ii)(II), the FOIA 
office may temporarily suspend (toll) the 20-day period as many times as 
is necessary to clarify with the requester issues regarding fees. 
Receipt of the requester's response by the FOIA office to the Agency's 
request for information regarding fees ends the temporary time 
suspension.



Sec.  1206.403  Time extensions.

    (a) In ``unusual circumstances'' as defined in this section, the 
time limits for an initial determination and for a final determination 
may be extended, but not to exceed a total of 10 working days in the 
aggregate in the processing of any specific request for an Agency 
record. The extension must be taken before the expiration of the 20 
working day time limits. The requester will be notified in writing of:
    (1) The unusual circumstances surrounding the extension of the time 
limit;
    (2) The date by which the FOIA office expects to complete the 
processing of the request.
    (b) Unusual circumstances are defined as:
    (1) The need to search for and collect the requested records from 
offices other than the office processing the request;
    (2) The need to search for, collect, and appropriately examine a 
voluminous number of documents;
    (3) The need to coordinate and/or consult with another NASA office 
or agency having a substantial subject-matter interest in the 
determination of the request.

[[Page 53]]

    (c) If initial processing time will exceed or is expected to exceed 
30 working days, the FOIA office will notify the requester of the delay 
in processing and:
    (1) Provide an opportunity to modify or limit the scope of the 
request to reduce processing time; and
    (2) Provide appeal rights, since the FOIA office has exceeded the 30 
working day time period.
    (3) Shall make available its designated FOIA contact and its FOIA 
Public Liaison for this purpose.
    (d) The requester's refusal to reasonably modify the scope of a 
request or arrange an alternative timeframe for processing a request 
after being given the opportunity to do so may be considered a factor 
when determining whether exceptional circumstances exist. A delay that 
results from a predictable workload of requests does not constitute 
exceptional circumstances unless the Agency demonstrates reasonable 
progress in reducing its backlog of pending requests.



           Subpart E_Fees Associated With Processing Requests



Sec.  1206.500  Search.

    (a) Search includes all time spent looking for material that is 
responsive to a request, including page-by-page or line-by-line 
identification of material within documents. A search will determine 
what specific documents, if any, are responsive to a request. A search 
for Agency records responsive to a request may be accomplished by manual 
or automated means.
    (b) Search charges, as set forth in this part, may be billed even 
when an Agency record, which has been requested, cannot be identified or 
located after a diligent search and consultation with a professional 
NASA employee familiar with the subject area of the request has been 
conducted or if located, cannot be made available under Sec.  1206.308.
    (c) In responding to FOIA requests, FOIA offices shall charge the 
following fees based on the date the request is received in the NASA 
FOIA Office unless a waiver or reduction of fees has been granted under 
Sec.  1206.506. Fees will be determined on October 1st of each year 
based on the appropriate General Schedule (GS) base salary, plus the 
District of Columbia locality payment, plus 16 percent for benefits of 
employees. Fees such as search, review, and duplication will be charged 
in accordance with the requester's fee category as defined in Sec.  
1206.507.
    (d) For each quarter hour spent by personnel searching for requested 
records, including electronic searches that do not require new 
programming, the fees will be the average hourly GS-base salary, plus 
the District of Columbia locality payment, plus 16 percent for benefits 
of employees in the following three categories, as applicable:
    (1) Clerical--Based on a GS-6, Step 5 (all employees at a GS-7 and 
below are classified as clerical for this purpose).
    (2) Professional--Based on a GS-11, Step 7 pay (all employees at a 
GS-8 through GS-12 are classified as professional for this purpose);
    (3) Managerial--Based on GS-14, Step 2, pay (all employees at a GS-
13 and above are classified as managerial for this purpose).
    (e) Requesters will be charged the direct costs associated with 
conducting any search that requires the creation of a new program to 
locate the requested records.
    (f) For requests that require the retrieval of records stored by an 
agency at a Federal records center operated by the NARA, additional 
costs shall be charged in accordance with the Transactional Billing Rate 
Schedule established by NARA.



Sec.  1206.501  Review.

    (a) Review means the process of examining a document(s) located in 
response to a request to determine whether the document(s) or any 
portion thereof is disclosable. Review does not include time spent 
resolving general legal or policy issues regarding the application of 
exemptions.
    (b) Review fees will be assessed in connection with the initial 
review of the record, i.e., the review conducted by Agency staff to 
determine whether an exemption applies to a particular record or portion 
of a record.
    (c) Review fees will be charged to commercial use requesters.

[[Page 54]]

    (d) No charge will be made for review at the administrative appeal 
stage of exemptions applied at the initial review stage. However, when 
the appellate authority determines that a particular exemption no longer 
applies, any costs associated with an additional review of the records 
in order to consider the use of other exemptions may be assessed as 
review fees.
    (e) Review fees will be charged at the same rates as those charged 
for a search under Sec.  1206.500.
    (f) Review fees can be charged even if the record(s) reviewed 
ultimately is not disclosed.
    (g) Review fees will not include costs incurred in resolving issues 
of law or policy that may be raised in the course of processing a 
request under this section.



Sec.  1206.502  Duplication.

    (a) Duplication is reproducing a copy of a record or of the 
information contained in it, necessary to respond to a FOIA request. 
Copies can take the form of paper, audiovisual materials, or electronic 
records, among others.
    (b) FOIA offices shall honor a requester's preference for receiving 
a record in a particular form or format where it is readily reproducible 
by the FOIA office in the form or format requested. If the records are 
not readily reproducible in the requested form or format, the Agency 
will so inform the requester. The requester may specify an alternative 
form or format that is available. If in this situation the requester 
refuses to specify an alternative form or format, the Agency will not 
process the request any further.
    (c) Where standard-sized photocopies or scans are supplied, the FOIA 
office will provide one copy per request at the regular copy rate per 
page.
    (d) For copies of records produced on tapes, disks, or other 
electronic media, FOIA offices will charge the direct costs of producing 
the copy, including the time spent by personnel duplicating the 
requested records. For each quarter hour spent by personnel duplicating 
the requested records, the fees will be the same as those charged for a 
search under this subpart.
    (e) If NASA staff must scan paper documents in order to accommodate 
a requester's preference to receive the records in an electronic format, 
the requester shall pay the appropriate copy fee charge per page as well 
as each quarter hour spent by personnel scanning the requested records. 
Fees will be the same as those charged for search under this subpart for 
each quarter hour spent by personnel scanning the requested records.
    (f) For other forms of duplication, FOIA offices will charge the 
direct costs as well as any associated personnel costs. For standard-
sized copies of documents such as letters, memoranda, statements, 
reports, contracts, etc., $0.15 per copy of each page; charges for 
double-sided copies will be $0.30. For copies of oversized documents, 
such as maps, charts, etc., fees will be assessed as direct costs. 
Charges for copies (and scanning) include the time spent in duplicating 
the documents. For copies of computer disks, still photographs, 
blueprints, videotapes, engineering drawings, hard copies of aperture 
cards, etc., the fee charged will reflect the direct cost to NASA of 
reproducing, copying, or scanning the record.
    (g) If the request for an Agency record required to be made 
available under this part requires a computerized search or printout, 
the charge for the time of personnel involved shall be at the rates 
specified in this part or the direct costs assessed to the Agency. The 
charge for computer time involved and for any special supplies or 
materials used shall not exceed the direct cost to NASA.
    (h) Reasonable standard fees may be charged for additional direct 
costs incurred in searching for or duplicating an Agency record in 
response to a request under this part. Charges made under this paragraph 
include, but are not limited to, the transportation of NASA personnel to 
places of record storage for search purposes or freight charges for 
transporting records to the personnel searching for or duplicating a 
requested record.
    (i) Complying with requests for special services such as those 
listed in this section is entirely at the discretion of NASA. To the 
extent that NASA elects to provide the following services, it

[[Page 55]]

will levy a charge equivalent to the full cost of the service provided:
    (1) Certifying that records are true copies.
    (2) Sending records by special methods such as express mail.
    (3) Packaging and mailing bulky records that will not fit into the 
largest envelope carried in the supply inventory.



Sec.  1206.503  Restrictions on charging fees.

    (a) No search fees will be charged when the FOIA office fails to 
comply with the statutory time limits in response to a request if no 
unusual or exceptional circumstances apply to the processing of the 
request, as those terms are defined in Subpart D of this regulation.
    (b) In the case of a requester as defined in Sec.  1206.507(c)(2) 
(education and noncommercial scientific institution) and (c)(3) 
(representative of the news media), no duplication fees will be charged 
when the FOIA office fails to comply with the statutory time limits in 
response to a request if no unusual or exceptional circumstances apply 
to the processing of the request, as those terms are defined in subpart 
D of this part.
    (c) Fees will not be charged unless they are over $50.00.
    (d) No search or review fees will be charged for a quarter-hour 
period unless more than half of that period is required to fulfill 
processing of the request.



Sec.  1206.504  Charging fees.

    (a) When a FOIA office determines or estimates the fees to be 
assessed in accordance with this section will exceed $50.00, the FOIA 
office shall notify the requester unless the requester has indicated a 
willingness to pay fees as high as those anticipated. If a portion of 
the fees can be readily estimated, the FOIA office shall advise the 
requester accordingly.
    (b) In cases in which a requester has been notified that actual or 
estimated fees are in excess of $50.00, the request shall be placed on 
hold and further work will not be completed until the requester commits 
in writing to pay the actual or estimated fees. Such a commitment must 
be made by the requester in writing, must indicate a given dollar amount 
or a willingness to pay all processing fees, and must be received by the 
FOIA office within 20 working days from the date of the letter providing 
notification of the fee estimate. If a commitment is not received within 
this period, the request shall be closed without further notification.
    (c) After the FOIA office begins processing a request, if it finds 
that the actual cost will exceed the amount the requester previously 
agreed to pay, the FOIA office will: Stop processing the request; and 
promptly notify the requester of the higher amount. The request will be 
placed on hold until the fee issue has been resolved. If the issue is 
not resolved within 20 working days from the date of the notification 
letter, the request shall be closed without further notification.
    (d) Direct costs, meaning those expenditures that NASA actually 
incurs in searching for, duplicating, and downloading computer files and 
documents in response to a FOIA request, will be included on the invoice 
as appropriate. Direct costs include, for example, the salary of the 
employee who would ordinarily perform the work (the basic rate of pay 
for the employee plus 16 percent of that rate to cover benefits), the 
cost of operating computers and other electronic equipment, such as 
photocopiers and scanners, the costs associated with retrieving records 
stored at a Federal records center operated by the NARA, as well as 
costs for CDs and other media tools.
    (e) NASA may charge interest on any unpaid bill starting on the 31st 
day following the date of billing the requester. Interest charges will 
be assessed at the rate provided in 31 U.S.C. 3717 and will accrue from 
the billing date until payment is received by the FOIA office. NASA will 
follow the provisions of the Debt Collection Act of 1982 (Pub. L. 97-
365, 96 Stat. 1749), as amended, and its administrative procedures, 
including the use of consumer reporting agencies, collection agencies, 
and offset.
    (f) If processing fees are less than $50.00, NASA will send all 
releaseable

[[Page 56]]

documents (or portions thereof) following the completion of the initial 
determination. If fees are greater than $50.00, the documents will not 
be released until the invoice has been paid and verified by the FOIA 
office.
    (g) Final billing will be sent when the initial determination has 
been completed. At that time the case will be closed.



Sec.  1206.505  Advance payments.

    (a) For requests other than those described in paragraphs (b), (c), 
and (f) of this section, a FOIA office shall not require the requester 
to make an advance payment before work is commenced or continued on a 
request. Payment owed for work already completed (i.e., payment for 
search, review and/or before records are released to a requester) is not 
an advance payment.
    (b) When a FOIA office determines or estimates that a total fee to 
be charged under this section will exceed $250.00, it may require that 
the requester make an advance payment up to the amount of the entire 
anticipated fee before beginning to process the request. A FOIA office 
may elect to process the request prior to collecting fees when it 
receives a satisfactory assurance of full payment from a requester.
    (c) Where a requester has previously failed to pay a properly 
charged FOIA fee assessed by any FOIA office in the agency within 30 
calendar days of the billing date, a FOIA office may require the 
requester to pay the full amount due, plus any applicable interest due 
on the outstanding debt, before the FOIA office begins to process a new 
request or continues to process a pending request or any pending remand 
of an appeal. Once the outstanding bill has been paid, the FOIA office 
may also require the requester to make an advance payment of the full 
amount of any anticipated fee before processing the new request.
    (d) Where a FOIA office has a reasonable basis to believe that a 
requester has misrepresented his or her identity in order to avoid 
paying outstanding fees, it may require that the requester provide 
further proof of identity.
    (e) In cases in which a FOIA office requires advance payment, the 
request shall be placed on hold and further work will not be completed 
until the required payment is received. If the requester does not pay 
the advance payment within 20 working days after the date of the FOIA 
office's letter, the request will be closed without further 
notification.
    (f) When advance payment is required in order to initiate 
processing, after a fee estimate has been determined, the FOIA office 
will require payment before continuing to process the request.
    (g) The fee schedule of this section does not apply to fees charged 
under any statute that specifically requires an agency to set and 
collect fees for particular types of records. In instances where records 
responsive to a request are subject to a statutorily-based fee schedule 
program, the FOIA office will inform the requester of the contact 
information for that source.



Sec.  1206.506  Requirements for a waiver or reduction of fees.

    (a) The burden is on the requester to justify an entitlement to a 
fee waiver. (See Sec.  1206.507 for a discussion on fee categories.)
    (b) Requests for a waiver or reduction of fees shall be considered 
on a case-by-case basis using the criteria in this section. These 
statutory requirements must be satisfied by the requester before 
properly assessable fees are waived or reduced under the statutory 
standard.
    (c) Records shall be furnished without charge or at a reduced rate 
if the requester has demonstrated, based on all available information, 
that disclosure of the information is in the public interest because it:
    (1) Is likely to contribute significantly to public understanding of 
the operations or activities of the Government; and
    (2) Is not primarily in the commercial interest of the requester.
    (d) In deciding whether a request for a fee waiver meets the 
requirements in Sec.  1206.506(c)(1), the FOIA office will use the 
following factors, which must be addressed by the requester:
    (1) Does the subject of the request specifically concern 
identifiable operations or activities of the Agency with a connection 
that is direct and clear,

[[Page 57]]

not remote or attenuated? For example, is the information requested 
clearly associated to current events?
    (2) If the record(s) concern the operations or activities of the 
Government, is disclosure likely to contribute to an increased public 
understanding of those operations or activities? For example, are the 
disclosable contents of the record(s) meaningfully informative in 
relation to the subject matter of the request?
    (3) Is the focus of the requester on contributing to public 
understanding, rather than on the individual understanding of the 
requester or a narrow segment of interested persons? The requester must 
demonstrate how he/she plans to disseminate the information. The 
dissemination of information must be to the general public or a 
reasonably broad audience. (Dissemination to a wide audience is not 
merely posting the documents on a Web site, but using his/her editorial 
skills to turn raw materials into a distinct work.)
    (4) If there is likely to be a contribution to public understanding, 
will that contribution be significant? A contribution to public 
understanding will be significant if the information disclosed is new, 
clearly supports public oversight of Agency operations, including the 
quality of Agency activities and the effect of policy and regulations on 
public health and safety, or otherwise confirms or clarifies data on 
past or present operations of the Agency.
    (e) In deciding whether the fee waiver meets the requirements in 
Sec.  1206.506(c)(2), the FOIA office will consider any commercial 
interest of the requester that would be furthered by the requested 
disclosure.
    (1) Requesters are encouraged to provide explanatory information 
regarding this consideration.
    (2) A waiver or reduction of fees is justified where the public 
interest is greater than any identified commercial interest in 
disclosure.
    (3) If the requester is a representative of a news media 
organization seeking information as part of a news gathering process, 
the FOIA office will presume that the public interest outweighs the 
requester's commercial interest.
    (4) If the requester represents a business, corporation, or is an 
attorney representing such an organization, the FOIA office will presume 
that the commercial interest outweighs the public interest unless 
otherwise demonstrated.
    (f) Where only some of the records to be released satisfy the 
requirements for a waiver of fees, a partial waiver shall be granted for 
those records.
    (g) Requests for a waiver or reduction of fees should be made when 
the request is first submitted to the Agency and should address the 
criteria referenced above. A requester may submit a fee waiver request 
at a later time so long as the underlying record request is pending or 
on administrative appeal.
    (h) When a requester who has committed to pay fees subsequently asks 
for a waiver of those fees and that waiver is denied, the requester will 
be required to pay any costs incurred up to the date the fee waiver 
request was received by the office processing the original request.
    (i) When deciding whether to waive or reduce fees, the FOIA office 
will rely on the fee waiver justification submitted in the request 
letter. If the request letter does not include sufficient justification, 
the FOIA office will either deny the fee waiver request or at its 
discretion, ask for additional justification from the requester.
    (j) FOIA offices may make available their FOIA Public Liaison or 
other FOIA professional to assist any requester in reformulating a 
request in an effort to reduce fees; however, the FOIA staff may not 
assist a requester in composing a request, advising what specific 
records to request, or how to write a request to qualify for a fee 
waiver.



Sec.  1206.507  Categories of requesters.

    (a) A request should indicate the fee category. If the requester 
does not indicate a fee category, or it is unclear to the FOIA office, 
the FOIA office will make a determination of the fee category based on 
the request. If the requester does not agree with their determination, 
he/she will be afforded the opportunity to provide information to 
support a different fee category.

[[Page 58]]

    (b) If the request is submitted on behalf of another person or 
organization (e.g., if an attorney is submitting a request on behalf of 
a client), the fee category will be determined by considering the 
underlying requester's identity and intended use of the information. The 
following table outlines the basic fee categories and applicable fees:

----------------------------------------------------------------------------------------------------------------
         Requester category                 Search fees              Review fees            Duplication fees
----------------------------------------------------------------------------------------------------------------
Commercial use requester............  Yes....................  Yes....................  Yes.
Educational and non-commercial        No.....................  No.....................  Yes (first 100 pages, or
 scientific institutions.                                                                equivalent volume,
                                                                                         without charge).
Representative of news media          No.....................  No.....................  Yes (first 100 pages, or
 requester.                                                                              equivalent volume,
                                                                                         without charge).
All other requesters................  Yes (first 2 hours       No.....................  Yes (first 100 pages, or
                                       without charge).                                  equivalent volume,
                                                                                         without charge).
----------------------------------------------------------------------------------------------------------------

    (c) The FOIA provides for three categories of requesters. However, 
for clarity purposes, NASA has broken them down to four for the purposes 
of determining fees. These four categories of FOIA requesters are: 
Commercial use requesters; educational and noncommercial scientific 
institutions; representatives of the news media; and all other 
requesters. The Act prescribes specific levels of fees for each of these 
categories, which is indicated in the FOIA fee table above.
    (1) Commercial use requesters. When NASA receives a request for 
documents appearing to be for commercial use, meaning a request from or 
on behalf of one whom seeks information for a use or purpose that 
furthers the commercial, trade, or profit interests of either the 
requester or the person on whose behalf the request is made, it will 
assess charges to recover the full direct costs of searching for, 
reviewing for release, and duplicating the records sought. NASA will not 
consider a commercial-use request for a waiver or reduction of fees 
based upon an assertion that disclosure would be in the public interest. 
A request from a corporation (not a news media corporation) may be 
presumed to be for commercial use unless the requester demonstrates that 
it qualifies for a different fee category. Commercial use requesters are 
not entitled to two (2) hours of search time or to 100 pages of 
duplication of documents without charge.
    (2) Education and non-commercial scientific institution requesters. 
(i) To be eligible for inclusion in this category, requesters must show 
that the request being made is authorized by and under the auspices of a 
qualifying institution and that the records are not being sought for a 
commercial use (not operated for commerce, trade or profit), but are 
being sought in furtherance of scholarly (if the request is from an 
educational institution) or scientific (if the request is from a 
noncommercial scientific institution) research. A request for 
educational purposes must be sent on the Institution's letterhead and 
signed by the Dean of the School or Department. Records requested for 
the intention of fulfilling credit requirements are not considered to be 
sought for a scholarly purpose.
    (ii) For the purposes of a non-commercial scientific institution, it 
must be solely for the purpose of conducting scientific research, the 
results of which are not intended to promote any particular product or 
industry. Requests must be sent on the letterhead of the scientific 
institution and signed by the responsible official in charge of the 
project/program associated with the subject of the documents that are 
being requested.
    (3) Representative of the news media. (i) NASA shall provide 
documents to requesters in this category for the cost of duplication 
alone, excluding charges for the first 100 pages when the requester 
demonstrates the following:
    (A) The requester's intended dissemination,
    (B) Whether the information is current news and/or of public 
interest, and
    (C) Whether the information sought will shed new light on agency 
statutory operations.
    (ii) A representative of the news media is any person or entity 
organized and operated to publish or broadcast

[[Page 59]]

news to the public that actively gathers information of potential 
interest to a segment of the public, uses its editorial skills to turn 
the raw materials into a distinct work, and distributes that work to an 
audience. Examples of news media entities include television or radio 
stations that broadcast ``news'' to the public at large and publishers 
of periodicals that disseminate ``news'' and make their products 
available through a variety of means to the general public. A request 
for records that supports the news-dissemination function of the 
requester shall not be considered to be for a commercial use. 
``Freelance'' journalists who demonstrate a solid basis for expecting 
publication through a news media entity shall be considered as working 
for that entity. A publishing contract would provide the clearest 
evidence that publication is expected; however, NASA shall also consider 
a requester's past publication record in making this determination. 
NASA's decision to grant a requester news media status for the purposes 
of assessing fees will be made on a case-by-case basis based upon the 
requesters intended use.
    (iii) Requesters seeking this fee category who do not articulate 
sufficient information to support their request will not be included in 
this fee category. Additionally, FOIA staff may grant a partial fee 
waiver if the requester can articulate the information above for some of 
the documents.
    (4) All other requesters. NASA shall charge requesters who do not 
fit into any of the categories mentioned in this section fees in 
accordance with the fee table above.



Sec.  1206.508  Aggregation of requests.

    (a) A requester may not file multiple requests at the same time, 
each seeking portions of a document or documents, solely in order to 
avoid payment of fees.
    (b) When NASA has reason to believe that a requester or a group of 
requesters acting in concert is attempting to divide a request into a 
series of requests on a single subject or related subjects for the 
purpose of avoiding the assessment of fees, NASA will aggregate any such 
requests and charge accordingly.
    (c) NASA will consider that multiple requests made within a 30-day 
period were so intended submitted as such to avoid fees, unless there is 
evidence to the contrary.
    (d) NASA will aggregate requests separated by a longer period of 
time only when there is a reasonable basis for determining that 
aggregation is warranted in view of all the circumstances involved.
    (e) NASA will not aggregate multiple requests on unrelated subjects 
from one requester or organization.



Sec.  1206.509  Form of payment.

    Payment shall be made by check or money order payable to the 
``Treasury of the United States,'' or by credit card per instructions in 
the initial determination or billing invoice and sent to NASA.



Sec.  1206.510  Nonpayment of fees.

    (a) Requesters are advised that should they fail to pay the fees 
assessed, they may be charged interest on the amount billed starting on 
the 31st day following the day on which the billing was sent. Interest 
will be at the rate prescribed in 31 U.S.C. 3717.
    (b) Applicability of Debt Collection Act of 1982 (Pub. L. 97-365). 
Requesters are advised that if full payment is not received within 60 
days after the billing was sent, the procedures of the Debt Collection 
Act may be invoked (14 CFR 1261.407-1261.409). These procedures include 
three written demand letters at not more than 30-day intervals, 
disclosure to a consumer reporting agency, and the use of a collection 
agency, where appropriate.



Sec.  1206.511  Other rights and services.

    Nothing in this subpart shall be construed to entitle any person to 
any service or to the disclosure of any record that is not required 
under the FOIA.



                    Subpart F_Commercial Information



Sec.  1206.600  General policy.

    (a) Notice shall be given to a submitter whenever the information 
requested is commercial information and

[[Page 60]]

has been designated by the submitter as information deemed protected 
from disclosure under Exemption 4 of the Act, or the Agency otherwise 
has reason to believe that the information may be protected from 
disclosure under Exemption 4. For the purpose of applying the notice 
requirements, commercial information is information provided by a 
submitter and in the possession of NASA, that may arguably be exempt 
from disclosure under the provisions of Exemption 4 of the FOIA (5 
U.S.C. 552(b)(4)). The meaning ascribed to this term for the purpose of 
this notice requirement is separate and should not be confused with use 
of this or similar terms in determining whether information satisfies 
one of the elements of Exemption 4.
    (b) A submitter is a person or entity outside the Federal Government 
from whom the Agency directly or indirectly obtains commercial or 
financial information. The term submitter includes, but is not limited 
to corporations, state governments, individuals, and foreign 
governments.
    (c) The notice requirements of Sec.  1206.601 will not apply if:
    (1) The information has been lawfully published or officially made 
available to the public; or
    (2) Disclosure of the information is required by a statute (other 
than this part); or
    (3) The submitter has received notice of a previous FOIA request 
which encompassed information requested in the later request, and the 
Agency intends to withhold and/or release information in the same manner 
as in the previous FOIA request.
    (d) An additional limited exception to the notice requirements of 
Sec.  1206.601, to be used only when all of the following exceptional 
circumstances are found to be present, authorizes the Agency to withhold 
information that is the subject of a FOIA request, based on Exemption 4 
(5 U.S.C. 552(b)(4)), without providing the submitter individual notice 
when:
    (1) The Agency would be required to provide notice to over ten (10) 
submitters, in which case, notification may be accomplished by posting 
or publishing the notice in a place reasonably calculated to accomplish 
notification.
    (2) Absent any response to the published notice, the Agency 
determines that if it provided notice as is otherwise required by Sec.  
1206.601, it is reasonable to assume that the submitter would object to 
disclosure of the information based on Exemption 4; and,
    (3) If the submitter expressed the anticipated objections, the 
Agency would uphold those objections.
    (e) The exception shall be used only with the approval of the Chief 
Counsel of the Center, the Counsel to the Inspector General, or the 
Associate General Counsel responsible for providing advice on the 
request. This exception shall not be used for a class of documents or 
requests, but only as warranted by an individual FOIA request.



Sec.  1206.601  Notice to submitters.

    (a) Except as provided in Sec.  1206.603(b) and Sec.  1206.603(c), 
the Agency shall provide a submitter with prompt written notice of a 
FOIA request that seeks its commercial information whenever required 
under Sec.  1206.600(a).
    (b) A notice to a submitter must include:
    (1) The exact language of the request or an accurate description of 
the request;
    (2) Access to or a description of the responsive records or portions 
thereof containing the commercial information to the submitter;
    (3) A description of the procedures for objecting to the release of 
the possibly confidential information under Sec.  1206.602;
    (4) A time limit for responding to the Agency that shall not exceed 
10 working days from the date of the letter sent to the submitter by the 
FOIA Office or publication of the notice (as set forth in Sec.  
1206.603(b)) to object to the release and to explain the basis for the 
objection;
    (5) Notice that the information contained in the submitter's 
objections may itself be subject to disclosure under the FOIA;
    (6) Notice that the Agency, not the submitter, is responsible for 
deciding whether the information shall be released or withheld;
    (7) Notice that failing to respond within the timeframe specified 
under

[[Page 61]]

Sec.  1206.601(b)(4) will create a presumption that the submitter has no 
objection to the disclosure of the information in question.
    (c) Whenever the Agency provides notice pursuant to this section, 
the Agency shall advise the requester that notice and opportunity to 
comment are being provided to the submitter.



Sec.  1206.602  Opportunity to object to disclosure.

    (a) If a submitter has any objections to the disclosure of 
commercial information, the submitter must provide a detailed written 
statement to the FOIA office that specifies all factual and/or legal 
grounds for withholding the particular information under any FOIA 
exemptions.
    (b) The submitter must include a daytime telephone number, an email 
and mailing address, and a fax number if available on a response to the 
FOIA office.
    (c) A submitter who does not respond within the time period 
specified under this subpart will be considered to have no objection to 
disclosure of the information.
    (d) Responses received by the FOIA office after the time period 
specified in Sec.  1206.601(b)(4) will not be considered by the FOIA 
office. An extension of time to respond may be granted provided the 
submitter provides an explanation justifying additional time within the 
time period specified in Sec.  1206.601(b)(4).



Sec.  1206.603  Notice of intent to disclose.

    (a) The Agency shall carefully consider any objections of the 
submitter in the course of determining whether to disclose commercial 
information. The Agency, not the submitter, is responsible for deciding 
whether the information will be released or withheld.
    (b) Whenever the Agency decides to disclose commercial information 
over the objection of a submitter, the Agency shall forward to the 
submitter a written statement which shall include the following:
    (1) A brief explanation as to why the Agency did not agree with any 
objections;
    (2) A description of the commercial information to be disclosed, 
sufficient to identify information to the submitter; and
    (3) A date after which disclosure is expected, which shall be no 
less than 10 working days from the date of the letter providing 
notification to the submitter by the FOIA Office (Sec.  1206.601).
    (c) The FOIA office will provide notification regarding a FOIA 
lawsuit:
    (1) To a submitter, when a requester brings suit seeking to compel 
disclosure of commercial information; or
    (2) To a requester, when a submitter brings suit against the Agency 
in order to prevent disclosure of commercial information.



                            Subpart G_Appeals



Sec.  1206.700  How to submit an appeal.

    (a) A member of the public who has requested an Agency record in 
accordance with subpart C of this part, and who has received an initial 
determination which does not comply fully with the request, may appeal 
such an adverse initial determination to the Administrator, or, for 
records as specified in Sec.  1206.805, to the Inspector General within 
30 days from the date of the initial determination letter.
    (b) The appeal must:
    (1) Be in writing;
    (2) Be addressed to the Administrator, NASA Headquarters, Executive 
Secretariat, Washington, DC 20546, or, for records as specified in Sec.  
1206.805, to the Inspector General, NASA Headquarters, Washington, DC 
20546;
    (3) Be identified clearly on the envelope and in the letter as an 
``Appeal under the Freedom of Information Act;''
    (4) Include a copy of the initial request for the Agency record and 
a copy of the adverse initial determination along with any other 
correspondence with the FOIA office;
    (5) To the extent possible, state the reasons the adverse initial 
determination should be reversed; and
    (6) Be sent to the Administrator or the Inspector General, as 
appropriate, within 30 days of the date of the initial determination.
    (c) An official authorized to make a final determination may waive 
any of the requirements of paragraph (b) of this section, in which case 
the time

[[Page 62]]

limit for the final determination (see Sec.  1206.701(a)) shall run from 
the date of such waiver.



Sec.  1206.701  Actions on appeals.

    (a) Except as provided in Sec.  1206.403, the Administrator or 
designee, or in the case of records as specified in Sec.  1206.805, the 
Inspector General or designee, shall make a final determination on an 
appeal and notify the appellant thereof, within 20 working days after 
the receipt of the appeal by the Administrator's Office.
    (b) In ``unusual circumstances'' as defined in Sec.  1206.403, the 
time limit for a final determination may be extended, but not to exceed 
a total of 10 working days in the aggregate in the processing of any 
specific appeal for an Agency record. The extension must be taken before 
the expiration of the 20 working day time limit. The appellant will be 
notified in writing in accordance with Sec.  1206.403.
    (c) If processing time will exceed or is expected to exceed 30 
working days, the appellant will be notified of the delay in processing 
and the reason for the delay.
    (d) If the final determination reverses in whole or in part the 
initial determination, the record requested (or portions thereof) shall 
be made available promptly to the requester, as provided in the final 
determination.
    (e) If a reversal in whole or in part of the initial determination 
requires additional document search or production, associated fees will 
be applicable in accordance with fee guidance in this regulation.
    (f) If the final determination sustains in whole or in part an 
adverse initial determination, the notification of the final 
determination shall:
    (1) Explain the basis on which the record (or portions thereof) will 
not be made available;
    (2) Include the name and title of the person making the final 
determination;
    (3) Include a statement that the final determination is subject to 
judicial review under 5 U.S.C. 552(a)(4);
    (4) Provide a statement regarding the mediation services of the 
Office of Government Information Services (OGIS) as a non-exclusive 
alternative to litigation; and
    (5) Enclose a copy of 5 U.S.C. 552(a)(4).
    (g) Before seeking a review by a court of a FOIA office's adverse 
initial determination, a requester must generally submit a timely 
administrative appeal in accordance with this part.



Sec.  1206.702  Litigation.

    In any instance in which a requester brings suit concerning a 
request for an Agency record under this part, the matter shall promptly 
be referred to the General Counsel with a report on the details and 
status of the request.



                       Subpart H_Responsibilities



Sec.  1206.800  Delegation of authority.

    Authority necessary to carry out the responsibilities specified in 
this subpart is delegated from the Administrator to the officials named 
in this subpart.



Sec.  1206.801  Chief FOIA Officer.

    (a) The Associate Administrator, Office of Communications, is 
designated as the Chief FOIA Officer for the Agency. The Chief FOIA 
Officer is delegated authority for administering the FOIA and all 
related laws and regulations within the Agency. The Associate 
Administrator has delegated the day-to-day oversight of the Agency FOIA 
Program to the Deputy Associate Administrator for Communications.
    (b) The Deputy Associate Administrator for Communications has 
delegated the overall responsibility for developing and administering 
the FOIA program within NASA to the Principal Agency FOIA Officer, 
located in the Office of Communications. This includes:
    (1) Developing regulations, guidelines, procedures, and standards 
for the Agency's FOIA program;
    (2) Overseeing all FOIA offices and programs and ensuring they are 
in compliance with FOIA laws and regulations;
    (3) Ensuring implementation of the FOIA Programs throughout the 
Agency and keeping the Chief FOIA Officer and the Deputy Associate 
Administrator for Communications informed of the Agency's FOIA 
performance;
    (4) Providing program oversight, technical assistance, and training 
to

[[Page 63]]

employees to ensure compliance with the Act;
    (5) Preparing the Agency's FOIA Annual Report to the Department of 
Justice (DOJ) and Congress, as well as the Chief FOIA Officer's Report;
    (6) Preparing all other reports as required to DOJ/Congress or 
within the Agency;
    (7) Developing, conducting, and reviewing all internal Agency FOIA 
training for NASA FOIA staff;
    (8) Directly supervising the Headquarters FOIA Office.
    (c) The Chief FOIA Officer is responsible for ensuring NASA has 
appointed a FOIA Public Liaison, who is responsible for assisting in 
reducing delays, increasing transparency and understanding of the status 
of requests, and assisting in the resolution of disputes at each Center 
or Component.



Sec.  1206.802  General Counsel.

    The General Counsel is responsible for the interpretation of 5 
U.S.C. 552 and of this part, as well as providing legal guidance with 
regard to disclosure of Agency records. The General Counsel is also 
responsible for the handling of appeals and litigation in connection 
with a request for an Agency record under this part.



Sec.  1206.803  NASA Headquarters.

    Except as otherwise provided under this subpart, the Deputy 
Associate Administrator for Communications is responsible for the 
following:
    (a) Delegating the authority for direct oversight of the 
Headquarters FOIA Office to the Principal Agency FOIA Officer.
    (b) When denying records in whole or in part, ensuring the 
Headquarters FOIA Office consults with the General Counsel charged with 
providing legal advice to Headquarters before releasing an initial 
determination under Sec.  1206.307.



Sec.  1206.804  NASA Centers and Components.

    Except as otherwise provided in this subpart, in coordination with 
the Deputy Associate Administrator for Communications, the Director of 
each NASA Center or the Official-in-Charge of each Center, is 
responsible for ensuring the following:
    (a) The Director of Public Affairs or the Head of the Public Affairs 
Office at the Center has delegated authority to process all FOIA 
requests at their respective Center.
    (b) This delegated authority has further been delegated to the FOIA 
Officer at their Center or in the absence of a FOIA Officer, the FOIA 
Specialist, both of whom must report to and be supervised by their 
Director of Public Affairs or the Head of the Public Affairs Office.
    (c) When denying records in whole or in part, the FOIA Officer at 
the Center will consult with the Chief Counsel or the Counsel charged 
with providing legal advice to that FOIA office before releasing an 
initial determination under Sec.  1206.307.



Sec.  1206.805  Inspector General.

    (a) The Inspector General or designee is responsible for making 
final determinations under Sec.  1206.701, within the time limits 
specified in subpart G of this part, concerning audit, inspection and 
investigative records originating in the Office of the Inspector General 
records from outside the Government related to an audit, inspection or 
investigation, records prepared in response to a request from or 
addressed to the Office of the Inspector General, or other records 
originating within the Office of the Inspector General, after 
consultation with the General Counsel or designee on an appeal of an 
initial determination to the Inspector General.
    (b) The Assistant Inspectors General or their designees are 
responsible for making initial determinations under subpart C concerning 
Office of Inspector General records originating in the Office of the 
Inspector General, records from outside the Government related to Office 
of Inspector General records prepared in response to a request from or 
addressed to the Office of the Inspector General, or other records 
originating with the Office of the Inspector General, after consultation 
with the Counsel to the Inspector General or designee.

[[Page 64]]

    (c) The Inspector General or designee is responsible for ensuring 
that requests for Agency records as specified in paragraphs (a) and (b) 
of this section are processed and initial determinations are made within 
the time limits specified in subpart D of this part.
    (d) The Inspector General or designee is responsible for determining 
whether unusual circumstances exist under Sec.  1206.403 that would 
justify extending the time limit for an initial or final determination, 
for records as specified in paragraphs (a) and (b) of this section.
    (e) Records as specified in paragraphs (a) and (b) of this section 
include any records located at Regional and field Inspector General 
Offices, as well as records located at the Headquarters Office of the 
Inspector General.



     Subpart I_Location for Inspection and Request of Agency Records



Sec.  1206.900  FOIA offices and electronic libraries.

    (a) NASA Headquarters and each NASA Center have a FOIA Electronic 
Library on the Internet. The Electronic library addresses are located on 
the NASA FOIA homepage http://www.hq.nasa.gov/office/pao/FOIA/agency/
    (b) In addition, a requester may submit a FOIA request 
electronically. The addresses are located on the NASA FOIA homepage 
under each Center link.



PART 1207_STANDARDS OF CONDUCT--Table of Contents



                      Subpart A_General Provisions

Sec.
1207.101 Cross-references to ethical conduct, financial disclosure, and 
          other applicable regulations.
1207.102 Waiver of prohibition in 18 U.S.C. 208.
1207.103 Designations of responsible officials.

                  Subpart B_Post-Employment Regulations

1207.201 Scope of subpart.
1207.202 Exemption for scientific and technological communications.

    Authority: 5 U.S.C. 7301; 18 U.S.C. 207-208; 42 U.S.C. 2473(c)(1); 5 
CFR 2635.102(b); 5 CFR part 2637; 5 CFR part 2640.

    Source: 52 FR 22755, June 16, 1987, unless otherwise noted.



                      Subpart A_General Provisions



Sec.  1207.101  Cross-references to ethical conduct, financial
disclosure, and other applicable regulations.

    Employees of the National Aeronautics and Space Administration 
(NASA) should refer to the executive branch-wide Standards of Ethnical 
Conduct at 5 CFR part 2635, the NASA regulation at 5 CFR part 6901 which 
supplements the executive branch-wide standards with respect to 
prohibitions and prior approval requirements applicable to certain 
outside employment activities, the Office of Personnel Management 
provisions on employee responsibilities and conduct at 5 CFR part 735, 
and the executive branch-wide financial disclosure regulation at 5 CFR 
part 2634.

[59 FR 49338, Sept. 28, 1994]



Sec.  1207.102  Waiver of prohibition in 18 U.S.C. 208.

    (a) Prohibition. Employees are prohibited by criminal statute, 18 
U.S.C. 208(a), from participating personally and substantially in an 
official capacity in any particular matter in which, to their knowledge, 
they, or any person whose interests are imputed to them under the 
statute, have a financial interest, if the particular matter will have a 
direct and predictable effect on that interest.
    (b) Specific waiver available. A NASA employee may request a waiver 
of this prohibition. NASA may grant a specific waiver of the prohibition 
only if the Agency determines that the employee's financial interest is 
not so substantial as to be deemed likely to affect the integrity of the 
employee's services. The waiver must be obtained before the employee 
participates in the matter.
    (c) Officials authorized to make waiver determinations. (1) For the 
employees listed below, waivers must be approved by the Administrator or 
Deputy Administrator. No further delegation is authorized.
    (i) Employees who are required by 5 CFR 2634.202 to file Public 
Financial Disclosure Reports;

[[Page 65]]

    (ii) Employees who are appointed under authority of section 
203(c)(2) (``NASA Excepted Positions'') or section 203(c)(10) (``Alien 
Scientists'') of the National Aeronautics and Space Act of 1958, as 
amended (42 U.S.C. 2473(c)(2) and 2473(c)(10));
    (iii) Astronauts and astronaut candidates;
    (iv) Chief Counsel; and
    (v) Procurement Officers.
    (2) For all other Headquarters employees, the Associate 
Administrator for Headquarters Operations may approve waivers of 18 
U.S.C. 208. This authority may not be redelegated.
    (3) For all other Center employees, the Center Director or Deputy 
Center Director may approve waivers of 18 U.S.C. 208. This authority may 
not be redelegated.
    (d) Procedures for specific waiver. The employee's request for a 
waiver must be in writing. The request must describe the particular 
matter involved, the relevant duties of the employee, and the exact 
nature and amount of the disqualifying financial interest.
    (1) Headquarters employees. (i) Those Headquarters employees 
described in paragraph (c)(1) of this section must submit their requests 
to the Official-in-Charge of the Headquarters office in which they are 
employed and to the General Counsel for concurrence. The Official-in-
Charge will then submit the request to the Administrator with 
recommendations on the proposed waiver.
    (ii) Other Headquarters employees must submit their requests to the 
Associate General Counsel (General) for concurrence, and to the 
Associate Administrator for Headquarters Operations for approval.
    (2) Center employees. (i) Those Center employees described in 
paragraph (c)(1) of this section must submit their requests to the 
Center Chief Counsel for concurrence and then to the Director of the 
Center where they are employed. The Center Director will provide the 
request, with recommendations, to the appropriate Enterprise Associate 
Administrator and to the General Counsel for review and submission to 
the Administrator.
    (ii) Other Center employees must submit their requests to the Center 
Chief Counsel for concurrence, and then to their Center Director or 
Deputy Center Director for approval.
    (3) Copies of approved waivers must be forwarded to the Associate 
Administrator for Human Resources and Education, the General Counsel, 
and the Office of Government Ethics.
    (e) Cross-references. For regulations concerning general waiver 
guidance and exemptions under 18 U.S.C. 208, see 5 CFR part 2640.

[66 FR 59137, Nov. 27, 2001]



Sec.  1207.103  Designations of responsible officials.

    (a) Designated Agency Ethics Official. The General Counsel of NASA 
is the Designated Agency Ethics Official and is delegated the authority 
to coordinate and manage NASA's ethics program as set forth in 5 CFR 
2638.203.
    (b) Alternate Designated Agency Ethics Official. The Associate 
General Counsel (General) is the Alternate Designated Agency Ethics 
Official.
    (c) Deputy Ethics Officials. The following officials are designated 
as Deputy Ethics Officials:
    (1) The Deputy General Counsel;
    (2) The Associate General Counsel (General);
    (3) The Senior Ethics Attorney assigned to the Associate General 
Counsel (General); and
    (4) The Chief Counsel at each NASA Center and Component Facility.
    (d) Agency Designee. As used in 5 CFR part 2635, the term ``Agency 
Designee'' refers to the following:
    (1) For employees at NASA Headquarters, or for matters affecting 
employees Agencywide, the Associate Deputy Administrator, the Designated 
Agency Ethics Official, the Alternate Designated Agency Ethics Official, 
or the Chief of Staff; and
    (2) For Center employees, the Center Director, who may delegate 
specific responsibilities of the Agency Designee to the Center Chief 
Counsel or to another official who reports directly to the Center 
Director.
    (e) Cross-references. For regulations on the appointment, 
responsibilities, and authority of the Designated Agency Ethics 
Official, Alternate Designated Agency Ethics Official, and Deputy Ethics 
Officials, see 5 CFR part

[[Page 66]]

2638. For the responsibilities of the Agency Designee, see 5 CFR part 
2635.

[66 FR 59138, Nov. 27, 2001]



                  Subpart B_Post-Employment Regulations

    Source: 54 FR 4003, Jan. 27, 1989; 55 FR 9250, Mar. 12, 1990, unless 
otherwise noted. Redesignated at 59 FR 49338, Sept. 28, 1994.



Sec.  1207.201  Scope of subpart.

    This subpart provides guidance to former NASA government employees 
who are subject to the restrictions of Title V of the Ethics of 
Government Act of 1978, as amended, and who want to communicate 
scientific or technical information to NASA.



Sec.  1207.202  Exemption for scientific and technological communications.

    (a) Whenever a former government employee who is subject to the 
constraints of post-employment conflict of interest, 18 U.S.C. 207, 
wishes to communicate with NASA under the exemption in section 207(j)(5) 
for the making of a communication solely for the purpose of furnishing 
scientific or technological information, he or she shall state to the 
NASA employee contracted, the following information:
    (1) That he or she is a former government employee subject to the 
post employment restrictions of 18 U.S.C. 207 (a), (c), or (d)--specify 
which;
    (2) That he or she worked on certain NASA programs--enumerate which; 
and
    (3) That the communication is solely for the purpose of furnishing 
scientific or technological information.
    (b) If the former government employee has questions as to whether 
the communication comes within the scientific and technological 
exemption, he or she should contact the General Counsel, the designated 
agency ethics official.

[54 FR 4003, Jan. 27, 1989; 55 FR 9250, Mar. 12, 1990. Redesignated and 
amended at 59 FR 49338, Sept. 28, 1994]



PART 1208_UNIFORM RELOCATION ASSISTANCE AND REAL PROPERTY ACQUISITION
FOR FEDERAL AND FEDERALLY ASSISTED PROGRAMS--Table of Contents



    Authority: Sec. 213, Uniform Relocation Assistance and Real Property 
Acquisition Policies Act of 1970, Pub. L. 91-646, 84 Stat. 1894 (42 
U.S.C. 4601) as amended by the Surface Transportation and Uniform 
Relocation Assistance Act of 1987, Title IV of Pub. L. 100-17, 101 Stat. 
246-256 (42 U.S.C. 4601 note).



Sec.  1208.1  Uniform Relocation Assistance and Real Property Acquisition.

    Regulations and procedures for complying with the Uniform Relocation 
Assistance and Real Property Acquisition Policies Act of 1970 (Pub. L. 
91-646, 84 Stat. 1894, 42 U.S.C. 4601), as amended by the Surface 
Transportation and Uniform Relocation Assistance Act of 1987 (Title IV 
of Pub. L. 100-17, 101 Stat. 246-255, 42 U.S.C. 4601 note) are set forth 
in 24 CFR part 24.

[52 FR 48017, Dec. 17, 1987; 54 FR 8912, Mar. 2, 1989]



PART 1209_BOARDS AND COMMITTEES--Table of Contents



Subparts 1-2 [Reserved]

                   Subpart 3_Contract Adjustment Board

Sec.
1209.300 Scope.
1209.301 Authority.
1209.302 Establishment of Board.
1209.303 Functions of Board.
1209.304 Membership.
1209.305 Legal advice and assistance.

              Subpart 4_Inventions and Contributions Board

1209.400 Scope.
1209.401 Establishment.
1209.402 Responsibilities.
1209.403 Organizational location.
1209.404 Membership.
1209.405 Supporting services.

Subparts 1-2 [Reserved]

[[Page 67]]



                   Subpart 3_Contract Adjustment Board

    Authority: Pub. L. 85-804 and 51 U.S.C. 20113.

    Source: 51 FR 28924, Aug. 13, 1986, unless otherwise noted.



Sec.  1209.300  Scope.

    This subpart continues in effect the Contract Adjustment Board 
(hereinafter referred to as ``the Board'') to consider and dispose of 
requests for extraordinary contractual adjustments by contractors of the 
National Aeronautics and Space Administration (hereinafter referred to 
as NASA).



Sec.  1209.301  Authority.

    (a) The Act of August 28, 1958 (50 U.S.C. 1431-35) (hereinafter 
referred to as ``the Act''), empowers the President to authorize 
departments and agencies exercising functions in connection with the 
national defense to enter into contracts or into amendments or 
modifications of contracts and to make advance payments, without regard 
to other provisions of law relating to the making, performance, 
amendment, or modification of contracts, whenever the President deems 
that such action would facilitate the national defense.
    (b) Executive Order No. 10789, dated November 14, 1958 (23 FR 8897), 
authorizes the Administrator, NASA, to exercise the authority conferred 
by the Act and to prescribe regulations for the carrying out of such 
authority.
    (c) Federal Acquisition Regulation (FAR), part 50, April 1, 1985, 
and NASA/FAR Supplement 84-2, part 18-50, October 19, 1984, establishes 
standards and procedures for the disposition of requests for 
extraordinary contractual adjustments by NASA contractors.



Sec.  1209.302  Establishment of Board.

    The Board was established on May 15, 1961, and is continued in 
effect by this regulation.

[51 FR 28924, Aug. 13, 1986, as amended at 78 FR 20423, Apr. 5, 2013]



Sec.  1209.303  Functions of Board.

    (a) The Board is authorized to act for and exercise the authority of 
the Administrator in cases involving request by NASA contractors for 
extraordinary contractual adjustments under the Act. Such authority will 
be exercised in accordance with the standards and procedures established 
by the Administrator, subject to such limitations as the Administrator 
may prescribe.
    (b) The Board shall have the power to approve, authorize or direct 
any action, including the modification or release of any obligations, 
and to make determinations and findings which are necessary or 
appropriate for the conduct of its functions, and may adopt such rules 
of procedure as it considers desirable.
    (c) The concurring vote of a majority of the total Board membership 
shall constitute an action of the Board. Decisions of the Board shall be 
final but the Board may reconsider and modify, correct or reverse any 
Board decision previously made.



Sec.  1209.304  Membership.

    The Board will consist of a chairperson and four other members, all 
of whom shall be appointed by the Administrator.



Sec.  1209.305  Legal advice and assistance.

    The General Counsel of NASA shall provide the Board with all 
necessary advice and assistance.



              Subpart 4_Inventions and Contributions Board

    Authority: 51 U.S.C. 20135(g) and 20136.

    Source: 51 FR 3945, Jan. 31, 1986, unless otherwise noted.



Sec.  1209.400  Scope.

    This subpart describes the functions, authority, and membership of 
the NASA Inventions and Contributions Board (hereafter referred to as 
``the Board'').



Sec.  1209.401  Establishment.

    Pursuant to the authority of the National Aeronautics and Space Act 
of 1958 as amended (42 U.S.C. 2457(f) and 2458) and the Government 
Employees Incentive Awards Act of 1954 (5 U.S.C. 4501-6), the Board was 
established on December 4, 1958, and is further continued in effect by 
this subpart 4.

[[Page 68]]



Sec.  1209.402  Responsibilities.

    (a) Waiver of rights in inventions. Under the authority of 51 U.S.C. 
20135(g) and pursuant to 14 CFR part 1245 subpart 1, the Board will 
receive and evaluate petitions for waiver of rights of the United States 
to inventions, accord each interested party an opportunity for a 
hearing, and transmit to the Administrator its findings of fact as to 
such petitions and its recommendations for action to be taken with 
respect thereto.
    (b) Monetary awards for scientific and technical contributions. (1) 
Under the authority of 51 U.S.C. 20136 and pursuant to 14 CFR part 1240, 
the Board will receive and evaluate each application for award for any 
scientific or technical contribution to the Administration which is 
determined to have significant value in the conduct of aeronautical and 
space activities, will accord each applicant an opportunity for a 
hearing upon such application, and will then transmit to the 
Administrator its recommendation as to the amount of the monetary award 
and the terms of the award, if any, to be made for such contribution.
    (2) If the contribution is made by a Government employee, the Board 
is also authorized to consider such contribution for award under the 
Incentive Awards Program and to make an award, if any, on its own 
cognizance, up to the amount of $10,000, in accordance with NASA 
supplements to Chapter 451 of the Federal Personnel Manual covering this 
subject.

[76 FR 44462, July 26, 2011]



Sec.  1209.403  Organizational location.

    The Board shall be established within an office or department of 
NASA as designated by the Administrator.

[76 FR 44462, July 26, 2011]



Sec.  1209.404  Membership.

    (a) The Board will consist of a full-time Chairperson and at least 
six members appointed by the Administrator from within NASA. One of the 
members will be designated by the Chairperson as Vice-Chairperson. The 
Chairperson is responsible directly to the Administrator.
    (b) The Chairperson of the Board is appointed for an unlimited 
period. All other Board members normally will be appointed initially for 
a period of 3 years. The Chairperson is authorized to extend the initial 
appointment of any Board member for an additional period of service. If 
a member resigns or is otherwise unable to participate in the Board's 
activities, a replacement may be appointed for the remainder of the 
uncompleted term and, with the approval of the Chairperson, may be 
appointed for a full 3-year term upon the expiration of the original 
term. This procedure will provide the Board with a continual infusion of 
new members with a variety of professional backgrounds and interests. 
Duties performed by the members of the Board will be in addition to 
their regular duties.
    (c) The Chairperson is authorized to:
    (1) Assemble the Board as required to discharge the duties and 
responsibilities of the Board;
    (2) Establish such panels as may be considered necessary to 
discharge the responsibilities and perform the functions of the Board; 
and
    (3) Issue implementing rules and procedures, and take such other 
actions as are necessary to perform the Board's functions.



Sec.  1209.405  Supporting services.

    (a) The staff of the Board is established to assist the Board in 
discharging its functions and responsibilities. The staff will:
    (1) Prepare analyses of petitions for waiver of rights to inventions 
for the consideration of the Board;
    (2) Prepare evaluation of proposed awards;
    (3) Document Board actions; and
    (4) Perform such other functions as may be required.
    (b) A full-time director of the staff will serve as a nonvoting 
member of the Board, and will direct the activities of the staff of the 
Board.
    (c) The director of the staff of the Board will report to the 
Chairperson of the Board.

                       PARTS 1210	1211 [RESERVED]

[[Page 69]]



PART 1212_PRIVACY ACT_NASA REGULATIONS--Table of Contents



                       Subpart 1212.1_Basic Policy

Sec.
1212.100 Scope and purpose.
1212.101 Definitions.

              Subpart 1212.2_Requests for Access to Records

1212.200 Procedures for requesting records subject to the Privacy Act.
1212.201 Requesting a record.
1212.202 Identification procedures.
1212.203 Disclosures.
1212.204 Fees.
1212.205 Exceptions to individuals' rights of access.

            Subpart 1212.3_Amendments to Privacy Act Records

1212.300 Requesting amendment.
1212.301 Processing the request to amend.
1212.302 Granting the request to amend.

               Subpart 1212.4_Appeals and Related Matters

1212.400 Appeals.
1212.401 Filing statements of dispute.
1212.402 Disclosure to third parties of disputed records.

       Subpart 1212.5_Exemptions to Individuals' Rights of Access

1212.500 Exemptions under 5 U.S.C. 552a (j) and (k).
1212.501 Record systems determined to be exempt.

             Subpart 1212.6_Instructions for NASA Employees

1212.600 General policy.
1212.601 Maintenance and publication requirements for systems of 
          records.
1212.602 Requirements for collecting information.
1212.603 Mailing lists.
1212.604 Social security numbers.
1212.605 Safeguarding information in systems of records.
1212.606 Duplicate copies of records or portions of records.

           Subpart 1212.7_NASA Authority and Responsibilities

1212.700 NASA employees.
1212.701 Associate Deputy Administrator.
1212.702 The Inspector General.
1212.703 NASA Chief Information Officer.
1212.704 Headquarters and Field Centers or Component Facilities.
1212.705 System manager.
1212.706 Assistant Administrator for Procurement.
1212.707 Delegation of authority.

     Subpart 1212.8_Failure To Comply With Requirements of This Part

1212.800 Civil remedies.
1212.801 Criminal penalties.

    Authority: The National Aeronautics and Space Act, as amended, 51 
U.S.C. 20101 et seq.; the Privacy Act of 1974, as amended, 88 Stat. 
1896, 5 U.S.C. 552a.

    Source: 57 FR 4928, Feb. 11, 1992, unless otherwise noted.



                       Subpart 1212.1_Basic Policy



Sec.  1212.100  Scope and purpose.

    This part 1212 implements the Privacy Act of 1974, as amended (5 
U.S.C. 552a). It establishes procedures for individuals to access their 
Privacy Act records and to request amendment of information in records 
concerning them. It also provides procedures for administrative appeals 
and other remedies. This part applies to systems of records located at 
or under the cognizance of NASA Headquarters, NASA Field Centers, and 
NASA Component Installations, as defined in part 1201 of this chapter.

[57 FR 4928, Feb. 11, 1992, as amended at 77 FR 60621, Oct. 4, 2012]



Sec.  1212.101  Definitions.

    For the purposes of this part, the following definitions shall apply 
in addition to definitions contained in the Privacy Act of 1974, as 
amended (5 U.S.C. 552a):
    (a) The term individual means a living person who is either a 
citizen of the United States or an alien lawfully admitted for permanent 
residence.
    (b) The term maintain includes maintain, collect, use or 
disseminate.
    (c) The term record means any item, collection, or grouping of 
information about an individual including, but not limited to, 
education, financial transactions, medical history, and criminal or 
employment history, and that contains a name, or the identifying number, 
symbol, or other identifying particular assigned to the individual, such

[[Page 70]]

as a finger or voice print or a photograph.
    (d) The term system of records means a group of any records from 
which information is retrieved by the name of the individual or by some 
identifying number, symbol or other identifying particular assigned to 
the individual.
    (e) The term system manager means the NASA official who is 
responsible for a system of records as designated in the system notice 
of that system of records published in the Federal Register. When a 
system of records includes portions located at more than one NASA 
Center, the term system manager includes any subsystem manager 
designated in the system notice as being responsible for that portion of 
the system of records located at the respective Center.
    (f) The term systems notice means, with respect to a system of 
records the publication of information in the Federal Register upon 
establishment or revision of the existence and character of the system 
of records. The notice shall include that information as required by 5 
U.S.C. 552a(e)(4).
    (g) The term routine use means, with respect to the disclosure of a 
record, the use of the record for a purpose which is compatible with the 
purpose for which it was collected.
    (h) The term NASA employee or NASA official, particularly for the 
purpose of Sec.  1212.203(g) relates to the disclosure of a record to 
those who have a need for the record in the performance of their 
official duties, includes employees of a NASA contractor which operates 
or maintains a NASA system of records for or on behalf of NASA.

[57 FR 4928, Feb. 11, 1992, as amended at 77 FR 60621, Oct. 4, 2012]



              Subpart 1212.2_Requests for Access to Records



Sec.  1212.200  Procedures for requesting records subject to the
Privacy Act.

    The procedures outlined in this subpart 1212.2 apply to the 
following types of requests made by individuals under the Privacy Act 
concerning records about themselves:
    (a) To determine if information on the requester is included in a 
system of records;
    (b) For access to a record under 5 U.S.C. 552a(d)(1); and
    (c) For an accounting of disclosures of the individual's Privacy Act 
records under 5 U.S.C. 552a(c)(3).

[57 FR 4928, Feb. 11, 1992, as amended at 77 FR 60621, Oct. 4, 2012]



Sec.  1212.201  Requesting a record.

    (a) Individuals may request access to their Privacy Act records, 
either in person or in writing.
    (b) Individuals may also authorize a third party to have access to 
their Privacy Act records. This authorization shall be in writing, 
signed by the individual and contain the individual's address as well as 
the name and address of the representative being authorized access. The 
identities of both the subject individual and the representative must be 
verified in accordance with the procedures set forth in Sec.  1212.202 
of this part.
    (c)(1) Requests must be directed to the appropriate system manager, 
or, if unknown, to the Center Privacy Manager or Freedom of Information 
Act (FOIA) Office at NASA Headquarters or Field Center. The request 
should be identified clearly on the envelope and on the letter as a 
``Request Under the Privacy Act.''
    (2) Where possible, requests should contain the following 
information to ensure timely processing:
    (i) Name and address of subject.
    (ii) Identity of the system of records.
    (iii) Nature of the request.
    (iv) Identifying information specified in the applicable system 
notice to assist in identifying the request, such as location of the 
record, if known, full name, birth date, time periods in which the 
records are believed to have been compiled, etc.
    (d) NASA has no obligation to comply with a nonspecific request for 
access to information concerning an individual, e.g., a request to 
provide copies of ``all information contained in your files concerning 
me,'' although a good faith effort will be made to locate records if 
there is reason to believe NASA has records on the individual. If the 
request is so incomplete or incomprehensible that the requested record

[[Page 71]]

cannot be identified, additional information or clarification will be 
requested in the acknowledgement, and assistance to the individual will 
be offered as appropriate.
    (e) If the Center Privacy Manager receives a request for access, the 
Privacy Manager will record the date of receipt and immediately forward 
the request to the responsible system manager for handling.
    (f) If the Center FOIA Office receives a first party request for 
records or access, the FOIA Office will process the request under the 
Privacy Act pursuant to this part.
    (g) Normally, the system manager shall respond to a request for 
access within 10 work days of receipt of the request and the access 
shall be provided within 30 work days of receipt.
    (1) In response to a request for access, the system manager shall:
    (i) Notify the requester that there is no record on the individual 
in the system of records and inform the requester of the procedures to 
follow for appeal (See Sec.  1212.4);
    (ii) Notify the requester that the record is exempt from disclosure, 
cite the appropriate exemption, and inform the requester of the 
procedures to follow for appeal (See Sec.  1212.4);
    (iii) Upon request, promptly provide copies of the record, subject 
to the fee requirements (Sec.  1212.204); or
    (iv) Make the individual's record available for personal inspection 
in the presence of a NASA representative.
    (2) Unless the system manager agrees to another location, personal 
inspection of the record shall be at the location of the record as 
identified in the system notice.
    (3) When an individual requests records in a system of records 
maintained on a third party, the request shall be processed as a Freedom 
of Information Act (FOIA) request under 14 CFR part 1206. If the records 
requested are subject to release under FOIA (5 U.S.C. 552(b)), then a 
Privacy Act exemption may not be invoked to deny access.
    (4) When an individual requests records in a system of records 
maintained on the individual, the request shall be processed under this 
part. NASA will not rely on exemptions contained in FOIA to withhold any 
record which is otherwise accessible to the individual under this part.

[57 FR 4928, Feb. 11, 1992, as amended at 77 FR 60621, Oct. 4, 2012; 78 
FR 8963, Feb. 7, 2013]



Sec.  1212.202  Identification procedures.

    (a) The system manager will release records to the requester or 
representative in person only upon production of satisfactory 
identification which includes the individual's name, signature, and 
photograph or physical description.
    (b) The system manager will release copies of records by mail only 
when the circumstances indicate that the requester and the subject of 
the record are the same. The system manager may require that the 
requester's signature be notarized or witnessed by two individuals 
unrelated to the requester.
    (c) Identity procedures more stringent than those required in this 
section may be prescribed in the system notice when the records are 
medical or otherwise sensitive.



Sec.  1212.203  Disclosures.

    (a) The system manager shall keep a disclosure accounting for each 
disclosure to a third party of a record from a system of records. This 
includes records disclosed pursuant to computer matching programs.
    (b) Disclosure accountings are not required but are recommended for 
disclosures made:
    (1) With the subject individual's consent; or
    (2) In accordance with Sec.  1212.203(f) (1) and (2), below.
    (c) The disclosure accounting required by paragraph (a) of this 
section shall include:
    (1) The date, nature, and purpose of the disclosure; and
    (2) The name and address of the recipient person or Agency.
    (d) The disclosure accounting shall be retained for at least 5 years 
after the disclosure or for the life of the record, whichever is longer.
    (e) The disclosure accounting maintained under the requirements of 
this section is not itself a system of records.
    (f) Records in a NASA system of records may not be disclosed to 
third

[[Page 72]]

parties without the consent of the subject individual. However, in 
consonance with 5 U.S.C. 552a(b), disclosure may be authorized without 
consent, if disclosure would be:
    (1) To an officer or employee of NASA who has a need for the record 
in the performance of official duties;
    (2) Required under the Freedom of Information Act (5 U.S.C. 552) and 
part 1206 of this chapter;
    (3) For a routine use described in the system notice for the system 
of records;
    (4) To the Bureau of the Census for purposes of planning or carrying 
out a census or survey or related activity pursuant to the provisions of 
Title 13, U.S. Code;
    (5) To a recipient who has provided NASA with advance adequate 
written assurance that the record will be used solely as a statistical 
research or reporting record, and the record is to be transferred in a 
form that is not individually identifiable;
    (6) To the National Archives and Records Administration as a record 
which has sufficient historical or other value to warrant its continued 
preservation by the United States Government or for evaluation by the 
Archivist of the United States or the Archivist's designee to determine 
whether the record has such value;
    (7) To another agency or to an instrumentality of any governmental 
jurisdiction within or under the control of the United States for a 
civil or criminal law enforcement activity, if the activity is 
authorized by law and if the head of the agency or instrumentality has 
made a written request to NASA specifying the particular portion desired 
and the law enforcement activity for which the record is sought;
    (8) To a person pursuant to a showing of compelling circumstances 
affecting the health or safety of an individual if upon such disclosure 
notification is transmitted to the last known address of such 
individual;
    (9) To either House of Congress or, to the extent the matter is 
within its jurisdiction, any committee or subcommittee, or any joint 
committee of Congress or subcommittee of any such joint committee;
    (10) To the Comptroller General, or any of the Comptroller's 
authorized representative(s), in the course of the performance of the 
duties of the General Accounting Office;
    (11) Pursuant to the order of a court of competent jurisdiction; or
    (12) To a consumer reporting agency in accordance with section 
3711(f) of Title 31.

[57 FR 4928, Feb. 11, 1992, as amended at 77 FR 60621, Oct. 4, 2012]



Sec.  1212.204  Fees.

    (a) Fees will not be charged for:
    (1) Search for a retrieval of the requesting individual's records;
    (2) Review of the records;
    (3) Making a copy of a record when it is a necessary part of the 
process of making the record available for review;
    (4) Transportation of the record(s);
    (5) Making a copy of an amended record to provide evidence of the 
amendment; or
    (6) Copies of records if this is determined to be in the best 
interest of the Government.
    (b) Fees for the duplication of records will be assessed in 
accordance with Sec.  1206.700(a) of this chapter.
    (c) Where it appears that duplication fees chargeable under this 
section will exceed $25, the requester shall be provided an estimate of 
the fees before copies are made. Where possible, the requester will be 
afforded the opportunity to confer with Agency personnel in a manner 
which will reduce the fees, yet still meet the needs of the requester.
    (d) Where the anticipated fee chargeable under this section exceeds 
$25, an advance deposit of part or all of the anticipated fee may be 
required.



Sec.  1212.205  Exceptions to individual's rights of access.

    (a) The NASA Administrator has determined that the systems of 
records set forth in Sec.  1212.501 are exempt from disclosure to the 
extent provided therein.
    (b) Medical records. Normally, an individual's medical record shall 
be disclosed to the individual, unless the system manages, in 
consultation with a medical doctor, determines that access

[[Page 73]]

to the record could have an adverse effect upon the individual. In this 
case, NASA shall allow access to the record by a medical doctor 
designated in writing by the requesting individual.
    (c) Test and qualification materials. Testing or examination 
material used solely to determine individual qualifications for 
appointment or promotion in the Federal service the disclosure of which 
would compromise the objectivity or fairness of the testing or 
examination process and copies of certificates of eligibles and other 
lists of eligibles, the disclosure of which is proscribed by 5 CFR 
300.201, shall be removed from an individual's record containing such 
information before granting access.
    (d) Information compiled for civil actions or proceedings. Nothing 
in this part shall allow an individual access to any information 
compiled in reasonable anticipation of a civil action or proceeding.



            Subpart 1212.3_Amendments to Privacy Act Records



Sec.  1212.300  Requesting amendment.

    Individuals may request that NASA amend their records maintained in 
a NASA system of records under the provisions of 5 U.S.C. 552a(d)(2). 
This request shall be in writing, addressed to the appropriate system 
manager, and shall contain the following:
    (a) A notation on the envelope and on the letter that it is a 
``Request for Amendment of Individual Record under the Privacy Act;''
    (b) The name of the system of records;
    (c) Any information necessary to retrieve the record, as specified 
in the system notice for the system of records (See Sec.  
1212.201(c)(2));
    (d) A description of that information in the record which is alleged 
to be inaccurate, irrelevant, untimely, or incomplete; and,
    (e) Any documentary evidence or material available to support the 
request.

[57 FR 4928, Feb. 11, 1992, as amended at 77 FR 60621, Oct. 4, 2012]



Sec.  1212.301  Processing the request to amend.

    (a) Within 10 work days of receipt by NASA of a request to amend a 
record, the system manager shall provide the requester with a written 
determination or acknowledgement advising when action may be taken.
    (b) When necessary, NASA may utilize up to 30 work days after 
receipt to provide the determination on a request to amend a record.
    (c) If the request for amendment is denied, the determination shall 
explain the reasons for the denial and inform the requester of the 
procedures to follow for appeal (See Sec.  1212.4)).



Sec.  1212.302  Granting the request to amend.

    NASA shall make the requested amendment clearly on the record itself 
and all information deemed to be inaccurate, irrelevant, or untimely 
shall be deleted and destroyed. Incomplete information shall either be 
amended or deleted and destroyed. The individual shall then be informed 
in writing that the amendment has been made. If the inaccurate, 
irrelevant, untimely, or incomplete portion of the record has previously 
been disclosed, then the system manager shall notify those persons or 
agencies of the amended information, referencing the prior disclosures 
(See Sec.  1212.402).



               Subpart 1212.4_Appeals and Related Matters



Sec.  1212.400  Appeals.

    (a) Individuals may appeal when they:
    (1) Have requested amendment of a record and have received an 
adverse initial determination;
    (2) Have been denied access to a record; or,
    (3) Have not been granted access within 30 work days of their 
request.
    (b) The Associate Deputy Administrator or designee is responsible 
for making final determinations of appeals as specified in paragraphs 
(a)(1) through (3) of this section for all Agency records, with the 
exception of those records originating in the Office of the

[[Page 74]]

Inspector General for which the Inspector General is responsible for 
making final determinations of appeals.
    (c) An appeal shall:
    (1) Be in writing and addressed to the Associate Deputy 
Administrator, NASA, Washington, DC 20546 or to the Inspector General, 
NASA Headquarters, Washington, DC 20546, for records as specified in 
paragraph (b) of this section;
    (2) Be identified clearly on the envelope and in the letter as an 
``Appeal under the Privacy Act;''
    (3) Include a copy of any pertinent documents; and
    (4) State the reasons for the appeal.
    (d) Appeals from adverse initial determinations or denials of access 
must be submitted within 30 work days of the date of the requester's 
receipt of the initial determination. Appeals involving failure to grant 
access may be submitted any time after the 30 work day period has 
expired (See Sec.  1212.201(f)).
    (e) A final determination on an appeal shall be made within 30 work 
days after its receipt by the Associate Deputy Administrator or 
Inspector General for appeals concerning records originating in the 
Office of the Inspector General, unless, for good cause shown, the 
Associate Deputy Administrator or Inspector General extends such 30 work 
day period. Prior to the expiration of the 30 work day period, the 
requester shall be notified of any such extension.
    (f) If a denial of a request to amend a record is upheld, the final 
determination shall:
    (1) Explain the basis for the detail;
    (2) Include information as to how the requester goes about filing a 
statement of dispute under the procedures of Sec.  1212.401; and,
    (3) Include a statement that the final determination is subject to 
judicial review under 5 U.S.C. 552a(g).

[57 FR 4928, Feb. 11, 1992, as amended at 77 FR 60621, Oct. 4, 2012]



Sec.  1212.401  Filing statements of dispute.

    (a) A statement of dispute shall:
    (1) Be in writing;
    (2) Set forth reasons for the individual's disagreement with NASA's 
refusal to amend the record;
    (3) Be concise;
    (4) Be addressed to the system manager; and,
    (5) Be identified on the envelope and in the letter as a ``Statement 
of Dispute under the Privacy Act.''
    (b) The system manager shall prepare an addendum to the statement 
explaining the basis for NASA's refusal to amend the disputed record. A 
copy of the addendum shall be provided to the individual.
    (c) The system manager shall ensure that the statement of dispute 
and addendum are either filed with the disputed record or that a 
notation appears in the record clearly referencing the statement of 
dispute and addendum so that they may be readily retrieved.



Sec.  1212.402  Disclosure to third parties of disputed records.

    (a) The system manager shall promptly provide persons or agencies to 
whom the disputed portion of a record was previously disclosed and for 
which an accounting of the disclosure exists under the requirements of 
Sec.  1212.203 of this part, with a copy of the statement of dispute and 
addendum, along with a statement referencing the prior disclosure. The 
subject individual shall be notified as to those individuals or agencies 
which are provided with the statement of dispute and addendum.
    (b) Any subsequent disclosure of a disputed record shall clearly 
note the portion of the record which is disputed and shall be 
accompanied by a copy of the statement of dispute and addendum.



       Subpart 1212.5_Exemptions to Individuals' Rights of Access



Sec.  1212.500  Exemptions under 5 U.S.C. 552a (j) and (k).

    (a) These provisions authorize the Administrator of NASA to exempt 
certain NASA Privacy Act systems of records from portions of the 
requirements of this regulation.
    (b) The Administrator has delegated this authority to the Associate 
Deputy Administrator (See Sec.  1212.701).

[[Page 75]]

    (c) For those NASA systems of records that are determined to be 
exempt, the system notice shall describe the exemption and the reasons.

[57 FR 4928, Feb. 11, 1992, as amended at 77 FR 60621, Oct. 4, 2012]



Sec.  1212.501  Record systems determined to be exempt.

    The Administrator has determined that the following systems of 
records are exempt to the extent provided hereinafter.
    (a) Inspector General Investigations Case Files--(1) Sections of the 
Act from which exempted. (i) The Inspector General Investigations Case 
Files system of records is exempt from all sections of the Privacy Act 
(5 U.S.C. 552a) except the following sections: (b) relating to 
conditions of disclosure; (c) (1) and (2) relating to keeping and 
maintaining a disclosure accounting; (e)(4) (A) through (F) relating to 
publishing a system notice setting forth name, location, categories of 
individuals and records, routine uses, and policies regarding storage, 
retrievability, access controls, retention and disposal of the records; 
(e) (6), (7), (9), (10), and (11) relating to dissemination and 
maintenance of records, and (i) relating to criminal penalties. This 
exemption applies to those records and information contained in the 
system of records pertaining to the enforcement of criminal laws.
    (ii) To the extent that noncriminal investigative files may exist 
within this system of records, the Inspector General Investigations Case 
Files system of records is exempt from the following sections of the 
Privacy Act (5 U.S.C. 552a): (c)(3) relating to access to the disclosure 
accounting, (d) relating to access to records, (e)(1) relating to the 
type of information maintained in the records; (e)(4) (G), (H), and (I) 
relating to publishing the system notice information as to agency 
procedures for access and amendment and information as to the categories 
of sources or records, and (f) relating to developing agency rules for 
gaining access and making corrections.
    (2) Reason for exemptions. (i) The Office of Inspector General is an 
office of NASA, a component of which performs as its principal function 
activity pertaining to the enforcement of criminal laws, within the 
meaning of 5 U.S.C. 552a(j)(2). This exemption applies only to those 
records and information contained in the system of records pertaining to 
criminal investigations. This system of records is exempt for one or 
more of the following reasons:
    (A) To prevent interference with law enforcement proceedings.
    (B) To avoid unwarranted invasion of personal privacy, by disclosure 
of information about third parties, including other subjects of 
investigation, investigators, and witnesses.
    (C) To protect the identity of Federal employees who furnish a 
complaint or information to the OIG, consistent with section 7(b) of the 
Inspector General Act of 1978, as amended, 5 U.S.C. App.
    (D) To protect the confidentiality of non-Federal employee sources 
of information.
    (E) To assure access to sources of confidential information, 
including that contained in Federal, State, and local criminal law 
enforcement information systems.
    (F) To prevent disclosure of law enforcement techniques and 
procedures.
    (G) To avoid endangering the life or physical safety of confidential 
sources and law enforcement personnel.
    (ii) Investigative records within this system of records which are 
compiled for law enforcement purposes, other than material within the 
scope of subsection (j)(2), are exempt under the provisions of 5 U.S.C. 
552a(k)(2): Provided, however, That if any individual is denied any 
right, privilege, or benefit that they would otherwise be entitled by 
Federal law, or for which they would otherwise be eligible, as a result 
of the maintenance of such material, such material shall be provided to 
such individual, except to the extent that the disclosure of such 
material would reveal the identity of a source who furnished information 
to the Government under an express promise that the identity of the 
source would be held in confidence, or, prior to January 1, 1975, under 
an implied promise that the identity of the sources would be held in 
confidence. This system of records is exempt for one or more of the 
following reasons:

[[Page 76]]

    (A) To prevent interference with law enforcement proceedings.
    (B) To protect investigatory material compiled for law enforcement 
purposes.
    (C) To avoid unwarranted invasion of personal privacy, by disclosure 
of information about third parties, including other subjects of 
investigation, law enforcement personnel, and sources of information.
    (D) To fulfill commitments made to protect the confidentiality of 
sources.
    (E) To protect the identity of Federal employees who furnish a 
complaint or information to the OIG, consistent with section 7(b) of the 
Inspector General Act of 1978, as amended, 5 U.S.C. App.
    (F) To assure access to sources of confidential information, 
including that contained in Federal, State, and local criminal law 
enforcement information systems.
    (G) To prevent disclosure of law enforcement techniques and 
procedures.
    (H) To avoid endangering the life or physical safety of confidential 
sources and law enforcement personnel.
    (iii) Records within this system of records comprised of 
investigatory material compiled solely for the purpose of determining 
suitability or eligibility for Federal civilian employment or access to 
classified information, are exempt under the provisions of 5 U.S.C. 
552a(k)(5), but only to the extent that disclosure would reveal the 
identity of a source who furnished information to the Government under 
an express promise that the identity of the source would be held in 
confidence, or prior to January 1, 1975, under an implied promise that 
the identity of the source would be held in confidence. This system of 
records is exempt for one or more of the following reasons:
    (A) To fulfill commitments made to protect the confidentiality of 
sources.
    (B) To assure access to sources of confidential information, 
including that contained in Federal, State, and local criminal law 
enforcement information systems.
    (b) Security Records System--(1) Sections of the Act from which 
exempted. The Security Records System is exempted from the following 
sections of the Privacy Act (5 U.S.C. 552a): (c)(3) relating to access 
to the disclosure accounting; (d) relating to access to the records; 
(e)(1) relating to the type of information maintained in the records; 
(e)(4) (G), (H), and (I) relating to publishing the system notice 
information as to agency procedures for access and amendment, and 
information as to the categories of sources of records; and (f) relating 
to developing Agency rules for gaining access and making corrections.
    (2) Reason for exemption. (i) Personnel Security Records contained 
in the system of records which are compiled solely for the purpose of 
determining suitability, eligibility, or qualifications for Federal 
civilian employment, Federal contracts, or access to classified 
information are exempt under the provisions of 5 U.S.C. 552a(k)(5), but 
only to the extent that the disclosure of such material would reveal the 
identity of the source who furnished information to the Government under 
an express promise that the identity of the source would be held in 
confidence, or, prior to January 1, 1975, under an implied promise that 
the identity of the sources would be held in confidence. This system of 
records is exempt for one or more of the following reasons:
    (A) To fulfill commitments made to protect the confidentiality of 
sources.
    (B) To assure access to sources of confidential information, 
including that contained in Federal, State, and local criminal law 
enforcement information systems.
    (ii) Criminal Matter Records are contained in the system of records 
and are exempt under the provisions of 5 U.S.C. 552a(k)(2): Provided, 
however, That if any individual is denied any right, privilege, or 
benefit that they would otherwise be entitled by Federal law, or for 
which they would otherwise be eligible, as a result of the maintenance 
of such material, such material shall be provided to such individual, 
except to the extent that the disclosure of such material would reveal 
the identity of a source who furnished information to the Government 
under an express promise that the identity of the source would be held 
in confidence, or, prior to January 1, 1975, under an implied promise 
that the identity of the sources would be held in confidence. This 
system of records is exempt for one or more of the following reasons:

[[Page 77]]

    (A) To prevent interference with law enforcement proceedings.
    (B) To protect investigatory material compiled for law enforcement 
purposes.
    (C) To avoid unwarranted invasion of personal privacy, by disclosure 
of information about third parties, including other subjects of 
investigation, law enforcement personnel, and sources of information.
    (D) To fulfill commitments made to protect the confidentiality of 
sources.
    (E) To assure access to sources of confidential information, 
including that contained in Federal, State, and local criminal law 
enforcement information systems.
    (F) To prevent disclosure of law enforcement techniques and 
procedures.
    (G) To avoid endangering the life or physical safety of confidential 
sources and law enforcement personnel.
    (iii) The system of records includes records subject to the 
provisions of 5 U.S.C. 552(b)(1) (required by Executive order to be kept 
secret in the interest of national defense or foreign policy), and such 
records are exempt under 5 U.S.C. 552a(k)(1).

[57 FR 4928, Feb. 11, 1992, as amended at 77 FR 60621, Oct. 4, 2012]



             Subpart 1212.6_Instructions for NASA Employees



Sec.  1212.600  General policy.

    In compliance with the Privacy Act and in accordance with the 
requirements and procedures of this regulation, NASA has an obligation 
to:
    (a) Advise individuals, when requested, as to whether any specific 
system of records maintained by NASA contains records pertaining to 
them;
    (b) Prevent records being maintained by NASA in a system of records 
for a specific purpose from being used or made available for another 
purpose without the individual's consent; and,
    (c) Permit individuals to have access to information about 
themselves in a NASA system of records, to have a copy made, and, if 
appropriate under subpart 1212.3 of this part, to amend the records.



Sec.  1212.601  Maintenance and publication requirements for
systems of records.

    (a) In maintaining systems of records, NASA shall:
    (1) Maintain any record in a system of records for necessary and 
lawful purposes only, assure that the information is current and 
accurate for its intended use, and provide adequate safeguards to 
prevent misuse of the information.
    (2) Maintain only information about an individual relevant and 
necessary to accomplish a purpose or to carry out a function of NASA 
authorized by law or by Executive order of the President.
    (3) Maintain records used by NASA officials in making any 
determination about any individual with such accuracy, relevance, 
timeliness, and completeness reasonably necessary to assure fairness to 
the individual in making the determination.
    (4) Maintain no record describing how an individual exercises rights 
guaranteed by the First Amendment unless expressly authorized by 
statute, by the individual about whom the record is maintained or unless 
pertinent to and within the scope of an authorized law enforcement 
activity.
    (5) Maintain and provide access to records of other agencies under 
NASA's control consistent with the regulations of this part.
    (b) Any system of records maintained by NASA which is in addition to 
or substantially different from a Governmentwide systems of records 
described in a systems notice published by another agency shall be 
regarded as a NASA system of records subject to the requirements of this 
part.
    (c) NASA shall provide adequate advance notice to Congress and OMB 
of any proposal to establish a new system of records or alter any 
existing system of records as prescribed by OMB Circular No. A-130, 
appendix I.

[57 FR 4928, Feb. 11, 1992, as amended at 77 FR 60621, Oct. 4, 2012]



Sec.  1212.602  Requirements for collecting information.

    In collecting information for systems of records, the following 
requirements shall be met:
    (a) Information shall be collected to the greatest extent 
practicable directly

[[Page 78]]

from the subject individual when the information may result in adverse 
determinations about an individual's rights, benefits, and privileges 
under Federal programs. Exceptions to this policy may be made under 
certain circumstances, such as one of the following:
    (1) There is a need to verify the accuracy of the information 
supplied by an individual.
    (2) The information can only be obtained from a third party.
    (3) There is no risk that information collected from third parties, 
if inaccurate, could result in an adverse determination to the 
individual concerned.
    (4) Provisions are made to verify with the individual information 
collected from a third party.
    (b) Each individual who is asked to supply information shall be 
informed of the following:
    (1) The authority (whether granted by statute, or by Executive order 
of the President) for requesting the information;
    (2) Whether disclosure is mandatory or voluntary;
    (3) The intended official use of the information;
    (4) The routine uses which may be made of the information, as 
published in the system notices;
    (5) The effects, if any, on the individual of not providing all or 
any part of the requested information.



Sec.  1212.603  Mailing lists.

    NASA will not sell, rent, or otherwise disclose an individual's name 
and address to anyone, unless otherwise specifically authorized by law. 
This is not to be construed to require the withholding of names and 
addresses otherwise permitted to be made public.

[57 FR 4928, Feb. 11, 1992, as amended at 77 FR 60621, Oct. 4, 2012]



Sec.  1212.604  Social security numbers.

    (a) It is unlawful for NASA to deny to individuals any rights, 
benefits, or privileges provided by law because of the individuals' 
refusal to disclose their social security numbers, except where:
    (1) The disclosure is required by law; or
    (2) The disclosure is from a system of records in existence and 
operating before January 1, 1975, and was required under statute or 
regulation adopted before that date to verify the identity of the 
individual(s).
    (b) Any time individuals are requested to disclose their social 
security numbers, NASA shall indicate whether that disclosure is 
mandatory or voluntary, by what authority the numbers are requested, and 
what uses will be made of them.



Sec.  1212.605  Safeguarding information in systems of records.

    (a) Safeguards appropriate for a NASA system of records shall be 
developed by the system manager in a written plan approved by the Center 
Security Officer or Center Information Technology Security Officer for 
electronic records maintained in automated systems. Safeguards must 
insure the security and confidentiality of records and protect against 
any anticipated threats or hazards to their security or integrity which 
could result in substantial harm, embarrassment, inconvenience, or 
unfairness to any individual on whom information is maintained.
    (b) When records or copies of records are distributed within NASA 
they shall be prominently identified as records protected under the 
Privacy Act and shall be subject to the same safeguard, retention, and 
disposition requirements applicable to the system of records.
    (c) When records or copies of records are distributed to other 
Federal agencies, other than those having custody of the systems of 
records, they shall be prominently identified as records protected under 
the Privacy Act.
    (d) Records that are otherwise required by law to be released to the 
public need not be safeguarded or identified as Privacy Act records.

[57 FR 4928, Feb. 11, 1992, as amended at 77 FR 60621, Oct. 4, 2012]



Sec.  1212.606  Duplicate copies of records or portions of records.

    (a) NASA officials may maintain and use, for official purposes, 
duplicate copies of records or portions of records from a system of 
records maintained

[[Page 79]]

by their own organizational unit. This practice should occur only where 
there are justifiable organizational needs for it, e.g., where 
geographic distances make use of the system of records time consuming or 
inconvenient. These duplicate copies shall not be considered a separate 
NASA system of records. For example, an office head or designee may keep 
duplicate copies of personnel, training, or similar records on employees 
within the organization for administrative convenience purposes.
    (b) No disclosure shall be made from duplicate copies outside of the 
organizational unit. Any outside request for disclosure shall be 
referred to the appropriate system manager for response.
    (c) Duplicate copies are subject to the same safeguard requirements 
applicable to the system of records.



           Subpart 1212.7_NASA Authority and Responsibilities



Sec.  1212.700  NASA employees.

    (a) Each NASA employee is responsible for adhering to the 
requirements of the Privacy Act and this regulation.
    (b) An employee shall not seek or obtain access to a record in a 
NASA system of records or to copies of any portion of such records under 
false pretenses. Only those employees with an official ``need to know'' 
may seek and obtain access to records pertaining to others.
    (c) Employees shall refrain from discussing or disclosing personal 
information about others which they have obtained because of their 
official need to know such information in the performance of official 
duties.
    (d) To the extent included in a contract which provides for the 
maintenance by or on behalf of NASA of a system of records to accomplish 
a function of NASA, the requirements of this section shall apply to 
contractor employees who work under the contract.



Sec.  1212.701  Associate Deputy Administrator.

    The Associate Deputy Administrator is responsible for:
    (a) Making final Agency determinations on appeals (Sec.  1212.400), 
except on those related to records originating in the Office of the 
Inspector General;
    (b) Authorizing exemptions from one or more provisions of the 
Privacy Act for NASA systems of records (See Sec.  1212.500); and,
    (c) Authorizing an extension for making a final determination on an 
appeal (Sec.  1212.400(d)), except for an appeal related to records 
originating in the Office of the Inspector General.

[57 FR 4928, Feb. 11, 1992, as amended at 77 FR 60621, Oct. 4, 2012]



Sec.  1212.702  The Inspector General.

    The Inspector General is responsible for:
    (a) Making final Agency determinations on appeals related to records 
originating with the Office of the Inspector General (Sec.  1212.400), 
and
    (b) Authorizing an extension for making a final determination on an 
appeal related to records originating with the Office of the Inspector 
General (Sec.  1212.400(e)).

[77 FR 60622, Oct. 4, 2012]



Sec.  1212.703  NASA Chief Information Officer.

    (a) The NASA Chief Information Officer is responsible for the 
following:
    (1) Providing overall supervision and coordination of NASA's 
policies and procedures under this regulation;
    (2) Approving system notices for publication in the Federal 
Register;
    (3) Assuring that NASA employees and officials are informed of their 
responsibilities and that they receive appropriate training for the 
implementation of these requirments; and,
    (4) Preparing and submitting the biennial report on implementation 
of the Privacy Act to OMB and special reports required under this 
regulation, including establishing appropriate reporting procedures in 
accordance with OMB Circular No. A-130.
    (b) The Chief Information Officer may establish a position of `NASA 
Privacy Act Officer,'designate someone to function as such an officer, 
and delegate to that officer any of the functions described in paragraph 
(a) of this section.

[57 FR 4928, Feb. 11, 1992. Redesignated and amended at 77 FR 60622, 
Oct. 4, 2012]

[[Page 80]]



Sec.  1212.704  Headquarters and Field Centers or Component Facilities.

    (a) Officials-in-Charge of Headquarters Offices, Directors of NASA 
Field Centers and Officials-in-Charge of Component Facilities are 
responsible for the following with respect to those systems of records 
maintained in their organization:
    (1) Avoiding the establishment of new systems of records or new 
routine uses of a system of records without first complying with the 
requirements of this regulation;
    (2) Ensuring that the requirements of this regulation and the 
Privacy Act are followed by employees;
    (3) Ensuring that there is appropriate coordination within NASA 
before a determination is made to disclose information without the 
individual's consent under authority of 5 U.S.C. 552a(b) (See Sec.  
1212.203(f)); and
    (4) Providing appropriate oversight for responsibilities and 
authorities exercised by system managers under their jurisdiction (Sec.  
1212.705).
    (5) Establish a position of Center Privacy Manager to assist in 
carrying out the responsibilities listed in this section.
    (b) [Reserved]

[57 FR 4928, Feb. 11, 1992. Redesignated and amended at 77 FR 60622, 
Oct. 4, 2012; 78 FR 8964, Feb. 7, 2013]



Sec.  1212.705  System manager.

    (a) Each system manager is responsible for the following with regard 
to the system of records over which the system manager has cognizance:
    (1) Overall compliance with this part, NASA Policy Directive (NPD) 
1382.17 and NASA Procedural Requirements (NPR) 1382.1.
    (2) Ensuring that each person involved in the design, development, 
operation, or maintenance of the system of records is instructed with 
respect to the requirements of this regulation and the possible 
penalties for noncompliance;
    (3) Submitting a request to the Associate Deputy Administrator for 
an exemption of the system under subpart 1212.5 of this part, setting 
forth in proposed rulemaking form the reasons for the exemption and 
citing the specific provision of the Privacy Act which is believed to 
authorize the exemption;
    (4) After consultation with the Office of the General Counsel or the 
Chief Counsel, making reasonable efforts to serve notice on an 
individual when any record on such individual is made available to any 
person under compulsory legal process when such process becomes a matter 
of public record;
    (5) Making an initial determination on an individual's request to 
correct or amend a record, in accordance with Sec.  1212.302;
    (6) Prior to disclosure of any record about an individual, assuring 
that the record is first reviewed for accuracy, completeness, 
timeliness, and relevance;
    (7) Authorizing disclosures of a record without the individual's 
consent under Sec.  1212.203(f)(1) through (12);
    (8) Responding within the requirements of Sec.  1212.200 to an 
individual's request for information as to whether the system contains a 
record pertaining to the individual;
    (9) Responding to an individual's request for access and copying of 
a record, in accordance with subpart 1212.2 of this part;
    (10) Amending a record under subpart 1212.3 of this part, or filing 
in an individual's record a statement of dispute;
    (11) Preparing an addendum to an individual's statement of dispute 
to be filed in the individual's records, in accordance with Sec.  
1212.401;
    (12) Maintaining disclosure accountings in accordance with 5 U.S.C. 
552a(c) and Sec.  1212.203 of this part. This includes records disclosed 
pursuant to any computer matching programs;
    (13) Notifying persons to whom a record has been disclosed and for 
which an accounting was made as to disputes and corrections involving 
the record; and
    (14) Developing appropriate safeguards for the system of records in 
accordance with Sec.  1212.605(a).
    (b) Where a system of records has subsystems described in the system 
notice, the subsystem manager will have the responsibilities outlined in 
paragraph (a) of this section. Although the system manager has no line 
authority over subsystem managers, the system manager does have overall 
functional

[[Page 81]]

responsibility for the total system, and may issue guidance to subsystem 
managers on implementation of this part. When furnishing information for 
required reports, the system manager will be responsible for reporting 
the entire system of records, including any subsystems.
    (c) Exercise of the responsibilities and authorities in paragraph 
(a) of this section by any system or subsystem managers at a NASA Center 
shall be subject to any conditions or limitations imposed in accordance 
with Sec.  1212.704(a)(4) and (5).

[57 FR 4928, Feb. 11, 1992. Redesignated and amended at 77 FR 60622, 
Oct. 4, 2012]



Sec.  1212.706  Assistant Administrator for Procurement.

    The Assistant Administrator for Procurement is responsible for 
developing appropriate procurement regulations and procedures under 
which NASA contracts requiring the maintenance of a system of records in 
order to accomplish a NASA function are made subject to the requirements 
of this part.

[57 FR 4928, Feb. 11, 1992. Redesignated at 77 FR 60622, Oct. 4, 2012]



Sec.  1212.707  Delegation of authority.

    Authority necessary to carry out the responsibilities specified in 
this regulation is delegated to the officials named, subject to any 
conditions or limitations imposed in accordance with this subpart 
1212.7.

[57 FR 4928, Feb. 11, 1992. Redesignated at 77 FR 60622, Oct. 4, 2012]



     Subpart 1212.8_Failure To Comply With Requirements of This Part



Sec.  1212.800  Civil remedies.

    Failure to comply with the requirements of the Privacy Act and this 
part could subject NASA to civil suit under the provisions of 5 U.S.C. 
552a(g).



Sec.  1212.801  Criminal penalties.

    (a) A NASA officer or employee may be subject to criminal penalties 
under the provisions of 5 U.S.C. 552a(i) (1) and (2).
    (1) Section 552a(i)(1). Any officer or employee of an agency, who by 
virtue of employment or official position, has possession of, or access 
to, agency records which contain individually identifiable information 
the disclosure of which is prohibited by this section or by rules or 
regulations established thereunder, and who knowing that disclosure of 
the specific material is so prohibited, willfully discloses the material 
in any manner to any person or agency not entitled to receive it, shall 
be guilty of a misdemeanor and fined not more than $5,000.
    (2) Section 552a(i)(2). Any officer or employee of any agency who 
willfully maintains a system of records without meeting the notice 
requirements of subsection (e)(4) of this section shall be guilty of a 
misdemeanor and fined not more than $5,000.
    (3) These two provisions apply to NASA civil service employees as 
well as those employees of a NASA contractor with responsibilities for 
maintaining a Privacy Act system of records.
    (b) Section 552a(i)(3). Any person who knowingly and willfully 
requests or obtains any record concerning an individual from an agency 
under false pretenses shall be guilty of a misdemeanor and fined not 
more than $5,000.



PART 1213_RELEASE OF INFORMATION TO NEWS AND INFORMATION MEDIA
--Table of Contents



Sec.
1213.100 Scope.
1213.101 Applicability.
1213.102 Policy.
1213.103 Responsibilities.
1213.104 Public information coordination and concurrence.
1213.105 Interviews.
1213.106 Preventing release of classified information to the media.
1213.107 Preventing unauthorized release of sensitive but unclassified 
          (SBU) information/material to the news media.
1213.108 Multimedia materials.
1213.109 News releases concerning international activities.

    Authority: 42 U.S.C. 2473(a)(3).

    Source: 71 FR 49989, Aug. 24, 2006, unless otherwise noted.

[[Page 82]]



Sec.  1213.100  Scope.

    This part sets forth policy governing the release of public 
information, which is defined as information in any form provided to 
news and information media, especially information that has the 
potential to generate significant media or public interest or inquiry. 
Examples include, but are not limited to, press releases, media 
advisories, news features, and Web postings. Not included under this 
definition are scientific and technical reports, Web postings designed 
for technical or scientific interchange, and technical information 
presented at professional meetings or in professional journals.



Sec.  1213.101  Applicability.

    (a) This policy applies to NASA Headquarters, NASA Centers, and 
Component Facilities.
    (b) In the event of any conflict between this policy and any other 
NASA policy, directive, or regulation, this policy shall govern and 
supersede any previous issuance or directive.
    (c) The requirements of this part do not apply to the Office of 
Inspector General regarding its activities.



Sec.  1213.102  Policy.

    (a) NASA, a scientific and technical Agency, is committed to a 
culture of openness with the media and public that values the free 
exchange of ideas, data, and information as part of scientific and 
technical inquiry. Scientific and technical information from or about 
Agency programs and projects will be accurate and unfiltered.
    (b) Consistent with NASA statutory responsibility, NASA will 
``provide for the widest practicable and appropriate dissemination of 
information concerning its activities and the results thereof.'' Release 
of public information concerning NASA activities and the results of NASA 
activities will be made in a timely, equitable, accurate, and complete 
manner.
    (c) To ensure timely release of information, NASA will endeavor to 
ensure cooperation and coordination among the Agency's scientific, 
engineering, and public affairs communities.
    (d) In keeping with the desire for a culture of openness, NASA 
employees may, consistent with this policy, speak to the press and the 
public about their work.
    (e) This policy does not authorize or require disclosure of 
information that is exempt from disclosure under the Freedom of 
Information Act (5 U.S.C. 552) or otherwise restricted by statute, 
regulation, Executive Order, or other Executive Branch policy or NASA 
policy (e.g., OMB Circulars, NASA Policy Directives). Examples of 
information not releasable under this policy include, without 
limitation, information that is, or is marked as, classified 
information, procurement sensitive information, information subject to 
the Privacy Act, other sensitive but unclassified information, and 
information subject to privilege, such as pre-decisional information or 
attorney-client communications.



Sec.  1213.103  Responsibilities.

    (a) The Assistant Administrator for Public Affairs is responsible 
for developing and administering an integrated Agency-wide 
communications program, establishing Agency public affairs policies and 
priorities, and coordinating and reviewing the performance of all Agency 
public affairs activities. The Assistant Administrator will develop 
criteria to identify which news releases and other types of public 
information will be issued nationwide by NASA Headquarters. Decisions to 
release public information nationwide by NASA Headquarters will be made 
by the Assistant Administrator for Public Affairs or his/her designee.
    (b) NASA's Mission Directorate Associate Administrators and Mission 
Support Office heads have ultimate responsibility for the technical, 
scientific, and programmatic accuracy of all information that is related 
to their respective programs and released by NASA.
    (c) Under the direction of the Assistant Administrator for Public 
Affairs, Public Affairs Officers assigned to Mission Directorates are 
responsible for the timely and efficient coordination of public 
information covering their respective programs. This coordination 
includes review by appropriate Mission Directorate officials. It also 
includes editing by public affairs staff to ensure that public 
information products are

[[Page 83]]

well written and appropriate for the intended audience. However, such 
editing shall not change scientific or technical data or the meaning of 
programmatic content.
    (d) Center Public Affairs Directors are responsible for implementing 
their portion of the Agency's communications program, adhering to Agency 
policies, procedures, and priorities, and coordinating their activities 
with Headquarters (and others where appropriate). They are responsible 
for the quality of public information prepared by Center Public Affairs 
Officers. They also are responsible for the day-to-day production of 
public information covering their respective Center activities, which 
includes obtaining the necessary Center concurrences and coordinating, 
as necessary, with the appropriate Headquarters Public Affairs Officers.
    (e) Center Directors have ultimate responsibility for the accuracy 
of public information that does not require the concurrence of 
Headquarters. See Sec.  1213.104(d).
    (f) All NASA employees are required to coordinate, in a timely 
manner, with the appropriate Public Affairs Officers prior to releasing 
information that has the potential to generate significant media or 
public interest or inquiry.
    (g) All NASA Public Affairs Officers are required to notify the 
appropriate Headquarters Public Affairs Officers, in a timely manner, 
about activities or events that have the potential to generate 
significant media or public interest or inquiry.
    (h) All NASA public affairs employees are expected to adhere to the 
following code of conduct:
    (1) Be honest and accurate in all communications.
    (2) Honor publication embargoes.
    (3) Respond promptly to media requests, and respect media deadlines.
    (4) Act promptly to notify the public of, and correct, erroneous 
information, either internally or externally.
    (5) Promote the free flow of scientific and technical information.
    (6) Protect non-public information.
    (i) All NASA employees are responsible for adhering to plans 
(including schedules) for activities established by public affairs 
offices and senior management for the coordinated release of public 
information.
    (j) All NASA-funded missions will have a public affairs plan, 
approved by the Assistant Administrator for Public Affairs, which will 
be managed by Headquarters and/or a designated NASA Center.
    (k) Public affairs activities for NASA-funded missions will not be 
managed by non-NASA institutions, unless authorized by the Assistant 
Administrator for Public Affairs.



Sec.  1213.104  Public information coordination and concurrence.

    (a) General. All NASA employees involved in preparing and issuing 
NASA public information are responsible for proper coordination among 
Headquarters and Center offices to include review and clearance by 
appropriate officials prior to issuance. Such coordination will be 
accomplished through procedures developed and published by the NASA 
Assistant Administrator for Public Affairs.
    (b) Coordination. To ensure timely release of public information, 
Headquarters and Center Public Affairs Officers are required to 
coordinate to obtain review and clearance by appropriate officials, keep 
each other informed of changes, delays, or cancellation of releases, and 
provide advance notification of the actual release.
    (c) All public information shall be coordinated through the 
appropriate Headquarters offices, including review by the appropriate 
Mission Directorate Associate Administrator and Mission Support Office 
head, or their designees, to ensure scientific, technical, and 
programmatic accuracy, and review by the Assistant Administrator for 
Public Affairs or his/her designee to ensure that public information 
products are well written and appropriate for the intended audience.
    (d) Centers may, however, without the full coordination of 
Headquarters, issue public information that is institutional in nature, 
of local interest, or has been deemed not to be a Headquarters release. 
These releases must be coordinated through the appropriate Center 
offices and approved by the Center Director and Center Public Affairs

[[Page 84]]

Director. The Center Public Affairs Director is required to provide 
proper notification to the Office of Public Affairs, NASA Headquarters, 
prior to release. The Assistant Administrator for Public Affairs or his/
her designee will determine which public information will be issued 
nationwide by NASA Headquarters and shall publish guidelines for the 
release of public information that may be issued by Centers without 
clearance from Headquarters offices.
    (e) Dispute Resolution. Any dispute arising from a decision to 
proceed or not proceed with the issuance of a news release or other type 
of public information will be addressed and resolved by the Assistant 
Administrator for Public Affairs with the appropriate Mission 
Directorate Associate Administrator, Mission Support Office head, Center 
Director, and others, such as Center Public Affairs Directors, as 
necessary. However, the appropriate Mission Directorate Associate 
Administrator shall be the arbiter of disputes about the accuracy or 
characterization of programmatic, technical, or scientific information. 
Additional appeals may be made to the Chief of Strategic Communications 
and to the Office of the Administrator. When requested by a Center 
Public Affairs Director, an explanation of the resolution will be 
provided in writing to all interested Agency parties.



Sec.  1213.105  Interviews.

    (a) Only spokespersons designated by the Assistant Administrator for 
Public Affairs, or his/her designee, are authorized to speak for the 
Agency in an official capacity regarding NASA policy, programmatic, and 
budget issues.
    (b) In response to media interview requests, NASA will offer 
articulate and knowledgeable spokespersons who can best serve the needs 
of the media and the American public. However, journalists may have 
access to the NASA officials they seek to interview, provided those NASA 
officials agree to be interviewed.
    (c) NASA employees may speak to the media and the public about their 
work. When doing so, employees shall notify their immediate supervisor 
and coordinate with their public affairs office in advance of interviews 
whenever possible, or immediately thereafter, and are encouraged, to the 
maximum extent practicable, to have a Public Affairs Officer present 
during interviews. If Public Affairs Officers are present, their role 
will be to attest to the content of the interview, support the 
interviewee, and provide post-interview follow up with the media, as 
necessary.
    (d) NASA, as an Agency, does not take a position on any scientific 
conclusions. That is the role of the broad scientific community and the 
nature of the scientific process. NASA scientists may draw conclusions 
and may, consistent with this policy, communicate those conclusions to 
the media. However, NASA employees who present personal views outside 
their official area of expertise or responsibility must make clear that 
they are presenting their individual views--not the views of the 
Agency--and ask that they be sourced as such.
    (e) Appropriated funds may only be used to support Agency missions 
and objectives consistent with legislative or presidential direction. 
Government funds shall not be used for media interviews or other 
communication activities that go beyond the scope of Agency 
responsibilities and/or an employee's official area of expertise or 
responsibility.
    (f) Media interviews will be ``on-the-record'' and attributable to 
the person making the remarks, unless the interviewee is authorized to 
do otherwise by the Assistant Administrator for Public Affairs or Center 
Public Affairs Director, or their designees. Any NASA employee providing 
material to the press will identify himself/herself as the source.
    (g) Audio recordings may be made by NASA with consent of the 
interviewee.
    (h) NASA employees are not required to speak to the media.
    (i) Public information volunteered by a NASA official will not be 
considered exclusive to any one media source and will be made available 
to other sources, if requested.



Sec.  1213.106  Preventing release of classified information to the media.

    (a) Release of classified information in any form (e.g., documents, 
through

[[Page 85]]

interviews, audio/visual) to the news media is prohibited. The 
disclosure of classified information to unauthorized individuals may be 
cause for prosecution and/or disciplinary action against the NASA 
employee involved. Ignorance of NASA policy and procedures regarding 
classified information does not release a NASA employee from 
responsibility for preventing any unauthorized release. See NPR 1600.1, 
Chapter 5, Section 5.23 for internal NASA guidance on management of 
classified information. For further guidance that applies to all 
agencies, see Executive Order 12958, as amended, ``Classified National 
Security Information,'' and its implementing directive at 32 CFR parts 
2001 and 2004.
    (b) Any attempt by news media representatives to obtain classified 
information will be reported through the Headquarters Office of Public 
Affairs or Installation Public Affairs Office to the Installation 
Security Office and Office of Security and Program Protection.
    (c) For classified operations and/or programs managed under the 
auspices of a DD Form 254, ``Contract Security Classification 
Specification,'' all inquiries concerning this activity will be 
responded to by the appropriate PAO official designated in Item 12 on 
the DD Form 254.
    (d) For classified operations and/or information owned by other 
Government agencies (e.g., DOD, DOE), all inquiries will be referred to 
the appropriate Agency Public Affairs Officer as established in written 
agreements.



Sec.  1213.107  Preventing unauthorized release of sensitive but
unclassified (SBU) information/material to the news media.

    (a) All NASA SBU information requires accountability and approval 
for release. Release of SBU information to unauthorized personnel is 
prohibited. Unauthorized release of SBU information may result in 
prosecution and/or disciplinary action. Ignorance of NASA policy and 
procedures regarding SBU information does not release a NASA employee 
from responsibility for unauthorized release. See NPR 1600.1, Chapter 5, 
Section 5.24 for guidance on identification, marking, accountability and 
release of NASA SBU information.
    (b) Examples of SBU information include: proprietary information of 
others provided to NASA under nondisclosure or confidentiality 
agreement; source selection and bid and proposal information; 
information subject to export control under the International Traffic in 
Arms Regulations (ITAR) or the Export Administration Regulations (EAR); 
information subject to the Privacy Act of 1974; predecisional materials 
such as national space policy not yet publicly released; pending 
reorganization plans or sensitive travel itineraries; and information 
that could constitute an indicator of U.S. Government intentions, 
capabilities, operations, or activities or otherwise threaten operations 
security.
    (c) Upon request for access to information/material deemed SBU, 
coordination must be made with the information/material owner to 
determine if the information/material may be released. Other 
organizations that play a part in SBU information identification, 
accountability, and release (e.g., General Counsel, External Relations, 
Procurement) must be consulted for assistance and/or concurrence prior 
to release.
    (d) Requests for SBU information from other Government agencies must 
be referred to the NASA program or other office responsible for handling 
the information as SBU.



Sec.  1213.108  Multimedia materials.

    (a) NASA's multimedia material, from all sources, will be made 
available to the information media, the public, and to all Agency 
Centers and contractor installations utilizing contemporary delivery 
methods and emerging digital technology.
    (b) Centers will provide the media, the public, and as necessary, 
NASA Headquarters with:
    (1) Selected prints and original or duplicate files of news-oriented 
imagery and other digital multimedia material generated within their 
respective areas.
    (2) Selected video material in the highest quality format practical, 
which, in the opinion of the installations, would be appropriate for use 
as news feed material or features in pre-

[[Page 86]]

produced programs and other presentations.
    (3) Audio and/or video files of significant news developments and 
other events of historic or public interest.
    (4) Interactive multimedia features that can be incorporated into 
the Agency's Internet portal for use by internal and external audiences, 
including the media and the general public.
    (5) To the extent practicable, these products will be in forms and 
media accessible to the public at large, as well as to specific user 
groups requesting them, if any.



Sec.  1213.109  News releases concerning international activities.

    (a) Releases of information involving NASA activities, views, 
programs, or projects involving another country or an international 
organization require prior coordination and approval by the Headquarters 
offices of External Relations and Public Affairs.
    (b) NASA Centers and Headquarters offices will report all visits 
proposed by representatives of foreign news media to the Public Affairs 
Officer of the Office of External Relations for appropriate handling 
consistent with all NASA policies and procedures.



PART 1214_SPACE FLIGHT--Table of Contents



Subparts 1214.1-1214.3 [Reserved]

             Subpart 1214.4_International Space Station Crew

1214.400 Scope.
1214.401 Applicability.
1214.402 International Space Station crewmember responsibilities.
1214.403 Code of Conduct for the International Space Station Crew.
1214.404 Violations.

Subpart 1214.5 [Reserved]

              Subpart 1214.6_Mementos Aboard NASA Missions

1214.600 Scope.
1214.601 Definitions.
1214.602 Policy.
1214.603 Official Flight Kit.
1214.604 Personal Preference Kit.
1214.605-1214.606 [Reserved]
1214.607 Media and public inquiries.
1214.608 [Reserved]
1214.609 Loss or theft.
1214.610 Violations.

           Subpart 1214.7_The Authority of the NASA Commander

1214.700 Scope.
1214.701 Definitions.
1214.702 Authority and responsibility of the NASA Commander.
1214.703 Chain of command.
1214.704 Violations.

Subparts 1214.8-1214.10 [Reserved]

   Subpart 1214.11_NASA Astronaut Candidate Recruitment and Selection 
                                 Program

1214.1100 Scope.
1214.1101 Announcement.
1214.1102 Evaluation of applications.
1214.1103 Application cutoff date.
1214.1104 Evaluation and ranking of highly qualified candidates.
1214.1105 Final ranking.
1214.1106 Selection of astronaut candidates.
1214.1107 Notification.

Subparts 1214.12-1214.17 [Reserved]

    Authority: Pub. L. 111-314, sec. 3, 124 Stat. 3328 (51 U.S.C. 20101, 
et seq.).

    Source: 57 FR 4545, Feb. 6, 1992, unless otherwise noted.

Subparts 1214.1-1214.3 [Reserved]



             Subpart 1214.4_International Space Station Crew

    Authority: Pub. L. 111-314, sec. 3, 124 Stat. 3328 (51 U.S.C. 20101, 
et seq.).

    Source: 65 FR 80303, Dec. 21, 2000, unless otherwise noted.



Sec.  1214.400  Scope.

    (a) This subpart sets forth policy and procedures with respect to 
International Space Station crewmembers provided by NASA for flight to 
the International Space Station.
    (b) In order to provide for the safe operation, maintenance of 
order, and proper conduct of crew aboard the International Space 
Station, the January 29, 1998, Agreement Among the Government of Canada, 
Governments of Member States of the European Space Agency, the 
Government of Japan, the Government of the Russian Federation, and the 
Government of the United States of America Concerning

[[Page 87]]

Cooperation on the Civil International Space Station (hereinafter 
Agreement), which establishes and governs the International Space 
Station, requires the development and approval of a Code of Conduct for 
International Space Station crew. Pursuant to Article 11 of the 
Agreement, each International Space Station partner is obliged to ensure 
that crewmembers which it provides observe the Code of Conduct.



Sec.  1214.401  Applicability.

    This subpart applies to all persons provided by NASA for flight to 
the International Space Station, including U.S. Government employees, 
uniformed members of the Armed Services, U.S. citizens who are not 
employees of the U.S. Government, and foreign nationals.



Sec.  1214.402  International Space Station crewmember responsibilities.

    (a) All NASA-provided International Space Station crewmembers are 
subject to specified standards of conduct, including those prescribed in 
the Code of Conduct for the International Space Station Crew, set forth 
as Sec.  1214.403. NASA-provided International Space Station crew 
members may be subject to additional standards and requirements, as 
determined by NASA, which will be made available to those NASA-provided 
crewmembers, as appropriate.
    (1) NASA-provided International Space Station crewmembers who are 
not citizens of the United States will be required to enter into an 
agreement with NASA in which they agree to comply with specified 
standards of conduct, including those prescribed in the Code of Conduct 
for the International Space Station Crew (Sec.  1214.403). Any such 
agreement will be signed on behalf of NASA by the NASA General Counsel 
or designee.
    (2) NASA-provided International Space Station crewmembers who are 
citizens of the United States but are not employees of the U.S. 
Government will be required to enter into an agreement with NASA in 
which they agree to comply with specified standards of conduct, 
including those prescribed in the Code of Conduct for the International 
Space Station Crew (Sec.  1214.403). Any such agreement will be signed 
on behalf of NASA by the NASA General Counsel or designee.
    (3) NASA-provided International Space Station crewmembers who are 
employed by a branch, department, or agency of the U.S. Government may, 
as determined by the NASA General Counsel, be required to enter into an 
agreement with NASA to comply with specified standards of conduct, 
including those prescribed in the Code of Conduct for the International 
Space Station Crew (Sec.  1214.403). Any such agreement will be signed 
on behalf of NASA by the NASA General Counsel or designee.
    (b) All NASA-provided personnel on board the International Space 
Station are additionally subject to the authority of the International 
Space Station Commander and shall comply with Commander's orders and 
directions.



Sec.  1214.403  Code of Conduct for the International Space Station Crew.

    The Code of Conduct for the International Space Station Crew, which 
sets forth minimum standards for NASA-provided International Space 
Station crewmembers, is as follows:

        Code of Conduct for the International Space Station Crew

                             I. Introduction

                              A. Authority

    This Code of Conduct for the International Space Station (ISS) crew, 
hereinafter referred to as Crew Code of Conduct (CCOC), is established 
pursuant to:
    (1) Article 11 (Crew) of the intergovernmental Agreement Among the 
Government of Canada, Governments of Member States of the European Space 
Agency, the Government of Japan, the Government of the Russian 
Federation, and the Government of the United States of America 
Concerning Cooperation on the Civil International Space Station (the 
IGA) signed by the Partner States on January 29, 1998; and
    (2) Article 11 (Space Station Crew) of the Memoranda of 
Understanding between, respectively, the National Aeronautics and Space 
Administration of the United States of America (NASA) and the Canadian 
Space Agency (CSA), NASA and the European Space Agency (ESA), NASA and 
the Government of Japan (GOJ), and NASA and the Russian Space Agency 
(RSA) Concerning Cooperation on the Civil International Space Station 
(the MOU's), which require, inter

[[Page 88]]

alia, that the crew Code of Conduct be developed by the partners.

                          B. Scope and Content

    The partners have developed and approved this CCOC to: establish a 
clear chain of command on-orbit; establish a clear relationship between 
ground and on-orbit management; and establish a management hierarchy; 
set forth standards for work and activities in space, and, as 
appropriate, on the ground; establish responsibilities with respect to 
elements and equipment; set forth disciplinary regulations; establish 
physical and information security guidelines; and define the ISS 
Commander's authority and responsibility, on behalf of all the partners, 
to enforce safety procedures, physical and information security 
procedures and crew rescue procedures for the ISS. This CCOC and the 
disciplinary policy referred to in Section IV shall not limit the 
application of Article 22 of the IGA. This CCOC succeeds the NASA-RSA 
Interim Code of Conduct, which was developed pursuant to Article 11.2 of 
the MOU between NASA and RSA to cover early assembly prior to other 
partners' flight opportunities.
    This CCOC sets forth the standards of conduct applicable to all ISS 
crewmembers during preflight, on-orbit, and post-flight activities, 
(including launch and return phases). ISS crewmembers are subject to 
additional requirements, such as the ISS Flight Rules, the disciplinary 
policy, and requirements imposed by their Cooperating Agency or those 
relating to the Earth-to-Orbit Vehicle (ETOV) transporting an ISS 
crewmember. Each ISS crewmember has a right to know about such 
additional requirements. ISS crewmembers will also abide by the rules of 
the institution hosting the training, and by standards and requirements 
defined by the Multilateral Crew Operations Panel (MCOP), the 
Multilateral Space Medicine Board (MSMB) and the Multilateral Medical 
Operations Panel (MMOP). Each ISS crewmember will be informed by the 
Cooperating Agency providing him or her of the responsibilities of ISS 
crewmembers under the IGA, the MOU's and this CCOC. Further, each ISS 
crewmember will be educated by the Cooperating Agency providing him or 
her through the crew training curriculum and normal program operations 
as to ISS program rules, operational directives and management policies. 
Completion of postflight activities shall not affect an ISS crewmember's 
continuing obligations under Section V of this CCOC.

                             C. Definitions

    For the purposes of the CCOC:
    (1) ``Cooperating Agency'' means NASA, CSA, ESA, Rosaviakosmos 
(formerly RSA) and, in the case of Japan, the Science and Technology 
Agency of Japan (STA) and, as appropriate, the National Space 
Development Agency of Japan (NASDA), assisting agency to STA.
    (2) ``Crew Surgeon'' means a Flight Surgeon assigned by the MMOP to 
any given expedition. He or she is the lead medical officer and carries 
primary responsibility for the health and well-being of the entire ISS 
crew.
    (3) ``Disciplinary policy'' means the policy developed by the MCOP 
to address violations of the CCOC and impose disciplinary measures.
    (4) ``ETOV'' means Earth-to-Orbit Vehicle travelling between Earth 
and the ISS.
    (5) ``Flight Director'' means the Flight Director in control of the 
ISS.
    (6) ``Flight Rules'' means the set of rules used by the Cooperating 
Agencies to govern flight operations.
    (7) ``ISS crewmembers'' means any person approved for flight to the 
ISS, including both ISS expedition crew and visiting crew, beginning 
upon assignment to the crew for a specific and ending upon completion of 
the postflight activities related to the mission.

                          II. General Standards

                 A. Responsibilities of ISS Crewmembers

    ISS Crewmembers shall comply with the CCOC. Accordingly, during 
preflight, on-orbit, and postflight activities, they shall comply with 
the ISS Commander's orders, all Flight and ISS program Rules, 
operational directives, and management policies, as applicable. These 
include those related to safety, health, well-being, security, and other 
operational or management matters governing all aspects of ISS elements, 
equipment, payloads and facilities, and non-ISS facilities, to which 
they have access. All applicable rules, regulations, directives, and 
policies shall be made accessible to ISS crewmembers through appropriate 
means, coordinated by the MCOP.

                       B. General Rules of Conduct

    ISS Crewmembers' conduct shall be such as to maintain a harmonious 
and cohesive relationship among the ISS crewmembers and an appropriate 
level of mutual confidence and respect through an interactive, 
participative, and relationship-oriented approach which duly takes into 
account the international and multicultural nature of the crew and 
mission.
    No ISS crewmember shall, by his or her conduct, act in a manner 
which results in or creates the appearance of: (1) Giving undue 
preferential treatment to any person or entity in the performance of ISS 
activities; and/or (2) adversely affecting the confidence of the public 
in the integrity of, or reflecting unfavorably in a public forum on, any 
ISS partner, partner state or Cooperating Agency.

[[Page 89]]

    ISS crewmembers shall protect and conserve all property to which 
they have access for ISS activities. No such property shall be altered 
or removed for any purpose other than those necessary for the 
performance of ISS duties. Before altering or removing any such 
property, ISS crewmembers shall first obtain authorization from the 
Flight Director, except as necessary to ensure the immediate safety of 
ISS crewmembers or ISS elements, equipment, or payloads.

                           C. Use of Position

    ISS crewmembers shall refrain from any use of the position of ISS 
crewmember that is motivated, or has the appearance of being motivated, 
by private gain, including financial gain, for himself or herself or 
other persons or entities. Performance of ISS duties shall not be 
considered to be motivated by private gain. Furthermore, no ISS 
crewmember shall use the position of ISS crewmember in any way to 
coerce, or give the appearance of coercing, another person to provide 
any financial benefit to himself or herself or other persons or 
entities.

                    D. Mementos and Personal Effects

    Each ISS crewmember may carry and store mementos, including flags, 
patches, insignia, and similar small items of minor value, onboard the 
ISS, for his or her private use, subject to the following:
    (1) mementos are permitted as a courtesy, not an entitlement; as 
such they shall be considered as ballast as opposed to a payload or 
mission requirement and are subject to manifest limitations, on-orbit 
stowage allocations, and safety considerations;
    (2) mementos may not be sold, transferred for sale, used or 
transferred for personal gain, or used or transferred for any commercial 
or fundraising purpose. Mementos which, by their nature, lend themselves 
to exploitation by the recipients, or which, in the opinion of the 
Cooperating Agency providing the ISS crewmember, engender questions as 
to good taste, will not be permitted.
    An ISS crewmember's personal effects, such as a wristwatch, will not 
be considered mementos. Personal effects of any nature may be permitted, 
subject to constraints of mass/volume allowances for crew personal 
effects, approval of the ISS crewmember's Cooperating Agency, and 
approval of the transporting Cooperating Agency and considerations of 
safety and good taste.
    If a Cooperating Agency carries and stores items onboard the ISS in 
connection with separate arrangements, these items will not be 
considered mementos of the ISS crewmembers.

   III. Authority and Responsibilities of the ISS Commander, Chain of 
Command and Succession Onorbit; Relationship Between Ground and On-Orbit 
                               Management

         A. Authority and Responsibilities of the ISS Commander

    The ISS Commander, as an ISS crewmember, is subject to the standards 
detailed elsewhere in this CCOC, in addition to the command-specific 
provisions set forth below:
    The ISS Commander will seek to maintain a harmonious and cohesive 
relationship among the ISS crewmembers and an appropriate level of 
mutual confidence and respect through an interactive, participative, and 
relationship-oriented approach which duly takes into account the 
international and multicultural nature of the crew and mission.
    For avoidance of doubt, nothing in this Section shall affect the 
ability of the MCOP to designate the national of any Partner State as an 
ISS Commander.

             (1) During Preflight and Postflight Activities

    The ISS Commander is the leader of the crew and is responsible for 
forming the individual ISS crewmembers into a single, integrated team. 
During preflight activities, the ISS Commander, to the extent of his or 
her authority, leads the ISS crewmembers through the training curriculum 
and mission-preparation activities and seeks to ensure that the ISS 
crewmembers are adequately prepared for the mission, acting as the 
crew's representative to the ISS program's training, medical, 
operations, and utilization authorities. During postflight activities, 
the ISS Commander coordinates as necessary with these authorities to 
ensure that the ISS crewmembers complete the required postflight 
activities.

                     (2) During On-Orbit Operations

                               (a) General

    The ISS Commander is responsible for and will, to the extent of his 
or her authority and the ISS on-orbit capabilities, accomplish the 
mission program implementation and ensure the safety of the ISS 
crewmembers and the protection of the ISS elements, equipment, or 
payloads.

                        (b) Main Responsibilities

    The ISS Commander's main responsibilities are to: (1) Conduct 
operations in or on the ISS as directed by the Flight Director and in 
accordance with the Flight Rules, plans and procedures; (2) direct the 
activities of the ISS crewmembers as a single, integrated team to ensure 
the successful completion of the mission; (3) fully and accurately

[[Page 90]]

inform the Flight Director, in a timely manner, of the ISS vehicle 
configuration, status, commanding, and other operational activities on-
board (including off-nominal or emergency situations); (4) enforce 
procedures for the physical and information security of operations and 
utilization data; (5) maintain order; (6) ensure crew safety, health and 
well-being including crew rescue and return; and (7) take all reasonable 
action necessary for the protection of the ISS elements, equipment, or 
payloads.

                         (c) Scope of Authority

    During all phases of on-orbit activity, the ISS Commander, 
consistent with the authority of the Flight Director, shall have the 
authority to use any reasonable and necessary means to fulfill his or 
her responsibilities. This authority, which shall be exercised 
consistent with the provisions of Sections II and IV, extends to: (1) 
the ISS elements, equipment, and payloads; (2) the ISS crewmembers; (3) 
activities of any kind occurring in or on the ISS; and (4) data and 
personal effects in or on the ISS where necessary to protect the safety 
and well-being of the ISS crewmembers and the ISS elements, equipment, 
and payloads. Any matter outside the ISS Commander's authority shall be 
within the purview of the Flight Director.
    Issues regarding the Commander's use of such authority shall be 
referred to the Flight Director as soon as practicable, who will refer 
the matter to appropriate authorities for further handling. Although 
other ISS crewmembers may have authority over and responsibility for 
certain ISS elements, equipment, payloads, or tasks, the ISS Commander 
remains ultimately responsible, and solely accountable, to the Flight 
Director for the successful completion of the activities and the 
mission.

               B. Chain of Command and Succession On-orbit

    (1) The ISS Commander is the highest authority among the ISS 
crewmembers on-orbit. The MCOP will determine the order of succession 
among the ISS crewmembers in advance of flight, and the Flight Rules set 
forth the implementation of a change of command.
    (2) Relationship of the ISS Commander to ETOV and Other Commanders
    The Flight Rules define the authority of the ETOV Commander, the 
Rescue Vehicle Commander, and any other commanders, and set forth the 
relationship between their respective authorities and the authority of 
the ISS Commander.

C. Relationship Between the ISS Commander (On-Orbit Management) and the 
                   Flight Director (Ground Management)

    The Flight Director is responsible for directing the mission. A 
Flight Director will be in charge of directing real-time ISS operations 
at all time. The ISS Commander, working under the direction of the 
Flight Director and in accordance with the Flight Rules, is responsible 
for conducting on-orbit operations in the manner best suited to the 
effective implementation of the mission. The ISS Commander, acting on 
his or her own authority, is entitled to change the daily routine of the 
ISS crewmembers where necessary to address contingencies, perform urgent 
work associated with crew safety and the protection of the ISS elements, 
equipment or payloads, or conduct critical flight operations. Otherwise, 
the ISS Commander should implement the mission as directed by the Flight 
Director. Specific roles and responsibilities of the ISS Commander and 
the Flight Director are described in the Flight Rules. The Flight Rules 
outline decisions planned in advance of the mission and are designed to 
minimize the amount of real-time discussion required during mission 
operations.

                      IV. Disciplinary Regulations

    ISS crewmembers will be subject to the disciplinary policy developed 
and revised as necessary by the MCOP and approved by the Multilateral 
Coordination Board (MCB). The MCOP has developed an initial disciplinary 
policy which has been approved by the MCB. The disciplinary policy is 
designed to maintain order among the ISS crewmembers during preflight, 
on-orbit and postflight activities. The disciplinary policy is 
administrative in nature and is intended to address violations of the 
CCOC. Such violations may, inter alia, affect flight assignments as an 
ISS crewmember. The disciplinary policy does not limit a Cooperating 
Agency's right to apply relevant laws, regulations, policies, and 
procedures to the ISS crewmembers it provides, consistent with the IGA 
and the MOU's.

             V. Physical and Information Security Guidelines

    The use of all equipment and goods to which ISS crewmembers have 
access shall be limited to the performance of ISS duties. Marked or 
otherwise identified as export controlled data and marked proprietary 
data obtained by an ISS crewmember in the course of ISS activities shall 
only be used in the performance of his or her ISS duties. With respect 
to data first generated on-board the ISS, the ISS crewmembers will be 
advised by the appropriate Cooperating Agency or by the data owner or 
provider through that Cooperating Agency as to the proprietary or 
export-controlled nature of the data and will be directed to mark and 
protect such data and to continue such protection for as long as the 
requirements for such protection remain in place. Additionally, ISS

[[Page 91]]

crewmembers shall act in a manner consistent with the provisions of the 
IGA and the MOU's regarding protection of operations data, utilization 
data, and the intellectual property of ISS users. They shall also comply 
with applicable ISS program rules, operational directives, and 
management policies designed to further such protections.
    Personal information about ISS crewmembers, including all medical 
information, private family conference, or other private information, 
whether from verbal, written, or electronic sources, shall not be used 
or disclosed by other ISS crewmembers for any purpose, without the 
consent of the affected ISS crewmember, except as required for the 
immediate safety of ISS crewmembers or the protection of ISS elements, 
equipment, or payloads. In particular, all personal medical information, 
whether derived from medical monitoring, investigations, or medical 
contingency events, shall be treated as private medical information and 
shall be transmitted in a private and secure fashion in accordance with 
procedures to be set forth by the MMOP. Medical data which must be 
handled in this fashion includes, for example, biomedical telemetry, 
private medical communications, and medical investigation data. Nothing 
in this paragraph shall be interpreted to limit an ISS crewmember's 
access to all medical resources aboard the ISS, to ground-based medical 
support services, or to his or her own medical data during preflight, 
on-orbit, and postflight activities.

                VI. Protection of Human Research Subjects

    No research on human subjects shall be conducted which could, with 
reasonable foresight, be expected to jeopardize the life, health, 
physical integrity, or safety of the subject.
    No research procedures shall be undertaken with any ISS crewmember 
as a human subject without: (1) written approval by the Human Research 
Multilateral Review Board (HRMRB) and (2) the full written and informed 
consent of the human subject. Each such approval and consent shall be 
obtained prior to the initiation of such research, and shall fully 
comply with the requirements of the HRMRB. The HRMRB is responsible for 
procedures for initiation of new experiments on-orbit when all consent 
requirements have been met, but the signature of the human subject 
cannot be obtained; explicit consent of the human subject will 
nonetheless be required in all such cases. Subjects volunteering for 
human research protocols may at their own discretion, and without 
providing a rationale, withdraw their consent for participation at any 
time, without prejudice, and without incurring disciplinary action. In 
addition, approval or consent for any research may be revoked at any 
time, including after the commencement of the research, by: the HRMRB, 
the Crew Surgeon, the Flight Director, or the ISS Commander, as 
appropriate, if the research would endanger the ISS Crew Member or 
otherwise threaten the mission success. A decision to revoke consent by 
the human subject or approval by the other entities listed above will be 
final.



Sec.  1214.404  Violations.

    This subpart is a regulation within the meaning of 18 U.S.C. 799, 
and whoever willfully violates, attempts to violate, or conspires to 
violate any provision of this subpart or any order or direction issued 
under this subpart may be cited for violating title 18 of the U.S. Code 
and could be fined or imprisoned not more than 1 year, or both.

Subpart 1214.5 [Reserved]



              Subpart 1214.6_Mementos Aboard NASA Missions

    Authority: Pub. L. 111-314, sec. 3, 124 Stat. 3328 (51 U.S.C. 20101, 
et seq.).

    Source: 81 FR 43041, July 1, 2016, unless otherwise noted.



Sec.  1214.600  Scope.

    This subpart establishes policy and procedures for carrying mementos 
on the NASA missions, with the exception of mementos and personal 
effects carried onboard the International Space Station (ISS).



Sec.  1214.601  Definitions.

    Mementos. Flags, patches, insignia, medallions, minor graphics, and 
similar items of little commercial value, especially suited for display 
by the individuals or groups to whom they have been presented.



Sec.  1214.602  Policy.

    Premise. Mementos are welcome aboard NASA missions. However, they 
are flown as a courtesy--not as an entitlement. All mementos must be 
approved by the Associate Administrator for Human Exploration and 
Operations and are stowed only in an Official Flight Kit (OFK) or 
Personal Preference Kit (PPK).
    (a) Economic gain. Items carried in an OFK or a PPK will not be 
sold, transferred for sale, used or transferred for

[[Page 92]]

personal gain, or used or transferred for any commercial or fund-raising 
purpose. Items such as philatelic materials and coins that, by their 
nature, lend themselves to exploitation by the recipients, or create 
problems with respect to good taste; or that are large, bulky, or heavy 
items will not be approved for flight.
    (b) [Reserved]



Sec.  1214.603  Official Flight Kit.

    (a) Purpose. The Official Flight Kit (OFK) on a particular mission 
allows NASA, and other domestic and friendly foreign countries' 
organizations with NASA approval, to utilize mementos as awards and 
commendations or preserve them in museums or archives. No personal items 
will be carried in the OFK.
    (b) Approval of contents. At least 120 days prior to the scheduled 
launch of a particular mission, an authorized representative of each 
organization desiring mementos to be carried on a flight in the OFK must 
submit a letter or request describing the item(s) to be flown and the 
intended purpose or distribution. Letters should be directed to the 
Associate Administrator for Human Exploration and Operations, NASA 
Headquarters, Washington DC 20546.



Sec.  1214.604  Personal Preference Kit.

    (a) Purpose. The Personal Preference Kit (PPK) enables persons on a 
particular mission to carry personal items for use as mementos. Only 
those individuals actually accompanying such flights may request 
authorization to carry personal items as mementos.
    (b) Approval of content. At least 60 days prior to the scheduled 
launch of a particular mission, each person assigned to the flight who 
desires to carry items in a PPK must submit a proposed list of items and 
their recipients to the Associate Director, NASA Johnson Space Center. 
The Associate Director will review the proposed list of items and, if 
approved, submit the crew members' PPK lists through supervisory 
channels to the Associate Administrator for Human Exploration and 
Operations for approval. A signed copy of approval from the Associate 
Administrator for Human Exploration and Operations will be returned to 
the Director, NASA Johnson Space Center, for distribution.



Sec.  1214.605-1214.606  [Reserved]



Sec.  1214.607  Media and public inquiries.

    Information on mementos flown on a particular mission will be 
routinely released by the Associate Administrator of the Office of 
Communications to the media and to the public upon their request, but 
only after they have been approved for flight.



Sec.  1214.608  [Reserved]



Sec.  1214.609  Loss or Theft.

    (a) Liability. Neither NASA nor the U.S. Government will be liable 
for the loss or theft of, or damage to, items carried in OFKs or PPKs.
    (b) Report of loss or theft. Any person who learns that an item 
contained in an OFK or a PPK is missing shall immediately report the 
loss to the Johnson Space Center Security Office and the NASA Inspector 
General.



Sec.  1214.610  Violations.

    Any items carried in violation of the requirements of this subpart 
shall become property of the U.S. Government, subject to applicable 
Federal laws and regulations, and the violator may be subject to 
disciplinary action, including being permanently prohibited from use of, 
or if an individual, from flying aboard a NASA mission.



           Subpart 1214.7_The Authority of the NASA Commander

    Authority: Pub. L. 111-314, sec. 3, 124 Stat. 3328 (51 U.S.C. 20101, 
et seq.).

    Source: 81 FR 43041, July 1, 2016, unless otherwise noted.



Sec.  1214.700  Scope.

    This subpart establishes the authority of the NASA Commander of a 
NASA mission, excluding missions related to the ISS and activities 
licensed under Title 51 U.S.C. Chapter 509, to enforce order and 
discipline during a mission and to take whatever action in his/her 
judgment is reasonable and necessary for the protection, safety, and 
well-being of all personnel and on-

[[Page 93]]

board equipment, including the spacecraft and payloads. During the final 
launch countdown, following crew ingress, the NASA Commander has the 
authority to enforce order and discipline among all on-board personnel. 
During emergency situations prior to liftoff, the NASA Commander has the 
authority to take whatever action in his/her judgment is necessary for 
the protection or security, safety, and well-being of all personnel on 
board.



Sec.  1214.701  Definitions.

    (a) The flight crew consists of the NASA Commander, astronaut crew 
members, and [any] other persons aboard the spacecraft.
    (b) A mission is the period including the flight-phases from launch 
to landing on the surface of the Earth--a single round trip. (In the 
case of a forced landing, the NASA Commander's authority continues until 
a competent authority takes over the responsibility for the persons and 
property aboard).
    (c) The flight-phases consist of launch, in orbit/transit, 
extraterrestrial mission, deorbit, entry, and landing, and post-landing 
back on Earth.
    (d) A payload is a specific complement of instruments, space 
equipment, and support hardware/software carried into space to 
accomplish a scientific mission or discrete activity.



Sec.  1214.702  Authority and responsibility of the NASA Commander.

    (a) During all flight phases, the NASA Commander shall have the 
absolute authority to take whatever action is in his/her discretion 
necessary to:
    (1) Enhance order and discipline.
    (2) Provide for the safety and well-being of all personnel on board.
    (3) Provide for the protection of the spacecraft and payloads.
    The NASA Commander shall have authority, throughout the mission, to 
use any reasonable and necessary means, including the use of physical 
force, to achieve this end.
    (b) The authority of the NASA Commander extends to any and all 
personnel on board the spacecraft including Federal officers and 
employees and all other persons whether or not they are U.S. nationals.
    (c) The authority of the NASA Commander extends to all spaceflight 
elements, payloads, and activities originating with or defined to be a 
part of the NASA mission.
    (d) The NASA Commander may, when he/she deems such action to be 
necessary for the safety of the spacecraft and personnel on board, 
subject any of the personnel on board to such restraint as the 
circumstances require until such time as delivery of such individual or 
individuals to the proper authorities is possible.



Sec.  1214.703  Chain of command.

    (a) The NASA Commander is a trained NASA astronaut who has been 
designated to serve as commander on a NASA mission and who shall have 
the authority described in Sec.  1214.702 of this part. Under normal 
flight conditions (other than emergencies or when otherwise designated) 
the NASA Commander is responsible to the Mission Flight Director.
    (b) Before each flight, the other flight crewmembers will be 
designated in the order in which they will assume the authority of the 
NASA Commander under this subpart in the event that the NASA Commander 
is not able to carry out his/her duties.
    (c) The determinations, if any, that a crewmember in the chain of 
command is not able to carry out his or her command duties and is, 
therefore, to be relieved of command, and that another crewmember in the 
chain of command is to succeed to the authority of the NASA Commander, 
will be made by the NASA Administrator or his/her designee.



Sec.  1214.704  Violations.

    (a) All personnel on board the NASA mission are subject to the 
authority of the NASA Commander and shall conform to his/her orders and 
direction as authorized by this subpart.
    (b) This subpart is a regulation within the meaning of 18 U.S.C. 
799, and whoever willfully violates, attempts to violate, or conspires 
to violate any provision of this subpart or any order or direction 
issued under this subpart shall be subject to fines and imprisonment, as 
specified by law.

[[Page 94]]

Subparts 1214.8-1214.10 [Reserved]



   Subpart 1214.11_NASA Astronaut Candidate Recruitment and Selection 
                                 Program

    Source: 54 FR 37940, Sept. 14, 1989, unless otherwise noted.



Sec.  1214.1100  Scope.

    It is NASA policy to maintain an integrated Astronaut Corps. This 
subpart 1214.11 sets forth NASA procedures and assigns responsibilities 
for recruitment and selection of astronaut candidates. It applies to all 
pilot and mission specialist astronaut candidate selection activities 
conducted by the National Aeronautics and Space Administration.



Sec.  1214.1101  Announcement.

    (a) Astronaut candidate opportunities Will be announced nationwide 
and publicized periodically unless specifically canceled by NASA.
    (b) Civilian applicants may apply at any time.
    (c) Military personnel on active duty must apply through and be 
nominated by the military service with which they are affiliated. 
Military nominees will not be part of the continuing pool of applicants. 
The military services will convene their internal selection boards and 
provide nominees to NASA. The military nominees will be evaluated by 
NASA and the military services will be notified promptly of those 
nominees who are finalists.
    (d) The Assistant Administrator for Equal Opportunity Programs, NASA 
Headquarters, will provide assistance in the recruiting process.

[54 FR 37940, Sept. 14, 1989, as amended at 68 FR 19948, Apr. 23, 2003]



Sec.  1214.1102  Evaluation of applications.

    (a) All incoming applications will be reviewed to determine whether 
or not applicants meet basic qualifications. Those not meeting the basic 
qualification requirements will be so notified and will not be eligible 
for further consideration. Those meeting the basic qualification 
requirements will have their applications retained for review by a 
designated rating panel.
    (b) A rating panel composed of discipline experts will review and 
rate qualified applicants as ``Qualified'' or ``Highly Qualified.''
    (c) Efforts will be made to ensure that minorities and females are 
included among these discipline experts on the rating panel.
    (d) The criteria for each level will be developed and will serve as 
the basis for the ratings. The evaluation will be based on the quality 
of the individual's academic background and experience and the extent to 
which the individual's academic achievements, experience, and special 
qualifications relate to the astronaut candidate position. Reference 
information on those rated ``Highly Qualified'' will normally be 
obtained. This evaluation process will be monitored to ensure adherence 
to applicable policy, laws, and regulations.
    (e) Those rated ``Highly Qualified'' may be required to obtain a 
Class I or Class II physical. Only medically qualified applicants will 
be referred for final evaluation and possible interview and selection. 
Those who are not medically qualified will be so informed and will not 
be eligible for further consideration.

[54 FR 37940, Sept. 14, 1989, as amended at 68 FR 19948, Apr. 23, 2003]



Sec.  1214.1103  Application cutoff date.

    (a) The JSC Director, or designee, is responsible for identifying 
the need for additional astronaut candidates and for obtaining necessary 
approval to make selections.
    (b) Once such approval has been obtained, a cutoff date for the 
acceptance of applications will be established. Applications received 
after the date of the request will be maintained and processed for the 
next selection.

[54 FR 37940, Sept. 14, 1989, as amended at 68 FR 19948, Apr. 23, 2003]



Sec.  1214.1104  Evaluation and ranking of highly qualified candidates.

    (a) A selection board consisting of discipline experts, and such 
other persons as appropriate, will further evaluate and rank the 
``Highly Qualified'' applicants.

[[Page 95]]

    (b) Efforts will be made to assure that minorities and females are 
included on this board.
    (c) The ``Highly Qualified'' applicants who are determined to be the 
``Best Qualified'' will be invited to the Johnson Space Center for an 
interview, orientation, and detailed medical evaluation.
    (d) Background investigations will normally be initiated on those 
applicants rated ``Best Qualified.''

[54 FR 37940, Sept. 14, 1989, as amended at 68 FR 19948, Apr. 23, 2003]



Sec.  1214.1105  Final ranking.

    Final rankings will be based on a combination of the selection 
board's initial evaluations and the results of the interview process. 
Veteran's preference will be included in this final ranking in 
accordance with applicable regulations.



Sec.  1214.1106  Selection of astronaut candidates.

    The selection board will recommend to the JSC Director its selection 
of candidates from among those finalists who are medically qualified. 
The number and names of candidates selected to be added to the corps 
will be approved, as required, by JSC/ NASA management and the Associate 
Administrator for Space Flight, prior to notifying the individuals or 
the public.



Sec.  1214.1107  Notification.

    Selectees and the appropriate military services will be notified and 
the public informed. All unsuccessful qualified applicants will be 
notified of nonselection and given the opportunity to update their 
applications and indicate their desire to receive consideration for 
future selections.

Subparts 1214.12-1214.17 [Reserved]



PART 1215_TRACKING AND DATA RELAY SATELLITE SYSTEM (TDRSS)
--Table of Contents



  Subpart 1215.1_Use and Reimbursement Policy for Non-U.S. Government 
                                  Users

Sec.
1215.100 General.
1215.101 Scope.
1215.102 Definitions.
1215.103 Services.
1215.104 Apportionment and assignment of services.
1215.105 Delivery of user data.
1215.106 User command and tracking data.
1215.107 User data security and frequency authorizations.
1215.108 Defining user service requirements.
1215.109 Scheduling user service.
1215.110 User cancellation of all services.
1215.111 User postponement of service.
1215.112 User/NASA contractual arrangement.
1215.113 User charges.
1215.114 Service rates.
1215.115 Payment and billing.

Appendix A to Part 1215--Estimated Service Rates in 1997 Dollars for 
          TDRSS Standard Services (Based on NASA Escalation Estimate)
Appendix B to Part 1215--Factors Affecting Standard Charges
Appendix C to Part 1215--Typical User Activity Timeline

    Authority: Sec. 203, Pub. L. 85-568, 72 Stat. 429, as amended; 42 
U.S.C. 2473.

    Source: 48 FR 9845, Mar. 9, 1983, unless otherwise noted.



  Subpart 1215.1_Use and Reimbursement Policy for Non-U.S. Government 
                                  Users



Sec.  1215.100  General.

    TDRSS represents a major investment by the U.S. Government with the 
primary goal of providing improved tracking and data acquisition 
services to spacecraft in low-Earth orbit or to mobile terrestrial users 
such as aircraft or balloons. It is the objective of NASA to operate as 
efficiently as possible with TDRSS, is to the mutual benefit of all 
users. Such user consideration will permit NASA and non-NASA service to 
be delivered without compromising the mission objectives of any 
individual user. The reimbursement policy is designed to comply with the 
Office of Management and Budget Circular A-25 on User Charges, dated 
September 23, 1959, as updated, which requires that a reasonable charge 
should be made to each identifiable recipient for a measurable unit or 
amount of Government service or property from which a special benefit is 
derived.

[77 FR 6952, Feb. 10, 2012]

[[Page 96]]



Sec.  1215.101  Scope.

    This subpart sets forth the policy governing TDRSS services provided 
to non-U.S. Government users and the reimbursement for rendering such 
services. Cooperative missions are not under the purview of this 
subpart. The arrangements for TDRSS services for cooperative missions 
will be covered in an agreement, as a consequence of negotiations 
between NASA and the other concerned party. Any agreement which includes 
provision for any TDRSS service will require signatory concurrence by 
the Deputy Associate Administrator for SCaN prior to dedicating SCaN 
resources for support of a cooperative mission.

[77 FR 6952, Feb. 10, 2012]



Sec.  1215.102  Definitions.

    (a) User. Any non-U.S. Government representative or entity that 
enters into an agreement with NASA to use TDRSS services.
    (b) TDRSS. TDRSS, including Tracking and Data Relay Satellites 
(TDRS), WSC, GRGT, and the necessary TDRSS operational areas, interface 
devices, and NASA communication circuits that unify the above into a 
functioning system. It specifically excludes the user ground system/
TDRSS interface.
    (c) Bit stream. The electronic signals acquired by TDRSS from the 
user craft or the user-generated input commands for transmission to the 
user craft.
    (d) Scheduling service period. One scheduled contact utilizing a 
single TDRS, whereby the user, by requesting service, is allotted a 
block of time for operations between the user satellite and TDRSS.

[77 FR 6952, Feb. 10, 2012]



Sec.  1215.103  Services.

    (a) Standard services. These are services which TDRSS is capable of 
providing to low-Earth orbital user spacecraft or other terrestrial 
users. Data are delivered to WSC or GRGT. A detailed description of 
services is provided in the GSFC Space Network Users' Guide, 450-SNUG. 
Contact the Chief, Networks Integration Management Office, at the 
address in Section 1215.108(d) to obtain a copy of the SNUG.
    (1) Tracking service.
    (2) Data acquisition service.
    (3) Command transmission service.
    (b) Required Support Services. These are support activities that are 
required to obtain TDRSS services.
    (1) Prelaunch support planning, analysis, and documentation.
    (2) Compatibility testing.
    (3) Prelaunch support for data-flow testing and related activities.
    (4) User services scheduling.
    (c) Mission-unique services. Other tracking and data services 
desired by the user that are beyond the standard and required support 
services defined above. The associated charges for these services will 
be identified and assessed on a case-by-case basis.

[77 FR 6952, Feb. 10, 2012]



Sec.  1215.104  Apportionment and assignment of services.

    No user may apportion, assign, or otherwise convey to any third 
party its TDRSS service. Each user may obtain service only through 
contractual agreement with the Associate Administrator for Space 
Operations.

[56 FR 28048, June 19, 1991]



Sec.  1215.105  Delivery of user data.

    (a) As a standard service, NASA will provide to the user its data 
from TDRSS in the form of one or more digital or analog bit streams 
synchronized to associated clock streams at WSC or GRGT.
    (b) User data-handling requirements beyond WSC or GRGT interface 
will be provided as a standard service to the user, to the extent that 
the requirements do not exceed NASA's planned standard communications 
system. Any additional data transport or handling requirements exceeding 
NASA's capability will be dealt with as a mission-unique service.
    (c) No storage of the user data is provided in the standard service. 
NASA will provide short-term temporary recording of data at WSC in the 
event of a NASA Integrated Services Network (NISN) link outage.
    (d) NASA will provide TDRSS services on a ``reasonable efforts'' 
basis, and, accordingly, will not be liable for damages of any kind to 
the user or

[[Page 97]]

third parties for any reason, including, but not limited to, failure to 
provide agreed-to services. The price for TDRSS services does not 
include a contingency or premium for any potential damages. The user 
will assume any risk of damages or obtain insurance to protect against 
any risk.

[77 FR 6952, Feb. 10, 2012]



Sec.  1215.106  User command and tracking data.

    (a) User command data shall enter TDRSS via the NISN interface at 
WSC or GRGT.
    (b) NASA is required to have knowledge of the user satellite orbital 
elements to sufficient accuracy to permit TDRSS to establish and 
maintain acquisition. This can be accomplished in two ways:
    (1) The user can provide the orbital elements in a NASA format to 
meet TDRSS operational requirements.
    (2) The user shall ensure that a sufficient quantity of tracking 
data is received to permit the determination of the user satellite 
orbital elements. The Flight Dynamics Facility (FDF) at GSFC will 
provide the orbit determination service to these users. The charges for 
this service will be negotiated between the FDF and the user and will be 
dependent on user requirements.

[77 FR 6952, Feb. 10, 2012]



Sec.  1215.107  User data security and frequency authorizations.

    (a) User data security is not provided by the TDRSS. Responsibility 
for data security resides solely with the user. Users desiring data 
safeguards shall provide and operate, external to the TDRSS, the 
necessary equipment or systems to accomplish data security. Any such 
user provisions must be compatible with data flow through TDRSS and not 
interfere with other users.
    (b) All radio frequency authorizations associated with operations 
pursuant to this directive are the responsibility of the user. If 
appropriate, authority(ies) must be obtained from the Federal 
Communications Commission (FCC) for operations consistent with U.S. 
footnote 303 of the National Table of Frequency Allocations, FCC Rules 
and Regulations, at 47 CFR 2.106.

[56 FR 28049, June 19, 1991]



Sec.  1215.108  Defining user service requirements.

    Potential users should become familiar with TDRSS capabilities and 
constraints, which are detailed in the SNUG, as early as possible. This 
action allows the user to evaluate the trade-offs available among 
various TDRSS services, spacecraft design, operations planning, and 
other significant mission parameters. It is recommended that potential 
users contact the NIMO as early as possible for assistance in performing 
the trade studies. When these evaluations have been completed, and the 
user desires to use TDRSS, the user should initiate a request for TDRSS 
service.
    (a) Initial requests for TDRSS service from non-U.S. Government 
users shall be addressed to SCaN at NASA Headquarters, as follows: 
Deputy Associate Administrator: Space Communications and Navigation 
Division, National Aeronautics and Space Administration, Washington, DC 
20546.
    (b) Upon review and acceptance of the service request, preliminary 
analyses shall be performed to determine the feasibility of meeting the 
proposed requirements.
    (c) If the request is determined to be feasible, the user and SCaN 
shall negotiate an agreement for provision of the requested services. 
Acceptance of user requests for TDRSS service is the sole prerogative of 
NASA.
    (d) Upon approval of the agreement by both parties, GSFC will be 
assigned to produce the detailed requirements, plans, and documentation 
necessary for support of the mission. Changes to user requirements shall 
be made as far in advance as possible and shall be submitted, in 
writing, to both SCaN at NASA Headquarters (see Section 108, paragraph 
(a) for mailing address) and GSFC, as follows: Chief: Networks 
Integration Management Office, Code 450.1, NASA Goddard Space Flight 
Center, M/S 450.1, 8800 Greenbelt Road Greenbelt, MD 20771.

[77 FR 6953, Feb. 10, 2012]

[[Page 98]]



Sec.  1215.109  Scheduling user service.

    (a) User service shall be scheduled only by NASA. TDRSS services 
will be provided in accordance with operational priorities established 
by the NASA Administrator or his/her designee. See Appendix A for a 
description of a typical user activity timeline.
    (b) Schedule conflict will be resolved in general by application of 
principles of priority to user service requirements. Services shall be 
provided either as normally scheduled service or as emergency service. 
Priorities will be different for emergency service than for normal 
services.
    (1) Normally scheduled service is service which is planned and 
ordered under normal operational conditions and is subject to schedule 
conflict resolution under normal service priorities. Requests for 
normally scheduled service must be received by the schedulers at the 
GSFC WSC Data Services Management Center (DSMC) no later than 21 days 
prior to the requested support time.
    (2) At times, emergency service requirements will override normal 
schedule priority. Under emergency service conditions, disruptions to 
scheduled service will occur.
    (3) The DSMC reserves the sole right to schedule, reschedule, or 
cancel TDRSS service.
    (4) NASA schedulers will exercise judgment and endeavor to see that 
lower-priority users are not excluded from a substantial portion of 
their contracted-for service due to the requirements of higher-priority 
users.
    (c) General user service requirements, which will be used for 
preliminary planning and mission modeling, should include all pertinent 
information necessary for NASA to determine if the proposed service is 
achievable. Contact NIMO to discuss usage and requirements.
    (d) Such user service requirements information typically includes:
    (1) Date of service initiation.
    (2) The type of TDRSS services desired (e.g., multiple access, 
tracking, etc.), and the frequency and duration of each service.
    (3) Orbit or trajectory parameters and tracking data requirements.
    (4) Spacecraft events significant to tracking, telemetry or command 
requirements.
    (5) Communications systems specifics, including location of antennas 
and other related information dealing with user tracking, command, and 
data systems.
    (6) Special test requirements, data flows, and simulations, etc.
    (7) Identification of terrestrial data transport requirements, 
interface points, and delivery locations, including latency and line 
loss recovery.
    (e) To provide for effective planning, reference Appendix A, Typical 
New User Activity Timeline.

[77 FR 6953, Feb. 10, 2012]



Sec.  1215.110  User cancellation of all services.

    The user has the right to terminate its service contract with NASA 
at any time. A user who exercises this right after contracting for 
service shall pay the charge agreed upon for services previously 
rendered, and the cost incurred by the Government for support of pre-
launch activities, services, and mission documentation not included in 
that charge. The user will remain responsible for the charges for any 
services actually provided.



Sec.  1215.111  User postponement of service.

    The user may postpone the initiation of contracted service (e.g., 
user launch date) by delivery of written notification to NASA 
Headquarters, Code OX. Any delay in the contracted start of service date 
may affect the quantity of service to be provided due to commitments to 
other support requirements. Therefore, the validity of previous 
estimates of predicted support availability may no longer be applicable.

[56 FR 28049, June 19, 1991]



Sec.  1215.112  User/NASA contractual arrangement.

    No service shall be provided without an approved agreement.

[77 FR 6953, Feb. 10, 2012]



Sec.  1215.113  User charges.

    (a) The user shall reimburse NASA the sum of the charges for 
standard

[[Page 99]]

and mission-unique services. Charges will be based on the service rates 
applicable at the time of service.
    (b) For standard services, the user shall be charged only for 
services rendered, except that if a total cancellation of service 
occurs, the user shall be charged in accordance with the provisions of 
Sec.  1215.110.
    (1) Standard services which are scheduled, and then cancelled by the 
user less than 72 hours prior to the start of that scheduled service 
period, will be charged as if the scheduled service actually occurred.
    (2) The time scheduled by the user project shall include the slew 
time, set up and/or configuration time, TDRSS contact time, and all 
other conditions for which TDRSS services were allocated to the user.
    (3) Charges will be accumulated by the minute, based on the 
computerized schedule/configuration messages which physically set up 
TDRSS equipment at the start of a support period and free the equipment 
for other users at the end of a support period.
    (c) The user shall reimburse NASA for the costs of any mission-
unique services provided by NASA.

[77 FR 6953, Feb. 10, 2012]



Sec.  1215.114  Service rates.

    (a) Rates for TDRSS services will be established by the DAA for 
SCaN.
    (b) Per-minute rates will reflect TDRSS total return on investment 
and operational and maintenance costs.
    (c) The rate per minute by service and type of user is available on 
the following Web site: https://www.spacecomm.nasa.gov/spacecomm/
programs/Space_network.cfm.
    (d) The per-minute charge for TDRSS service is computed by 
multiplying the charge per minute for the appropriate service by the 
number of minutes utilized.

[77 FR 6953, Feb. 10, 2012]



Sec.  1215.115  Payment and billing.

    (a) The procedure for billing and payment of standard TDRSS services 
is as follows:
    (1) NASA shall be reimbursed by customers in connection with the use 
of Government property and services provided under an approved 
reimbursable agreement. Advance payment for services is required. 
Advance payments shall be scheduled to keep pace with the rate at which 
NASA anticipates incurring costs. NASA will provide a Customer Budget/
Estimate (CBE) for services rendered nominally 60-90 days in advance, or 
as otherwise agreed, of the first anticipated property use or required 
service date for each mission. The full cost of the mission shall be 
paid by the customer not later than 30 days prior to the first 
anticipated property use or required service date.
    (2) In some cases, an advance partial payment will be required six--
nine months prior to the first anticipated property use or required 
service date in order for advance planning work and/or travel to take 
place. The amount of this partial payment and its receipt shall be 
negotiated on an as-needed basis. Adjustments to the amounts prepaid 
will be made to the succeeding billings as the actual services are 
rendered.
    (3) If the customer fails to make payment by the payment due date, 
NASA may terminate the agreement and any subagreements for breach of 
agreement after notice to the customer is given of this breach and 
failure to cure such breach within a time period established by NASA.
    (b) Late payments by the user will require the user to pay a late 
payment charge.

[77 FR 6954, Feb. 10, 2012]





 Sec. Appendix A to Part 1215--Estimated Service Rates in 1997 Dollars 
     for TDRSS Standard Services (Based on NASA Escalation Estimate)

    Time: Project conceptualization (at least two years before launch; 
Ref. Sec.  1215.108(a)).
    Activity: Submit request for access to TDRSS. Upon preliminary 
acceptance of the service requirements by NASA Headquarters, 
communications for the reimbursable development of a Space Act Agreement 
(SAA) will begin. Prior to finalization of the Memorandum of Agreement 
(MOA), an estimate for the services will be issued. After SAA signature, 
full funding of the effort must be received prior to NASA initiating any 
activities associated with the effort. (Ref. Sec.  1215.115(a)(1)).

[[Page 100]]

    Time: 18 months before launch (Ref. Sec.  1215.109(c).
    Activity: After full funding has been received and distributed to 
the executing NASA entities, submit general user requirements to permit 
preliminary planning. Contact will occur to facilitate the integration 
process for access to TDRSS. If appropriate, initiate action with the 
Federal Communications Commission for license to communicate with TDRSS 
(Ref. Sec.  1215.107(b)).
    Time: 12 months before launch (earlier if possible).
    Activity: Provide detailed requirements for technical definition and 
development of operational and interface control documents. (Ref. Sec.  
1215.109(d)).
    Time: 3 weeks prior to a Scheduled Support Period (SSP).
    Activity: Submit scheduling request to NASA covering a weekly 
period. Receive schedule from NASA based on principles of priority (Ref. 
Sec.  1215.109(b)). User confirmation of the schedule is required.
    Time: Up to 72 hours prior to an SSP.
    Activity: Can cancel an SSP without charge (Ref. Sec.  
1215.113(b)(1)).
    Time: Up to 45 minutes prior to an SPP.
    Activity: Can schedule an SSP if a time slot is available without 
impacting another user.
    Time: Up to 10 minutes prior to an SSP.
    Activity: Can schedule an SSP utilizing TDRSS unused time (TUT).

[77 FR 6954, Feb. 10, 2012]



    Sec. Appendix B to Part 1215--Factors Affecting Standard Charges

    Charges for services shall be determined by multiplying the factors 
below by the base rates for standard services set forth in appendix A.

------------------------------------------------------------------------
                                                               Emergency
                                                   Time or     service,
                                       Flexible    position   disruptive
                                                 constrained    updates
------------------------------------------------------------------------
Single access service................       .5            1            2
Multiple access forward (command)          .67            1            2
 service.............................
------------------------------------------------------------------------


------------------------------------------------------------------------
                                                               Emergency
                                                    Normally   service,
                                                   scheduled  disruptive
                                                    support     updates
------------------------------------------------------------------------
Multiple access return (telemetry) service.......          1           2
------------------------------------------------------------------------



      Sec. Appendix C to Part 1215--Typical User Activity Timeline

------------------------------------------------------------------------
           Time (approximate)                        Activity
------------------------------------------------------------------------
Project conceptualization (At least 3    Request NASA Headquarters
 years before launch; Ref. Sec.           perform study to determine
 1215.108(a)).                            availability of TDRSS. If
                                          accepted as a user, begin
                                          contractual negotiation by
                                          submission of $25,000 non-
                                          refundable charge, and place
                                          into mission model.
3 years before launch (Ref. Sec.         Submit general user
 1215.109(c)..                            requirements to permit
                                          preliminary planning. Begin
                                          payment for pre-mission
                                          activities (Ref. Sec.
                                          1215.115(b)(5)).
18 months before launch (earlier if      Provide detailed requirements
 interfacing is expected)..               for technical definition and
                                          development of operational
                                          documents and ICD's. (Ref.
                                          Sec.   1215.109(e)). If
                                          appropriate, initiate action
                                          with the Federal
                                          Communications Commission for
                                          license to communicate with
                                          TDRSS at least 18 months prior
                                          to launch (Ref. Sec.
                                          1215.107(b)).
3 weeks prior to a scheduled support     Submit scheduling request to
 period (SSP). 2 weeks prior to an SSP.   GSFC covering a weekly period.
                                          Receive schedule from GSFC
                                          based on principles of
                                          priority (Ref. Sec.
                                          1215.109(b)(2)).
                                          Acknowledgement to GSFC
                                          required.
Up to 12 hours prior to an SSP.........  Can cancel an SSP without
                                          charge (Ref. Sec.
                                          1215.113(a)(1)).
Up to 45 minutes prior to an SPP.......  Can schedule an SSP if a time
                                          slot is available without
                                          impacting another user.
Between SSP minus 45 minutes and the     Schedule requests will be
 SSP..                                    charged at the disruptive
                                          update rate (Ref. Sec.
                                          1215.109(b)(5)).
Real-Time..............................  Emergency service requests will
                                          be responded to per the
                                          priority system (Ref. Sec.
                                          1215.109(b)(3)) and assessed
                                          the emergency service rate.
------------------------------------------------------------------------


[56 FR 28049, June 19, 1991]



PART 1216_ENVIRONMENTAL QUALITY--Table of Contents



       Subpart 1216.1_Policy on Environmental Quality and Control

Sec.
1216.100 Scope.
1216.101 Applicability.
1216.102 Policy.
1216.103 Responsibilities of NASA officials.

Subpart 1216.2 [Reserved]

 Subpart 1216.3_Procedures for Implementing the National Environmental 
                            Policy Act (NEPA)

1216.300 Scope.
1216.301 Applicability.
1216.302 Responsibilities.
1216.303 NEPA process in NASA planning and decision making.
1216.304 Categorical exclusions.

[[Page 101]]

1216.305 Actions requiring environmental assessments.
1216.306 Actions normally requiring an EIS.
1216.307 Programmatic EAs, EISs, and tiering.
1216.308 Supplemental EAs and EISs.
1216.309 Mitigation and monitoring.
1216.310 Classified actions.
1216.311 Emergency responses.

Appendix A to Subpart 1216.3 of Part 1216--Acronyms and Definitions



       Subpart 1216.1_Policy on Environmental Quality and Control

    Authority: The National Aeronautics and Space Act of 1958, as 
amended (42 U.S.C. 2451 et seq.); the National Environmental Policy Act 
of 1969 (NEPA), as amended (42 U.S.C. 4321 et seq.); the Environmental 
Quality Improvement Act of 1970, as amended (42 U.S.C. 4371 et seq.); 
sec. 309 the Clean Air Act, as amended (42 U.S.C. 7609); E.O. 11514 
(Mar. 5, 1970, as amended by E.O. 11991, May 24, 1977); the Council on 
Environmental Quality NEPA Regulations (40 CFR part 1500-1508); and E.O. 
12114, Jan. 4, 1979 (44 FR 1957).

    Source: 44 FR 44485, July 30, 1979, unless otherwise noted.



Sec.  1216.100  Scope.

    This subpart sets forth NASA policy on environmental quality and 
control and the responsibilities of NASA officials in carrying out these 
policies.



Sec.  1216.101  Applicability.

    This subpart is applicable to NASA Headquarters and field 
installations.



Sec.  1216.102  Policy.

    NASA policy is to:
    (a) Use all practicable means, consistent with NASA's statutory 
authority, available resources, and the national policy, to protect and 
enhance the quality of the environment;
    (b) Provide for proper attention to and ensure that environmental 
amenities and values are given appropriate consideration in all NASA 
actions, including those performed under contract, grant, lease, or 
permit;
    (c) Recognize the worldwide and long-range character of 
environmental concerns and, when consistent with the foreign policy of 
the United States and its own responsibilities, lend appropriate support 
to initiatives, resolutions, and programs designed to maximize 
international cooperation in anticipating and preventing a decline in 
the quality of the world environment;
    (d) Use systematic and timely approaches which will ensure the 
integrated use of the natural and social sciences and environmental 
design arts in planning and decisionmaking for actions which may have an 
impact on the human environment;
    (e) Pursue research and development, within the scope of NASA's 
authority or in response to authorized agencies, for application of 
technologies useful in the protection and enhancement of environmental 
quality;
    (f) Initiate and utilize ecological and other environmental 
information in the planning and development of resource-oriented 
projects; and
    (g) Invite cooperation, where appropriate, from Federal, State, 
local, and regional authorities and the public in NASA planning and 
decisionmaking processes.



Sec.  1216.103  Responsibilities of NASA officials.

    (a) The Associate Administrator for Management or designee shall:
    (1) Coordinate the formulation and revision of NASA policies and 
positions on matters pertaining to environmental protection and 
enhancement;
    (2) Represent NASA in working with other governmental agencies and 
interagency organizations to formulate, revise, and achieve uniform 
understanding and application of governmentwide policies relating to the 
environment;
    (3) Develop and ensure the implementation of agencywide standards, 
procedures, and working relationships for protection and enhancement of 
environmental quality and compliance with applicable laws and 
regulations;
    (4) Develop, as an integral part of NASA's basic decision processes, 
procedures to ensure that environmental factors are properly considered 
in all proposals and decisions;
    (5) Establish and maintain working relationships with the Council on 
Environmental Quality, Environmental Protection Agency, and other 
national, state, and local governmental agencies concerned with 
environmental matters;

[[Page 102]]

    (6) Acquire information for and ensure the preparation of 
appropriate NASA reports on environmental matters.
    (b) Officials-in-Charge of Headquarters Offices and NASA Field 
Installation Directors are responsible for:
    (1) Identifying matters under their cognizance which may affect 
protection and enhancement of environmental quality and for employing 
the proper procedures to ensure that necessary actions are taken to meet 
the requirements of applicable laws and regulations;
    (2) Coordinating environmental quality-related activities under 
their cognizance with the Associate Administrator for Management; and
    (3) Supporting and assisting the Associate Administrator for 
Management on request.
    (c) Officials-in-Charge of Headquarters Offices are additionally 
responsible for:
    (1) Giving high priority, in the pursuit of program objectives, to 
the identification, analysis, and proposal of research and development 
which, if conducted by NASA or other agencies, may contribute to the 
achievement of beneficial environmental objectives; and
    (2) In coordination with the Associate Administrator for Management, 
making available to other parties, both governmental and 
nongovernmental, advice and information useful in protecting and 
enhancing the quality of the environment.
    (d) NASA Field Installation Directors are additionally responsible 
for:
    (1) Implementing the NASA policies, standards and procedures for the 
protection and enhancement of environmental quality and supplementing 
them as appropriate in local circumstances;
    (2) Specifically assigning responsibilities for environmental 
activities under the installation's cognizance to appropriate 
subordinates, while providing for the coordination of all such 
activities; and
    (3) Establishing and maintaining working relationships with 
national, state, regional and governmental agencies responsible for 
environmental regulations in localities in which the field installations 
conduct their activities.

[44 FR 44485, July 30, 1979, as amended at 53 FR 9760, Mar. 25, 1988]

Subpart 1216.2 [Reserved]



 Subpart 1216.3_Procedures for Implementing the National Environmental 
                            Policy Act (NEPA)

    Authority: The National Aeronautics and Space Act of 1958, as 
amended (51 U.S.C. 20101 et seq.); The National Environmental Policy Act 
of 1969, as amended (42 U.S.C. 4321 et seq.); the Council on 
Environmental Quality (CEQ) Regulations for Implementing the Procedural 
Provisions of the National Environmental Policy Act (40 CFR parts 1500-
1508).

    Source: 77 FR 3103, Jan. 23, 2012, unless otherwise noted.



Sec.  1216.300  Scope.

    (a) This subpart implements NEPA, setting forth NASA's policies and 
procedures for the early integration of environmental considerations 
into planning and decision making.
    (b) Through this subpart, NASA adopts the CEQ regulations 
implementing NEPA (40 CFR parts 1500-1508) and supplements those 
regulations with this subpart 1216.3, for actions proposed by NASA that 
are subject to NEPA requirements. This subpart is to be used in 
conjunction with the CEQ regulations. Consistent with the CEQ 
regulations at 40 CFR part 1500.3, no trivial violation of this part 
shall give rise to any independent cause of action. This subpart and 
NASA's NEPA policy are available on NASA's Public Portal at http://
www.nasa.gov/agency/nepa/ (under NEPA Process).



Sec.  1216.301  Applicability.

    This subpart applies to all organizational elements of NASA.



Sec.  1216.302  Responsibilities.

    (a) The NASA Senior Environmental Official (SEO) (as defined in 
Appendix A to this subpart) is responsible for overseeing and guiding 
NASA's integration of NEPA into the Agency's planning and decision 
making. The

[[Page 103]]

SEO, with the assistance of the Office of the General Counsel (OGC), is 
responsible for developing NASA NEPA regulations and maintaining up-to-
date Agency-wide NEPA guidance that fully integrates NEPA analysis into 
Agency planning and decision-making processes. The SEO shall monitor 
this process to ensure that these regulations and the associated Agency 
guidance are achieving their purposes. In addition, the NASA SEO is 
responsible for coordinating with other Federal agencies and the CEQ and 
consolidating and transmitting NASA's comments on EISs and other NEPA 
documentation prepared by other Federal agencies:
    (1) The NASA Headquarters/Environmental Management Division (HQ/EMD) 
is delegated the SEO's overall responsibility of implementing NEPA 
functions and guiding NASA's integration of NEPA into the Agency's 
planning and decision making for all NASA activities. The HQ/EMD 
provides advice and consultation to all NASA entities in implementing 
their assigned responsibilities under NEPA. Interested persons can 
obtain information on the status of EISs and other elements of the NEPA 
process by contacting the NASA NEPA Manager at HQ/EMD identified at 
http://www.nasa.gov/agency/nepa/NEPATeam.html.
    (2) Each NASA Center has an environmental management office that 
guides and supports the working-level functions of the NEPA process, 
such as evaluating proposed actions; developing, reviewing, and 
approving required documentation; and advising project managers.
    (b) The Responsible Official shall ensure that planning and decision 
making for each proposed Agency action complies with these regulations 
and with Agency NEPA policy and guidance provided by the SEO, HQ/EMD, 
and the Center's environmental management office. For facility programs 
and projects, the Responsible Official is the individual responsible for 
establishing, developing, and maintaining the institutional capabilities 
required for the execution of programs and projects (e.g., Center 
Director, facility manager). For other programs and projects, (e.g., 
space flight programs/projects, R&D programs/projects) the Responsible 
Official is the NASA official responsible for the formulation and 
implementation of the program or project (e.g., The Associate 
Administrator for Science Mission Directorate, Center Director).
    (c) NASA must comply with this subpart when considering issuance of 
a permit, lease, easement, or grant to a non-Federal party and may seek 
such non-Federal party's assistance in obtaining necessary information 
and completing the NEPA process. The Responsible Official(s) for such 
action(s), in consultation with HQ/EMD and/or the Center's environmental 
management office, will determine the type of environmental information 
needed from the non-Federal party and the extent of the non-Federal 
party's participation in the necessary NEPA process.



Sec.  1216.303  NEPA process in NASA planning and decision making.

    (a) NEPA requires the systematic examination of the environmental 
consequences of implementing a proposed Agency action. Full integration 
of the NEPA process with NASA project and program planning improves 
Agency decisions and ensures that:
    (1) Planning and decision making support NASA's strategic plan 
commitment to sustainability and environmental stewardship and comply 
with applicable environmental statutes, regulations, and policies.
    (2) The public is appropriately engaged in the decision-making 
process.
    (3) Procedural risks and delays are minimized.
    (b) Determining the appropriate level of NEPA review and 
documentation for a proposed NASA action will depend upon the scope of 
the action and the context and intensity of the reasonably foreseeable 
environmental impacts.
    (c) The environmental impacts of a proposed Agency action must be 
considered, along with technical, economic, and other factors that are 
reasonably foreseeable, beginning in the early planning stage of a 
proposed action. NASA will take no action which would have an adverse 
environmental impact or limit the choice of reasonable alternatives 
prior to completion of its NEPA review.

[[Page 104]]



Sec.  1216.304  Categorical exclusions.

    (a) Categorical Exclusions (CatExs) are categories of Agency actions 
with no individually or cumulatively significant impact on the human 
environment and for which neither an EA nor an EIS is required. The use 
of a CatEx is intended to reduce paperwork, improve Government 
efficiency, and eliminate delays in the initiation and completion of 
proposed actions having no significant impact.
    (b) A proposed action may be categorically excluded if the action 
fits within a category of actions eligible for exclusion (such 
categories are listed in paragraph (d) of this section)), and the 
proposed action does not involve any extraordinary circumstances as 
described in paragraph (c) of this section:
    (c) Extraordinary circumstances that will preclude the use of CatExs 
occur when the proposed action:
    (1) Has a reasonable likelihood of having (individually or 
cumulatively) significant impacts on public health, safety, or the 
environment.
    (2) Imposes uncertain or unique environmental risks.
    (3) Is of significantly greater scope or size than is normal for 
this category of action.
    (4) Has a reasonable likelihood of violating Federal, federally 
recognized Indian tribe, State, and/or local law or requirements imposed 
for the protection of the environment.
    (5) Involves impacts on the quality of the environment that are 
likely to be environmentally controversial.
    (6) May adversely affect environmentally sensitive resources, such 
as, but not limited to, federally listed threatened or endangered 
species, their designated critical habitat, wilderness areas, 
floodplains, wetlands, aquifer recharge areas, coastal zones, wild and 
scenic rivers, and significant fish or wildlife habitat, unless the 
impact has been resolved through another environmental review process; 
e.g., the Clean Water Act (CWA), the Coastal Zone Management Act (CZMA).
    (7) May adversely affect known national natural landmarks, or 
cultural or historic resources, including, but not limited to, property 
listed on or eligible for the National Register of Historic Places, 
unless the impact has been resolved through another environmental review 
process; e.g., the National Historic Preservation Act (NHPA).
    (d) Specific NASA actions meeting the criteria for being 
categorically excluded from the requirements for EAs and EISs are as 
follows:
    (1) Administrative Activities including:
    (i) Personnel actions, organizational changes, and procurement of 
routine goods and services.
    (ii) Issuance of procedural rules, manuals, directives, and 
requirements.
    (iii) Program budget proposals, disbursements, and transfer or 
reprogramming of funds.
    (iv) Preparation of documents, including design and feasibility 
studies, analytical supply and demand studies, reports and 
recommendations, master and strategic plans, and other advisory 
documents.
    (v) Information-gathering exercises, such as inventories, audits, 
studies, and field studies, including water sampling, cultural resources 
surveys, biological surveys, geologic surveys, modeling or simulations, 
and routine data collection and analysis activities.
    (vi) Preparation and dissemination of information, including 
document mailings, publications, classroom materials, conferences, 
speaking engagements, Web sites, and other educational/informational 
activities.
    (vii) Software development, data analysis, and/or testing, including 
computer modeling.
    (viii) Interpretations, amendments, and modifications to contracts, 
grants, or other awards.
    (2) Operations and Management Activities including:
    (i) Routine maintenance, minor construction or rehabilitation, minor 
demolition, minor modification, minor repair, and continuing or altered 
operations at, or of, existing NASA or NASA-funded or -approved 
facilities and equipment, such as buildings, roads, grounds, utilities, 
communication systems, and ground support systems, such as space 
tracking and data systems.
    (ii) Installation or removal of equipment, including component 
parts, at

[[Page 105]]

existing Government or private facilities.
    (iii) Contribution of equipment, software, technical advice, 
exchange of data, and consultation to other agencies and public and 
private entities, where such assistance does not control a receiving 
entity's program, project, or activity.
    (iv) NASA ceremonies, commemorative events, and memorial services.
    (v) Routine packaging, labeling, storage, and transportation of 
hazardous materials and wastes, in accordance with applicable Federal, 
federally recognized Indian tribe, State, and/or local law or 
requirements.
    (3) Research and Development (R&D) Activities including:
    (i) Research, development, and testing in compliance with all 
applicable Federal, federally recognized Indian tribe, State, and/or 
local law or requirements and Executive orders.
    (ii) Use of small quantities of radioactive materials in a 
laboratory or in the field. Uses include material for instrument 
detectors, calibration, and other purposes. Materials must be licensed, 
as required, and properly contained and shielded.
    (iii) Use of lasers for research and development, scientific 
instruments and measurements, and distance and ranging, where such use 
meets all applicable Federal, federally recognized Indian tribe, State, 
and/or local law or requirements, and Executive orders. This applies to 
lasers used in spacecraft, aircraft, laboratories, watercraft, or 
outdoor activities.
    (4) Real and Personal Property Activities including:
    (i) Acquisition, transfer, or disposal of any personal property, or 
personal property rights or interests.
    (ii) Granting or acceptance of easements, leases, licenses, rights-
of-entry, and permits to use NASA-controlled property, or any other real 
property, for activities which, if conducted by NASA, would be 
categorically excluded in accordance with this section. This assumes 
that NASA has included any required notices in transfer documentation 
and any terms and conditions necessary to ensure protection of the 
environment, as applicable (Record of Environmental Consideration (REC) 
required).
    (iii) Transfer or disposal of real property or real property rights 
or interests if the change in use is one which, if conducted by NASA, 
would be categorically excluded in accordance with this section (REC 
required).
    (iv) Transfer of real property administrative control to another 
Federal agency, including the return of public domain lands to the 
Department of the Interior (DoI) or other Federal agencies, and 
reporting of property as excess and surplus to the General Services 
Administration (GSA) for disposal, when the agency receiving 
administrative control (or GSA, following receipt of a report of excess) 
will complete any necessary NEPA review prior to any change in land use 
(REC required).
    (v) Acquisition of real property (including facilities) where the 
land use will not change substantially (REC required).
    (5) Aircraft and Airfield Activities including:
    (i) Periodic aircraft flight activities, including training and 
research and development, which are routine and comply with applicable 
Federal, federally recognized Indian tribe, State, and/or local law or 
requirements, and Executive orders.
    (ii) Relocation of similar aircraft not resulting in a substantial 
increase in total flying hours, number of aircraft operations, 
operational parameters (e.g., noise), or permanent personnel or 
logistics support requirements at the receiving installation (REC 
required).
    (e) The Responsible Official shall review the proposed action in its 
early planning stage and will consider the scope of the action and the 
context and intensity of any environmental impacts to determine whether 
there are extraordinary circumstances that could result in environmental 
impacts. If extraordinary circumstances exist, the Responsible Official 
will either withdraw the proposed action or initiate an EA or EIS.
    (f) The NASA SEO will review the categorical exclusions at least 
every seven years, in accordance with CEQ guidance, to determine whether 
modifications, additions, or deletions are

[[Page 106]]

appropriate, based upon NASA's experience. Recommendations for 
modifications, additions, or deletions shall be submitted to the SEO for 
consideration and informal discussion with the CEQ.



Sec.  1216.305  Actions requiring environmental assessments.

    (a) The Responsible Official will prepare an EA when a proposed 
action cannot be categorically excluded, and the proposed action is not 
expected to result in impacts that require analysis in an EIS. The 
Responsible Official will consider the scope of the action and the 
context and intensity of any environmental impacts when determining 
whether to prepare an EA.
    (b) Typical NASA actions normally requiring an EA include:
    (1) Specific spacecraft development and space flight projects/
programs (as defined in Appendix A to this subpart).
    (2) Actions altering the ongoing operations at a NASA Center which 
could lead directly, indirectly, or cumulatively to substantial natural 
or physical environmental impacts.
    (3) Construction or modifications of facilities which are not minor.
    (4) Proposed actions that are expected to result in significant 
changes to established land use.
    (5) A space flight project/program that would return 
extraterrestrial samples to Earth from solar system bodies (such as 
asteroids, comets, planets, dwarf planets, and planetary moons), which 
would likely receive an Unrestricted Earth Return categorization (as 
defined in Appendix A to this subpart) from NASA's Planetary Protection 
Office (PPO) or the NASA Planetary Protection Subcommittee prior to the 
return of samples to the Earth.



Sec.  1216.306  Actions normally requiring an EIS.

    (a) NASA will prepare an EIS for actions with the potential to 
significantly impact the quality of the human environment, including 
actions for which an EA analysis demonstrates that significant impacts 
will potentially occur which will not be reduced or eliminated by 
changes to the proposed action or mitigation of its potentially 
significant impacts.
    (b) Typical NASA actions normally requiring an EIS include:
    (1) Development and operation of new launch vehicles or space 
transportation systems.
    (2) [Reserved]
    (c) Development and operation of a space flight project/program 
which would launch and operate a nuclear reactor or radioisotope power 
systems and devices using a total quantity of radioactive material 
greater than the quantity for which the NASA Nuclear Flight Safety 
Assurance Manager may grant nuclear safety launch approval (i.e., a 
total quantity of radioactive material for which the A2 Mission Multiple 
(see definitions in Appendix A to this subpart) is greater than 10)).
    (d) Development and operation of a space flight project/program 
which would return samples to Earth from solar system bodies (such as 
asteroids, comets, planets, dwarf planets, and planetary moons), which 
would likely receive a Restricted Earth Return categorization (as 
defined in Appendix A to this subpart) from the NASA Planetary 
Protection Office or the NASA Planetary Protection Subcommittee.
    (e) Substantial modification of a NASA facility's master plan in a 
manner expected to result in significant effect(s) on the quality of the 
human environment.
    (f) Substantial construction projects expected to result in 
significant effect(s) on the quality of the human environment, when such 
construction and its effects are not within the scope of an existing 
master plan and EIS.



Sec.  1216.307  Programmatic EAs, and EISs, and tiering.

    NASA encourages the analysis of actions at the programmatic level 
for those programs similar in nature or broad in scope. Programmatic 
NEPA analyses may take place in the form of an EA or EIS. These 
documents allow ``tiering'' of NEPA documentation for subsequent or 
specific actions.



Sec.  1216.308  Supplemental EAs and EISs.

    As detailed in CEQ regulations, supplemental documentation may be 
required for previous EAs or EISs (see 40 CFR 1502.9). If changed 
circumstances require preparation of a supplemental

[[Page 107]]

EA or EIS, such document will be prepared following the same general 
process as the original EA or EIS. No new scoping is required for a 
supplemental EIS; however, NASA may choose to conduct scoping.



Sec.  1216.309  Mitigation and monitoring.

    When the analysis proceeds to an EA or EIS and mitigation measures 
are selected to avoid or reduce environmental impacts, such mitigation 
measures will be identified in the EA/FONSI or the EIS Record of 
Decision (ROD). NASA will implement mitigation measures (including 
adaptive management strategies, where appropriate) consistent with 
applicable FONSIs and/or RODs and will monitor their implementation and 
effectiveness. The Responsible Official will ensure that funding 
requests for such mitigation measures are included in the program or 
project budget.



Sec.  1216.310  Classified actions.

    (a) Classification does not relieve NASA of the requirement to 
assess, document, and consider the environmental impacts of a proposed 
action.
    (b) When classified information can reasonably be separated from 
other information and a meaningful environmental analysis can be 
produced, unclassified documents will be prepared and processed in 
accordance with these regulations. Classified portions will be kept 
separate and provided to properly cleared reviewers and decision makers 
in the form of a properly classified document that meets the 
requirements of these regulations to the extent permitted, given such 
classification.



Sec.  1216.311  Emergency responses.

    (a) When the Responsible Official determines that an emergency 
exists that makes it necessary to take urgently needed actions before 
preparing a NEPA analysis and any required documentation, in accordance 
with the provisions in Sec. Sec.  1216.305 and 1216.307 of this subpart, 
then the following provisions apply:
    (1) The Responsible Official may take urgently needed actions that 
are necessary to control the immediate impacts of the emergency needed 
to mitigate harm to life, property, or resources. When taking such 
actions, the Responsible Official shall, to the extent practical, 
mitigate foreseeable adverse environmental impacts.
    (2) [Reserved]
    (b) At the earliest practicable time, the Responsible Official shall 
also notify the SEO of the emergency situation and the action(s) taken. 
The SEO will determine the appropriate NEPA action associated with the 
urgent actions taken as a result of the emergency. If the urgent actions 
will reasonably result in significant environmental impacts, the SEO 
will consult with the CEQ to ensure compliance with 40 CFR 1506.11 as 
soon as is reasonable.
    (c) If the Responsible Official proposes emergency actions which 
continue beyond the urgent actions taken as a result of the emergency, 
and these actions are not categorically excluded, the Responsible 
Official will consult with the SEO to determine the appropriate level of 
NEPA compliance. If continuation of the emergency actions will 
reasonably result in significant environmental impacts, the SEO will 
consult with the CEQ to ensure compliance with 40 CFR 1506.11 as soon as 
is reasonable.



Sec. Appendix A to Subpart 1216.3 of Part 1216--Acronyms and Definitions

CatEx Categorical Exclusion
CEQ Council on Environmental Quality
CFR Code of Federal Regulations
CWA Clean Water Act
CZMA Coastal Zone Management Act
DoI (U.S.) Department of the Interior
EA Environmental Assessment
EMD Environmental Management Division
EIS Environmental Impact Statement
FONSI Finding of No Significant Impact
FR Federal Register
GSA General Services Administration
NEPA National Environmental Policy Act
NHPA National Historic Preservation Act
SEO Senior Environmental Official
OGC Office of the General Counsel
PPO Planetary Protection Office
REC Record of Environmental Consideration
ROD Record of Decision
U.S.C. United States Code

                               Definitions

1. A2 Mission Multiple--The A2 Mission Multiple is a calculated value 
based on the total amount of radioactive material being launched. This 
value is used in defining the

[[Page 108]]

level of review and approval required for launch.
2. Earth Return Mission (also known as a Sample Return)--A subcategory 
of missions that would collect extraterrestrial materials from solar 
system bodies and return them to Earth.
3. NASA Senior Environmental Official--The Senior NASA Headquarters 
Official responsible for providing executive and functional leadership 
for environmental compliance. As of January 1, 2011, the SEO is the 
Assistant Administrator for Strategic Infrastructure.
4. Record of Environmental Consideration--A brief document that is used 
to describe a proposed action, identify the applicable categorical 
exclusion, and explain why further environmental analysis is not 
required.
5. Restricted Earth Return--A subcategory of Earth Return Missions which 
requires additional measures to ensure that any potential indigenous 
life form would be contained so that it could not impact humans or 
Earth's environment.
6. Space Flight Projects/Programs--Those NASA actions that develop 
products intended for use in space and/or that support ground and space 
operations for products in space.
7. Unrestricted Earth Return--NASA Procedural Requirements define this 
as a subcategory of Earth Return Missions that would collect 
extraterrestrial materials from solar system bodies (deemed by 
scientific opinion to have no indigenous life forms) and return those 
samples to Earth. No planetary protection measures are required for the 
inbound (return to Earth) phase of the mission.



PART 1217_DUTY-FREE ENTRY OF SPACE ARTICLES--Table of Contents



Sec.
1217.100 Scope.
1217.101 Applicability.
1217.102 Background.
1217.103 Authority to certify.
1217.104 Certification forms.
1217.105 Procedures.
1217.106 Articles brought into the United States by NASA from space.

    Authority: 51 U.S.C. 20113; Proclamation No. 6780 of March 23, 1995, 
60 FR 15845.

    Source: 62 FR 6467, Feb. 12, 1997, unless otherwise noted.



Sec.  1217.100  Scope.

    This part sets forth policy and procedures with respect to the use 
of the NASA's authority to certify to the U.S. Commissioner of Customs 
duty-free entry of articles into the United States for the use of NASA 
or for implementation of a NASA international program, including 
articles that will be launched into space, spare parts for such 
articles, ground support equipment, or uniquely associated equipment for 
use in connection with a NASA international program or launch service 
agreement. This part also sets forth NASA's procedures with respect to 
the use of its authority to bring foreign-owned articles and articles 
from space into the customs territory of the United States, and 
describes the nonimport status of such articles.



Sec.  1217.101  Applicability.

    This part applies to qualifying articles entered or withdrawn from 
warehouse for consumption in the customs territory of the United States, 
and to articles brought into the customs territory of the United States 
by NASA from space or from foreign country as part of the NASA 
international program.



Sec.  1217.102  Background.

    In order to encourage and facilitate the use of NASA's launch 
services for the exploration and use of space, section 116 of Public Law 
97-446 provided for the duty-free entry into the United States of 
certain articles imported by NASA for its space-related activities or 
articles imported by another person or entity for the purpose of meeting 
its obligations under a launch services agreement with NASA. Such 
articles were certified by NASA to the Commissioner of Customs for duty-
free entry to be launched into space or space parts or necessary and 
uniquely associated support equipment for use in connection with a 
launch into space. This exemption from duty was provided for in 
Subheading 9808.00.80, Harmonized Tariff Schedule of the United States 
(HTSUS) (19 U.S.C. 1202). Also, HTSUS, Chapter VIII, U.S. note 1, 
pursuant to the same law, provided that return of articles by NASA from 
space to the United States would not be considered an importation, and 
similarly not be subject to a duty.

[[Page 109]]

    As a result of the Uruguay Round agreements of the 1994 General 
Agreement on Tariffs and Trade, this authority was revised and expanded 
in scope. It now provides that imports of articles for NASA's use and 
articles imported to implement NASA's international programs, including 
articles to be launched into space, parts thereof, ground support 
equipment, and uniquely associated equipment for use in connection with 
NASA's international programs and launch service agreements would be 
eligible for duty-free customs entry upon certification by NASA to the 
Commissioner of Customs. The revised authorities also provided, in U.S. 
note 1 to subchapter VIII of chapter 98 of the HTSUS, that articles 
brought into the customs territory of the United States by NASA from 
space or from a foreign country as part of a NASA's international 
programs would not be considered imports or subject to customs entry 
requirements.



Sec.  1217.103  Authority to certify.

    (a) The following NASA officials, their deputies, and designees 
within their respective organizations are authorized, under the 
conditions described herein, to make the certification to the 
Commissioner of Customs required for the duty-free entry of space 
articles pursuant to subheading HTSUS 9808.00.80.
    (1) The NASA Assistant Administrator for Procurement is authorized 
to issue the certification for articles imported into the United States 
which are procured by NASA or by other U.S. Government agencies, or by 
U.S. Government contractors or subcontractors when title to the articles 
is or will be vested in the U.S. Government pursuant to the terms of the 
contract or subcontract. Requests for certification should be sent to: 
Office of Procurement, Attn: Director, Contract and Grant Policy 
Division, National Aeronautics and Space Administration, Washington, DC 
20546.
    (2) The NASA Associate Administrator for International and 
Interagency Relations is authorized to issue the certification for 
articles imported into the United States pursuant to international 
agreements. Requests for certification should be sent to: Office of 
International and Interagency Relations, Attn: Director, Export Control 
and Interagency Liaison Division, National Aeronautics and Space 
Administration, Washington, DC 20546.
    (3) The NASA Associate Administrator for Human Exploration and 
Operations is authorized to issue the certification for articles 
imported into the United States by persons or entities under agreements 
other than those identified in paragraphs (a)(1) and (a)(2) of this 
section, including launch services agreements. Requests for 
certification should be sent to: Human Exploration and Operations 
Mission Directorate, Attn: Director, International Space Station Office, 
National Aeronautics and Space Administration, Washington, DC 20546.
    (b) Each certification by the officials identified in paragraphs 
(a)(1), (a)(2), and (a)(3) of this section shall receive the concurrence 
of the Office of the General Counsel.
    (c) Subject to procedures established by the officials identified in 
paragraphs (a)(1), (a)(2), or (a)(3) of this section, as appropriate, 
the Center Procurement Officer or a Program Manager at a NASA 
Installation who is designated by an official identified in paragraphs 
(a)(1), (a)(2), or (a)(3) of this section may make the certification to 
the Commissioner of Customs required for the duty-free entry of space 
articles pursuant to subheading HTSUS 9808.00.80. Such procedures shall 
include the following requirements:
    (1) All such certifications by designated Procurement Officers or 
Program Managers shall receive the concurrence of the Chief Counsel of 
the issuing NASA Installation; and
    (2) All such certifications by designated Procurement Officers or 
Program Managers shall be promptly reported to an official identified in 
paragraphs (a)(1), (a)(2), or (a)(3) of this section, as appropriate.

[62 FR 6467, Feb. 12, 1997, as amended at 80 FR 45865, Aug. 3, 2015]



Sec.  1217.104  Certification forms.

    To the extent an authorized NASA official approves a request for 
certification, that official shall sign a certificate in the following 
form:

[[Page 110]]

    (a) For articles procured by NASA, a Customs Service Form CF 7501 
(Entry Summary) shall be completed, and the following certification 
shall be used:

     Articles for the National Aeronautics and Space Administration

    Item 9808.00.80, Harmonized Tariff Schedule of the United States

Program:________________________________________________________________

    I hereby certify that the articles identified in [attached invoice] 
are being imported for the use of the National Aeronautics and Space 
Administration (NASA) in accordance with 9808.00.80, Harmonized Tariff 
Schedule of the United States.

Name____________________________________________________________________

Date____________________________________________________________________

    (b) For articles imported by NASA to implement international 
programs of NASA to which NASA will take title, or which remain the 
property of foreign entities under such programs, no entry is required 
pursuant to U.S. note 1 to HTSUS subchapter VIII of chapter 98. For such 
articles, the following certification shall be used:

Articles for Use in an International Program of the National Aeronautics 
                        and Space Administration

    Item 9808.00.80, Harmonized Tariff Schedule of the United States

Program:________________________________________________________________

Foreign Owner(s) (if applicable):_______________________________________

    In accordance with subheading 9808.00.80 and U.S. note 1 to 
subchapter VIII of chapter 98, Harmonized Tariff Schedule of the United 
States, I hereby certify that the above-described shipment is being 
brought into the customs territory of the United States as part of an 
international program of the National Aeronautics and Space 
Administration (NASA). No CF 7501 entry is required for this shipment. 
All articles contained in this shipment are, and shall remain, the 
property of NASA or of the foreign entities identified above. Except for 
articles consumed in the execution of the above-described Program, none 
of these articles will be made available for sale or other disposition 
to persons or institutions not directly involved in the Program 
identified above.

Name____________________________________________________________________

Date____________________________________________________________________

    (c) A blanket certificate for a series of imports under a specific 
NASA international program or procurement is authorized but shall 
require written verification by a NASA official designated by a Director 
of a receiving NASA Installation that the articles received meet the 
conditions of the certificate. The blanket certificate shall be in the 
form of the certifications set forth in paragraphs (a) or (b) of this 
section, as appropriate, but shall include the following paragraph at 
the end thereof:

    Before this certification is used to obtain duty-free entry of these 
articles, a cognizant NASA official at the receiving NASA Installation, 
who is designated by the Installation Director, shall verify in writing 
that specifically identified articles to be entered on a particular date 
are the articles described in this certificate or its attachments. This 
verification and this certification shall be presented to the U.S. 
Customs Service at the time entry for the particular articles is sought.

Name____________________________________________________________________

Date____________________________________________________________________

    With respect to articles represented to be: procurements by NASA; or 
imports to implement international programs of NASA to which NASA will 
take title, or foreign-owned articles for use in a NASA international 
program, the NASA official issuing the blanket certificate shall review 
the proposed articles and approve their eligibility for duty-free entry. 
A description of these articles shall either be referred to in the 
blanket certificate and provided in Form CF 7501 (Entry Summary) for 
procurements or attached to the certificate for imports to implement 
NASA international programs, as appropriate.



Sec.  1217.105  Procedures.

    (a) Requests for certification shall be forwarded to an appropriate 
NASA official or designee as provided for in Sec.  1217.103 of this 
part.
    (b) Each request for certification shall be accompanied by:
    (1) A proposed certificate as provided for in Sec.  1217.104 of this 
part;
    (2) The information and documentation required by 19 CFR 10.102(a), 
including invoice documentation or a description of covered articles; 
and
    (3) The anticipated date of entry of entry and port of entry for 
each article. If the article is to be transported

[[Page 111]]

in bond from the port of arrival to another port of entry in the United 
States, identify both ports.
    (c) The signed certificate and its attachment(s) will be forwarded 
to the NASA Installation responsible for duty-free entry of the 
materials, unless issued at such Installation by an authorized official 
in accordance with Sec.  1217.103(c) of this part. These documents shall 
be presented to an appropriated Customs official at the port(s) of 
entry. The procedures specified in 19 CFR 10.102 will be followed by the 
NASA Installation in obtaining duty-free entry at the Customs port(s) of 
entry. The NASA Installation should ensure that, at the time the 
articles are to be released after Customs entry, the custody of the 
imported articles is transferred directly from the carrier or from the 
U.S. Customs Service to the NASA Installation, its agent, or the launch 
service customer in the case of a Launch and Associated Services 
Agreement.
    (d) If articles procured under contract by NASA are imported prior 
to compliance with these procedures and it is essential that the 
articles be released from Customs custody prior to such compliance, the 
procedures outlined in 19 CFR 10.101 may be followed by cognizant NASA 
officials to secure the release of the articles from Customs custody. To 
the extent applicable, the procedures in Sec.  1217.105 of this part 
shall be followed when time permits to obtain duty-free entry for the 
articles released from Customs custody.



Sec.  1217.106  Articles brought into the United States by NASA from space.

    Pursuant to U.S. note 1 subchapter VIII of chapter 98, HTSUS, 
articles brought into the customs territory of the United States by NASA 
from space shall not be considered an importation, and no certification 
or entry of such materials through U.S. Customs shall be required. This 
provision is applicable to articles brought to the U.S. from space 
whether or not the articles were launched into space aboard a NASA 
vehicle.



PART 1221_THE NASA SEAL AND OTHER DEVICES, AND THE CONGRESSIONAL 
SPACE MEDAL OF HONOR--Table of Contents



  Subpart 1221.1_NASA Seal, NASA Insignia, NASA Logotype, NASA Program 
Identifiers, NASA Flags, and the Agency's Unified Visual Communications 
                                 System

Sec.
1221.100 Scope.
1221.101 Policy.
1221.102 Establishment of the NASA Seal.
1221.103 Establishment of the NASA Insignia.
1221.104 Establishment of the NASA Logotype.
1221.105 Establishment of the NASA Program Identifiers.
1221.106 Establishment of the NASA Flag.
1221.107 Establishment of the NASA Administrator's, Deputy 
          Administrator's, and Associate Deputy Administrator's Flags.
1221.108 Establishment of the NASA Unified Visual Communications System.
1221.109 Use of the NASA Seal.
1221.110 Use of the NASA Insignia.
1221.111 Use of the NASA Logotype.
1221.112 Use of the NASA Program Identifiers.
1221.113 Use of the NASA Flags.
1221.114 Approval of new or change proposals.
1221.115 Violations.
1221.116 Compliance and enforcement.

          Subpart 1221.2_The Congressional Space Medal of Honor

1221.200 Scope.
1221.201 Basis for award of the medal.
1221.202 Description of the medal.
1221.203 Nominations.
1221.204 Proceedings of the NASA Incentive Awards Board.

Appendix A to Part 1221--Congressional Space Medal of Honor



  Subpart 1221.1_NASA Seal, NASA Insignia, NASA Logotype, NASA Program 
Identifiers, NASA Flags, and the Agency's Unified Visual Communications 
                                 System

    Authority: 42 U.S.C. 2472(a) and 2473(c)(1).

    Source: 58 FR 58944, Nov. 5, 1993, unless otherwise noted.

[[Page 112]]



Sec.  1221.100  Scope.

    This subpart sets forth the policy governing the use of the NASA 
Seal, the NASA Insignia, NASA Logotype, NASA Program Identifiers, and 
the NASA Flags. This subpart also establishes and sets forth the concept 
and scope of the NASA Unified Visual Communications System and 
prescribes the policy and guidelines for implementation of the system.



Sec.  1221.101  Policy.

    (a) The NASA Seal, the NASA Insignia, NASA Logotype, NASA Program 
Identifiers, the NASA Flags, and the Agency's Unified Visual 
Communications System, as prescribed in Sec.  1221.102 through Sec.  
1221.108 of this subpart, shall be used exclusively to represent NASA, 
its programs, projects, functions, activities, or elements. The use of 
any devices other than those provided by or subsequently approved in 
accordance with the provisions of this subpart is prohibited.
    (b) The use of the devices prescribed in this section shall be 
governed by the provisions of this subpart. The use of the devices 
prescribed in this section for any purpose other than as authorized by 
this subpart is prohibited. Their misuse shall be subject to the 
penalties authorized by statute, as set forth in Sec.  1221.115 and 
shall be reported as provided in Sec.  1221.116.
    (c) Any proposal for a new NASA Insignia, NASA Logotype, NASA 
Program Identifier, or for modification to those prescribed in this 
section shall be processed in accordance with Sec.  1221.114.



Sec.  1221.102  Establishment of the NASA Seal.

    The NASA Seal was established by Executive Order 10849 (24 FR 9559), 
November 27, 1959, as amended by Executive Order 10942 (24 FR 4419), May 
22, 1961. The NASA Seal, established by the President, is the Seal of 
the Agency and symbolizes the achievements and goals of NASA and the 
United States in aeronautical and space activities. The NASA Seal shall 
be used as set forth in Sec.  1221.109.

[[Page 113]]

[GRAPHIC] [TIFF OMITTED] TC09SE91.009



Sec.  1221.103  Establishment of the NASA Insignia.

    The NASA Insignia was designed by the Army Institute of Heraldry and 
approved by the Commission of Fine Arts and the NASA Administrator. It 
symbolizes NASA's role in aeronautics and space and is established by 
the NASA Administrator as the signature and design element for visual 
communications formerly reserved for the NASA Logotype. The NASA 
Insignia shall be used as set forth in Sec.  1221.110, the NASA Graphics 
Standards Manual, NASA Insignia Standards Supplement, and any related 
NASA directive or specification approved by the NASA Administrator and 
published subsequent hereto.

[[Page 114]]

[GRAPHIC] [TIFF OMITTED] TC09SE91.010



Sec.  1221.104  Establishment of the NASA Logotype.

    The NASA Logotype was approved by the Commission of Fine Arts and 
the NASA Administrator. It symbolizes NASA's role in aeronautics and 
space from 1975 to 1992 and has been retired.

[[Page 115]]

The NASA Logotype shall be used as set forth in Sec.  1221.111.
[GRAPHIC] [TIFF OMITTED] TC09SE91.011



Sec.  1221.105  Establishment of NASA Program Identifiers.

    A separate and unique identifier may be designed and approved in 
connection with or in commemoration of a major NASA program. Each 
approved identifier shall be officially identified by its title such as 
``Apollo,'' ``Skylab,'' ``Viking,'' ``Space Shuttle,'' ``Space 
Station,'' or a major NASA anniversary. NASA Program Identifiers shall 
be used as set forth in Sec.  1221.112 pursuant to approval as set forth 
in Sec.  1221.114.



Sec.  1221.106  Establishment of the NASA Flag.

    The NASA Flags for interior and exterior use were created by the 
NASA Administrator in January 1960. Complete design, size, and color of 
the NASA interior and exterior flags for manufacturing purposes are 
detailed in U.S. Army QMG Drawing 5-1-269, revision September 14, 1960. 
The NASA Flags shall be used as set forth in Sec.  1221.113.

[[Page 116]]

[GRAPHIC] [TIFF OMITTED] TC09SE91.012



Sec.  1221.107  Establishment of the NASA Administrator's, Deputy
Administrator's, and Associate Deputy Administrator's Flags.

    (a) Concurrently with the establishment of the NASA Flag in January 
1960, the NASA Administrator also established NASA Flags to represent 
the NASA Administrator, Deputy Administrator, and Associate Deputy 
Administrator. Each of these flags conforms to the basic design of the 
NASA Flag except for the following:
    (1) The size of the flag is 3 feet x 4 feet;
    (2) The Administrator's Flag has four stars;

[[Page 117]]

    (3) The Deputy Administrator's Flag has three stars; and
    (4) The Associate Deputy Administrator's Flag has two stars.
    (b) Flags representing these senior officials shall be used as set 
forth in Sec.  1221.113.



Sec.  1221.108  Establishment of the NASA Unified Visual 
Communications System.

    (a) The NASA Administrator directed the establishment of a NASA 
Unified Visual Communications System. The system was developed under the 
Federal Design Improvement Program initiated by the President in May 
1972. This system is the Agencywide program by which NASA projects a 
contemporary, business-like, progressive, and forward-looking image 
through the use of effective design for improved communications. The 
system provides a professional and cohesive NASA identity by imparting 
continuity of graphics design in all layout, reproduction art, 
stationery, forms, publications, signs, films, video productions, 
vehicles, aircraft, and spacecraft markings and other items. It creates 
a unified image which is representative and symbolic of NASA's 
progressive attitudes and programs.
    (b) The Associate Administrator for Public Affairs is responsible 
for the development and implementation of the NASA Unified Visual 
Communications System. With the development of the NASA Unified Visual 
Communications System, the Office of Public Affairs at NASA Headquarters 
created the NASA Graphics Standards Manual and the NASA Insignia 
Standards Supplement which are the official guides for the use and 
application of the NASA Insignia and the NASA Unified Visual 
Communications System.
    (c) The Associate Administrator for Public Affairs, NASA 
Headquarters, has designated a NASA Graphics Coordinator to implement 
and monitor Agencywide design improvements in consonance with the NASA 
Graphics Standards Manual, the NASA Insignia Standards Supplement, and 
the NASA Unified Visual Communications System. The NASA Graphics 
Coordinator will develop and issue changes and additions to the manual 
as required and as new design standards and specifications are developed 
and approved. Copies of the NASA Graphics Standards Manual and the NASA 
Insignia Standards Supplement may be obtained directly from the NASA 
Graphics Coordinator, Office of Public Affairs, NASA Headquarters.
    (d) The Director of each Field Installation has designated an 
official to serve as Graphics Coordinator for his/her Installation. The 
Director, HQ Operations Division, has designated an official to serve as 
the Headquarters Graphics Coordinator. Any changes in these assignments 
shall be reported to the NASA Graphics Coordinator, NASA Headquarters, 
Code POS.
    (e) Graphics Coordinators are responsible for ensuring compliance 
with the NASA Graphics Standards Manual, the NASA Insignia Standards 
Supplement, and the NASA Unified Visual Communications System for their 
respective Installations.



Sec.  1221.109  Use of the NASA Seal.

    (a) The Associate Deputy Administrator shall be responsible for 
custody of the NASA Impression Seal and custody of NASA replica 
(plaques) seals. The NASA Seal is restricted to the following:
    (1) NASA award certificates and medals.
    (2) NASA awards for career service.
    (3) Security credentials and employee identification cards.
    (4) NASA Administrator's documents; the Seal may be used on 
documents such as interagency or intergovernmental agreements and 
special reports to the President and Congress, and on other documents, 
at the discretion of the NASA Administrator.
    (5) Plaques; the design of the NASA Seal may be incorporated in 
plaques for display in Agency auditoriums, presentation rooms, lobbies, 
offices of senior officials, and on the fronts of buildings occupied by 
NASA. A separate NASA seal in the form of a 15-inch, round, bronze-
colored plaque on a walnut-colored wood base is also available, but 
prohibited for use in the above representational manner. It is 
restricted to use only as a presentation item by the Administrator and 
the Deputy Administrator.

[[Page 118]]

    (6) The NASA Flag and the NASA Administrator's, Deputy 
Administrator's, and Associate Deputy Administrator's Flags, which 
incorporate the design of the Seal.
    (7) NASA prestige publications which represent the achievements or 
missions of NASA as a whole.
    (8) Publications (or documents) involving participation by another 
Government agency for which the other Government agency has authorized 
the use of its seal.
    (b) Use of the NASA Seal for any purpose other than as prescribed in 
this section is prohibited, except that the Associate Deputy 
Administrator may authorize, on a case-by-case basis, the use of the 
NASA Seal for purposes other than those prescribed when the Associate 
Deputy Administrator deems such use to be appropriate.



Sec.  1221.110  Use of the NASA Insignia.

    The NASA Insignia is authorized for use on the following:
    (a) NASA articles. (1) NASA letterhead stationary.
    (2) Films, videotapes, and sound recordings produced by or for NASA.
    (3) Wearing apparel and personal property items used by NASA 
employees in the performance of their duties.
    (4) Required uniforms of contractor employees when performing public 
affairs, guard or fire protection duties, and similar duties within NASA 
Installations or at other assigned NASA duty stations, and on any 
required contractor-owned vehicles used exclusively in the performance 
of these duties, when authorized by NASA contracting officers.
    (5) Spacecraft, aircraft, automobiles, trucks and similar vehicles 
owned by, leased to, or contractor-furnished to NASA, or produced for 
NASA by contractors, but excluding NASA-owned vehicles used and operated 
by contractors for the conduct of contractor business.
    (6) Equipment and facilities owned by, leased to, or contractor-
furnished to NASA, such as machinery, major tools, ground handling 
equipment, office and shop furnishings (if appropriate), and similar 
items of a permanent nature, including those produced for NASA by 
contractors.
    (7) NASA publications, including pamphlets, brochures, manuals, 
handbooks, house organs, bulletins, general reports, posters, signs, 
charts, exhibits, and items of similar nature for general use, as 
specified in the NASA Graphics Standards Manual and the NASA Insignia 
Standards Supplement.
    (8) Briefcases or dispatch cases issued by NASA.
    (9) Certificates covering authority to NASA and contractor security 
personnel to carry firearms.
    (10) NASA occupied buildings when the use of the NASA Insignia is 
more appropriate than use of the NASA Seal.
    (b) Personal articles--NASA employees. (1) Business calling cards of 
NASA employees may carry the imprint of the NASA Insignia.
    (2) Limited usage on automobiles. If determined appropriate by the 
cognizant Installation official, it is acceptable to place a NASA 
Insignia sticker on personal automobiles where such identification will 
facilitate entry or control of such vehicles at NASA Installations or 
parking areas.
    (3) Personal items used in connection with NASA employees' 
recreation association activities.
    (4) Items for sale through NASA employees' nonappropriated fund 
activities subject to paragraph (c) of this section.
    (5) NASA employees shall not use the NASA Insignia in any manner 
that would imply that NASA endorses a commercial product, service, or 
activity or that material of a nonofficial nature represents NASA's 
official position.
    (c) Miscellaneous articles. (1) The manufacture and commercial sale 
of the NASA Insignia as a separate and distinct device in the form of an 
emblem, patch, insignia, badge, decal, vinylcal, cloth, metal, or other 
material which would preclude NASA's control over its use or application 
is prohibited.
    (2) Use of the NASA Uniform Patches, which incorporate the NASA 
Insignia, is authorized only as prescribed in the NASA Graphics 
Standards Manual and the NASA Insignia Standards Supplement, for NASA 
personnel and NASA contractor personnel identification.

[[Page 119]]

    (3) No approval for use of the NASA Insignia will be authorized when 
its use can be construed as an endorsement by NASA of a product or 
service.
    (4) Items bearing the NASA Insignia such as souvenirs, novelties, 
toys, models, clothing, and similar items (including items for sale 
through the NASA employees' nonappropriated fund activities) may be 
manufactured and sold only after the NASA Insignia application has been 
submitted to, and approved by, the Associate Administrator for Public 
Affairs, or designee, NASA Headquarters, Washington, DC 20546.
    (d) Use of the NASA Insignia for any other purpose than as 
prescribed in this section is prohibited, except that the Associate 
Administrator for Public Affairs may authorize on a case-by-case basis 
the use of the NASA Insignia for other purposes when the Associate 
Administrator for the Public Affairs deems such use to be appropriate.



Sec.  1221.111  Use of the NASA Logotype.

    The NASA Logotype has been retired and is used only in an authentic 
historical context, and only with prior written approval of the NASA 
Administrator.



Sec.  1221.112  Use of the NASA Program Identifiers.

    (a) Official NASA Program Identifiers will be restricted to the uses 
set forth in this section and to such other uses as the Associate 
Administrator for Public Affairs may specifically approve.
    (b) Specific approval is given for the following uses:
    (1) Use of exact reproductions of a badge in the form of a patch 
made of cloth or other material, or a decal, or a gummed sticker on 
articles of wearing apparel and personal property items; and
    (2) Use of exact renderings of a badge on a coin, medal, plaque, or 
other commemorative souvenirs.
    (c) The manufacture and sale or free distribution of identifiers for 
the uses approved or that may be approved under paragraphs (a) and (b) 
of this section are authorized.
    (d) Portrayal of an exact reproduction of a badge in conjunction 
with the advertising of any product or service will be approved on a 
case-by-case basis by the Associate Administrator for Public Affairs.
    (e) The manufacture, sale, or use of any colorable imitation of the 
design of an official NASA Program Identifier will not be approved.



Sec.  1221.113  Use of the NASA Flags.

    (a) The NASA Flag is authorized for use only as follows:
    (1) On or in front of NASA buildings.
    (2) At NASA ceremonies.
    (3) At conferences (including display in NASA conference rooms).
    (4) At governmental or public appearances of NASA executives.
    (5) In private offices of senior officials.
    (6) As otherwise authorized by the NASA Administrator or designee.
    (7) The NASA Flag must be displayed with the United States Flag. 
When the United States Flag and the NASA Flag are displayed on a 
speaker's platform in an auditorium, the United States Flag must occupy 
the position of honor and be placed at the speaker's right as the 
speaker faces the audience, with the NASA Flag at the speaker's left.
    (b) The NASA Administrator's, Deputy Administrator's and Associate 
Deputy Administrator's Flags shall be displayed with the United States 
Flag in the respective offices of these officials but may be temporarily 
removed for use at the discretion of the officials concerned.



Sec.  1221.114  Approval of new or change proposals.

    (a) Except for NASA Astronaut Mission Crew Badges/Patches, any 
proposal to change or modify the emblematic devices set forth in this 
subpart or to introduce a new emblematic device other than as prescribed 
in this subpart requires the written approval of the NASA Administrator 
with prior approval and recommendation of the Director, Public Services 
Division.
    (b) In addition to the written approval of the NASA Administrator, 
any proposal for a new or for a modification to the design of the NASA 
Insignia may also be submitted to the Commission of Fine Arts for its 
advice as to the merit of the design. If approved in writing by the NASA 
Administrator

[[Page 120]]

and advice received from the Commission of Fine Arts, the NASA Insignia 
and the use of such NASA Insignia must be prescribed in this subpart and 
published in the Federal Register.
    (c) Proposals to establish, change, or modify NASA Astronaut Crew 
Mission Badges/Patches requires the written approval of the Director, 
Flight Crew Operations, Johnson Space Center; Center Director, Johnson 
Space Center; and the Associate Administrator for Space Flight. Decals/
patches/badges may be produced as soon as the approval cycle is 
completed.



Sec.  1221.115  Violations.

    (a) NASA Seal. Any person who uses the NASA Seal in a manner other 
than as authorized in this subpart shall be subject to the provisions of 
Title 18 U.S.C. 1017.
    (b) NASA Insignia, NASA Logotype, and NASA Program Identifiers. Any 
person who uses the NASA Insignia, NASA Logotype, or NASA Program 
Identifier in a manner other than as authorized in this subpart shall be 
subject to the provisions of title 18 U.S.C. 701.



Sec.  1221.116  Compliance and enforcement.

    In order to ensure adherence to the authorized uses of the NASA 
Seal, the NASA Insignia, the NASA Logotype, NASA Program Identifiers, 
and the NASA Flags as provided, in this subpart, a report of each 
suspected violation of this subpart (including the use of unauthorized 
NASA Insignias) or of questionable usages of the NASA Seal, the NASA 
Insignia, the NASA Logotype, NASA Program Identifiers, or the NASA 
Flags, shall be submitted to the Inspector General, NASA Headquarters, 
in accordance with NASA Management Instruction 9810.1, ``The NASA 
Investigations Program.''



          Subpart 1221.2_The Congressional Space Medal of Honor

    Authority: Pub. L. 91-76, September 29, 1969.

    Source: 43 FR 15624, Apr. 14, 1978, unless otherwise noted.



Sec.  1221.200  Scope.

    This subpart establishes procedures for nominating an astronaut for 
the Congressional Space Medal of Honor.



Sec.  1221.201  Basis for award of the medal.

    (a) The standard of award for the Congressional Space Medal of Honor 
is established by Pub. L. 91-76 (42 U.S.C. 2461) which provides that the 
President may award the Medal to any ``astronaut who in the performance 
of his duties has distinguished himself by exceptionally meritorious 
efforts and contributions to the welfare of the Nation and of mankind.''
    (b) Only one Congressional Space Medal of Honor may be awarded to a 
person. However, for each succeeding act that would otherwise justify 
the award of the Medal, the President may award a suitable bar or other 
device.
    (c) The Medal may be awarded to any person who is or has been 
designated to travel in space and who has distinguished himself or 
herself while undertaking duties in preparation for, execution of, or 
subsequent to, but in connection with, a space flight.
    (d) The Medal may be awarded for actions occurring before the 
effective date of this subpart 1221.2, and, when appropriate, 
posthumously.



Sec.  1221.202  Description of the medal.

    The description of the Congressional Space Medal of Honor, which was 
designed by the Institute of Heraldry, U.S. Army, is set forth in 
appendix A to this subpart. Each person awarded the Medal also shall 
receive a citation describing the basis for the award.



Sec.  1221.203  Nominations.

    (a) Formal nominations for award of the Congressional Space Medal of 
Honor on behalf of NASA will be made by the Administrator to the 
President.
    (b) Any person may recommend to the Administrator that an astronaut 
be nominated for award of the Medal. Such a recommendation must be in 
writing, and must describe in concise detail the events believed to 
warrant award of the Medal. The recommendation should, if appropriate, 
be accompanied by supporting documentation,

[[Page 121]]

such as eyewitness statements, extracts from official records, sketches, 
photographs, etc.
    (c) All recommendations for nominations submitted to the 
Administrator or made on his own initiative will be referred to the NASA 
Incentive Awards Board for the purpose of investigating and making 
findings of fact and giving advice to the Administrator.
    (d) Any recommendation involving an astronaut who is a member of the 
armed services on active duty or who is employed by another agency of 
the Federal Government but temporarily assigned or detailed to NASA 
shall also be transmitted to the Secretary of Defense or the head of the 
employing agency, as appropriate, for his or her recommendation.
    (e) The Administrator will forward to the President his 
recommendation, and that of the astronaut's employing agency, as 
appropriate.



Sec.  1221.204  Proceedings of the NASA Incentive Awards Board.

    The NASA Incentive Awards Board shall thoroughly consider the facts 
giving rise to a recommendation for nomination and shall prepare a 
report for the Administrator. The Board should, to the extent 
practicable, coordinate its efforts with those of the astronaut's 
employing agency, as appropriate. Its final report must take into 
account any pertinent information submitted by the employing agency.





    Sec. Appendix A to Part 1221--Congressional Space Medal of Honor

                                 Obverse

                               description

    A circular green enamel wreath of laurel surmounted by a five-
pointed gold star (with vertical point downward) and issuing from 
between each point a gold flame, the star surmounted by a light blue 
enamel cloud bank with five lobes edged in gold bearing a five-pointed 
dark blue enamel star fimbriated gold and charged in center with a 
diamond; standing upon the wreath at top center a gold eagle with wings 
displayed.

                                symbolism

    The laurel wreath, a symbol of great achievement, with the 
overlapping star points, simulates space vehicles moving to greater 
accomplishments through space. The flames signify the dynamic energy of 
the rocket era and the imagination of the men in the space program of 
the United States. The stylized glory cloud alludes to the glory in the 
coat of arms of the United States and to the high esteem of the award. 
The dark blue voided star symbolizes the vast mysteries of outer space 
while the brilliancy of the feat is represented by a diamond. The eagle 
with wings raised in the spirit of peace represents man's first landing 
on another planet.

                                 Reverse

                               description

    The reverse bears in center the inscription ``CONGRESSIONAL'' 
arranged in a semicircle above the inscription ``SPACE MEDAL PRESENTED 
TO''; in base is space for the name of the recipient and the date all 
within an outer circle of fifty stars.

                            Suspension Ribbon

                               description

    A ribbon 1\3/8\ inches in width consisting of the following vertical 
stripes: gold \1/16\ inch, dark blue \1/4\ inch, light blue \9/32\ inch, 
white \1/16\ inch, red \1/16\ inch, white \1/16\ inch, light blue \9/32\ 
inch, dark blue \1/4\ inch, gold \1/16\ inch.

                          cable nos. of colors
Gold......................................  65021 (old gold).
Dark Blue.................................  70076 (independence blue).
Blue......................................  65014 (light blue).
Red.......................................  65006 (scarlet).
White.....................................  65005.
 

                                symbolism

    The scarlet center line on the white band symbolizes the courage of 
the astronauts in the nation's manned space program and the fire power 
of rockets that carry the crew through the earth's atmosphere (light 
blue); the light blue is the same color as the chief of the shield of 
the coat of arms of the United States which appears on the President's 
flag. The dark blue symbolizes the hostile environment of space, the 
gold edge representing success and accomplishment. Red, white and blue 
are also the national colors of the United States.

                                Miniature

                               description

    A one-half size replica of the medal and suspension ribbon 
approximately 2\5/16\ inches in overall length.

[[Page 122]]

                              Lapel Emblem

                               description

    A miniature of the obverse of the medal, \9/16\ inch in diameter, 
all gold with a diamond in center.

                                 Rosette

                               description

    One-half inch in diameter in the colors of the ribbon.



PART 1230_PROTECTION OF HUMAN SUBJECTS--Table of Contents



Sec.
1230.101 To what does this policy apply?
1230.102 Definitions for purposes of this policy.
1230.103 Assuring compliance with this policy--research conducted or 
          supported by any Federal department or agency.
1230.104 Exempt research.
1230.105 [Reserved]
1230.106 [Reserved]
1230.107 IRB membership.
1230.108 IRB functions and operations.
1230.109 IRB review of research.
1230.110 Expedited review procedures for certain kinds of research 
          involving no more than minimal risk, and for minor changes in 
          approved research.
1230.111 Criteria for IRB approval of research.
1230.112 Review by institution.
1230.113 Suspension or termination of IRB approval of research.
1230.114 Cooperative research.
1230.115 IRB records.
1230.116 General requirements for informed consent.
1230.117 Documentation of informed consent.
1230.118 Applications and proposals lacking definite plans for 
          involvement of human subjects.
1230.119 Research undertaken without the intention of involving human 
          subjects.
1230.120 Evaluation and disposition of applications and proposals for 
          research to be conducted or supported by a Federal department 
          or agency.
1230.121 [Reserved]
1230.122 Use of Federal funds.
1230.123 Early termination of research support: Evaluation of 
          applications and proposals.
1230.124 Conditions.

    Authority: 5 U.S.C. 301;42 U.S.C. 300v-1(b).

    Source: 82 FR 7270, Jan. 19, 2017, unless otherwise noted.



Sec.  1230.101  To what does this policy apply?

    (a) Except as detailed in Sec.  1230.104, this policy applies to all 
research involving human subjects conducted, supported, or otherwise 
subject to regulation by any Federal department or agency that takes 
appropriate administrative action to make the policy applicable to such 
research. This includes research conducted by Federal civilian employees 
or military personnel, except that each department or agency head may 
adopt such procedural modifications as may be appropriate from an 
administrative standpoint. It also includes research conducted, 
supported, or otherwise subject to regulation by the Federal Government 
outside the United States. Institutions that are engaged in research 
described in this paragraph and institutional review boards (IRBs) 
reviewing research that is subject to this policy must comply with this 
policy.
    (b) [Reserved]
    (c) Department or agency heads retain final judgment as to whether a 
particular activity is covered by this policy and this judgment shall be 
exercised consistent with the ethical principles of the Belmont 
Report.\62\
---------------------------------------------------------------------------

    \62\ The National Commission for the Protection of Human Subjects of 
Biomedical and Behavioral Research.- Belmont Report. Washington, DC: 
U.S. Department of Health and Human Services. 1979.
---------------------------------------------------------------------------

    (d) Department or agency heads may require that specific research 
activities or classes of research activities conducted, supported, or 
otherwise subject to regulation by the Federal department or agency but 
not otherwise covered by this policy comply with some or all of the 
requirements of this policy.
    (e) Compliance with this policy requires compliance with pertinent 
federal laws or regulations that provide additional protections for 
human subjects.
    (f) This policy does not affect any state or local laws or 
regulations (including tribal law passed by the official governing body 
of an American Indian or Alaska Native tribe) that may otherwise be 
applicable and that provide

[[Page 123]]

additional protections for human subjects.
    (g) This policy does not affect any foreign laws or regulations that 
may otherwise be applicable and that provide additional protections to 
human subjects of research.
    (h) When research covered by this policy takes place in foreign 
countries, procedures normally followed in the foreign countries to 
protect human subjects may differ from those set forth in this policy. 
In these circumstances, if a department or agency head determines that 
the procedures prescribed by the institution afford protections that are 
at least equivalent to those provided in this policy, the department or 
agency head may approve the substitution of the foreign procedures in 
lieu of the procedural requirements provided in this policy. Except when 
otherwise required by statute, Executive Order, or the department or 
agency head, notices of these actions as they occur will be published in 
the Federal Register or will be otherwise published as provided in 
department or agency procedures.
    (i) Unless otherwise required by law, department or agency heads may 
waive the applicability of some or all of the provisions of this policy 
to specific research activities or classes of research activities 
otherwise covered by this policy, provided the alternative procedures to 
be followed are consistent with the principles of the Belmont 
Report.\63\ Except when otherwise required by statute or Executive 
Order, the department or agency head shall forward advance notices of 
these actions to the Office for Human Research Protections, Department 
of Health and Human Services (HHS), or any successor office, or to the 
equivalent office within the appropriate Federal department or agency, 
and shall also publish them in the Federal Register or in such other 
manner as provided in department or agency procedures. The waiver notice 
must include a statement that identifies the conditions under which the 
waiver will be applied and a justification as to why the waiver is 
appropriate for the research, including how the decision is consistent 
with the principles of the Belmont Report.
---------------------------------------------------------------------------

    \63\ Id.
---------------------------------------------------------------------------

    (j) Federal guidance on the requirements of this policy shall be 
issued only after consultation, for the purpose of harmonization (to the 
extent appropriate), with other Federal departments and agencies that 
have adopted this policy, unless such consultation is not feasible.
    (k) [Reserved]
    (l) Compliance dates and transition provisions:
    (1) Pre-2018 Requirements. For purposes of this section, the pre-
2018 Requirements means this subpart as published in the 2016 edition of 
the Code of Federal Regulations.
    (2) 2018 Requirements. For purposes of this section, the 2018 
Requirements means the Federal Policy for the Protection of Human 
Subjects requirements contained in this part. The general compliance 
date for the 2018 Requirements is January 21, 2019. The compliance date 
for Sec.  1230.114(b) (cooperative research) of the 2018 Requirements is 
January 20, 2020.
    (3) Research subject to pre-2018 requirements. The pre-2018 
Requirements shall apply to the following research, unless the research 
is transitioning to comply with the 2018 Requirements in accordance with 
paragraph (l)(4) of this section:
    (i) Research initially approved by an IRB under the pre-2018 
Requirements before January 21, 2019;
    (ii) Research for which IRB review was waived pursuant to Sec.  
1230.101(i) of the pre-2018 Requirements before January 21, 2019; and
    (iii) Research for which a determination was made that the research 
was exempt under Sec.  1230.101(b) of the pre-2018 Requirements before 
January 21, 2019.
    (4) Transitioning research. If, on or after July 19, 2018, an 
institution planning or engaged in research otherwise covered by 
paragraph (l)(3) of this section determines that such research instead 
will transition to comply with the 2018 Requirements, the institution or 
an IRB must document and date such determination.
    (i) If the determination to transition is documented between July 
19, 2018,

[[Page 124]]

and January 20, 2019, the research shall:
    (A) Beginning on the date of such documentation through January 20, 
2019, comply with the pre-2018 Requirements, except that the research 
shall comply with the following:
    (1) Section 1230.102(l) of the 2018 Requirements (definition of 
research) (instead of Sec.  1230.102(d) of the pre-2018 Requirements);
    (2) Section 1230.103(d) of the 2018 Requirements (revised 
certification requirement that eliminates IRB review of application or 
proposal) (instead of Sec.  1230.103(f) of the pre-2018 Requirements); 
and
    (3) Section 1230.109(f)(1)(i) and (iii) of the 2018 Requirements 
(exceptions to mandated continuing review) (instead of Sec.  
1230.103(b), as related to the requirement for continuing review, and in 
addition to Sec.  1230.109, of the pre-2018 Requirements); and
    (B) Beginning on January 21, 2019, comply with the 2018 
Requirements.
    (ii) If the determination to transition is documented on or after 
January 21, 2019, the research shall, beginning on the date of such 
documentation, comply with the 2018 Requirements.
    (5) Research subject to 2018 Requirements. The 2018 Requirements 
shall apply to the following research:
    (i) Research initially approved by an IRB on or after January 21, 
2019;
    (ii) Research for which IRB review is waived pursuant to paragraph 
(i) of this section on or after January 21, 2019; and
    (iii) Research for which a determination is made that the research 
is exempt on or after January 21, 2019.
    (m) Severability: Any provision of this part held to be invalid or 
unenforceable by its terms, or as applied to any person or circumstance, 
shall be construed so as to continue to give maximum effect to the 
provision permitted by law, unless such holding shall be one of utter 
invalidity or unenforceability, in which event the provision shall be 
severable from this part and shall not affect the remainder thereof or 
the application of the provision to other persons not similarly situated 
or to other dissimilar circumstances.

[82 FR 7270, Jan. 19, 2017, as amended at 83 FR 2891, Jan. 22, 2018; 83 
FR 28511, June 19, 2018]



Sec.  1230.102  Definitions for purposes of this policy.

    (a) Certification means the official notification by the institution 
to the supporting Federal department or agency component, in accordance 
with the requirements of this policy, that a research project or 
activity involving human subjects has been reviewed and approved by an 
IRB in accordance with an approved assurance.
    (b) Clinical trial means a research study in which one or more human 
subjects are prospectively assigned to one or more interventions (which 
may include placebo or other control) to evaluate the effects of the 
interventions on biomedical or behavioral health-related outcomes.
    (c) Department or agency head means the head of any Federal 
department or agency, for example, the Secretary of HHS, and any other 
officer or employee of any Federal department or agency to whom the 
authority provided by these regulations to the department or agency head 
has been delegated.
    (d) Federal department or agency refers to a federal department or 
agency (the department or agency itself rather than its bureaus, offices 
or divisions) that takes appropriate administrative action to make this 
policy applicable to the research involving human subjects it conducts, 
supports, or otherwise regulates (e.g., the U.S. Department of Health 
and Human Services, the U.S. Department of Defense, or the Central 
Intelligence Agency).
    (e)(1) Human subject means a living individual about whom an 
investigator (whether professional or student) conducting research:
    (i) Obtains information or biospecimens through intervention or 
interaction with the individual, and uses, studies, or analyzes the 
information or biospecimens; or (ii) Obtains, uses, studies, analyzes, 
or generates identifiable private information or identifiable 
biospecimens.
    (2) Intervention includes both physical procedures by which 
information or

[[Page 125]]

biospecimens are gathered (e.g., venipuncture) and manipulations of the 
subject or the subject's environment that are performed for research 
purposes.
    (3) Interaction includes communication or interpersonal contact 
between investigator and subject.
    (4) Private information includes information about behavior that 
occurs in a context in which an individual can reasonably expect that no 
observation or recording is taking place, and information that has been 
provided for specific purposes by an individual and that the individual 
can reasonably expect will not be made public (e.g., a medical record).
    (5) Identifiable private information is private information for 
which the identity of the subject is or may readily be ascertained by 
the investigator or associated with the information.
    (6) An identifiable biospecimen is a biospecimen for which the 
identity of the subject is or may readily be ascertained by the 
investigator or associated with the biospecimen.
    (7) Federal departments or agencies implementing this policy shall:
    (i) Upon consultation with appropriate experts (including experts in 
data matching and re-identification), reexamine the meaning of 
``identifiable private information,'' as defined in paragraph (e)(5) of 
this section, and ``identifiable biospecimen,'' as defined in paragraph 
(e)(6) of this section. This reexamination shall take place within 1 
year and regularly thereafter (at least every 4 years). This process 
will be conducted by collaboration among the Federal departments and 
agencies implementing this policy. If appropriate and permitted by law, 
such Federal departments and agencies may alter the interpretation of 
these terms, including through the use of guidance.
    (ii) Upon consultation with appropriate experts, assess whether 
there are analytic technologies or techniques that should be considered 
by investigators to generate ``identifiable private information,'' as 
defined in paragraph (e)(5) of this section, or an ``identifiable 
biospecimen,'' as defined in paragraph (e)(6) of this section. This 
assessment shall take place within 1 year and regularly thereafter (at 
least every 4 years). This process will be conducted by collaboration 
among the Federal departments and agencies implementing this policy. Any 
such technologies or techniques will be included on a list of 
technologies or techniques that produce identifiable private information 
or identifiable biospecimens. This list will be published in the Federal 
Register after notice and an opportunity for public comment. The 
Secretary, HHS, shall maintain the list on a publicly accessible Web 
site.
    (f) Institution means any public or private entity, or department or 
agency (including federal, state, and other agencies).
    (g) IRB means an institutional review board established in accord 
with and for the purposes expressed in this policy.
    (h) IRB approval means the determination of the IRB that the 
research has been reviewed and may be conducted at an institution within 
the constraints set forth by the IRB and by other institutional and 
federal requirements.
    (i) Legally authorized representative means an individual or 
judicial or other body authorized under applicable law to consent on 
behalf of a prospective subject to the subject's participation in the 
procedure(s) involved in the research. If there is no applicable law 
addressing this issue, legally authorized representative means an 
individual recognized by institutional policy as acceptable for 
providing consent in the nonresearch context on behalf of the 
prospective subject to the subject's participation in the procedure(s) 
involved in the research.
    (j) Minimal risk means that the probability and magnitude of harm or 
discomfort anticipated in the research are not greater in and of 
themselves than those ordinarily encountered in daily life or during the 
performance of routine physical or psychological examinations or tests.
    (k) Public health authority means an agency or authority of the 
United States, a state, a territory, a political subdivision of a state 
or territory, an Indian tribe, or a foreign government, or a person or 
entity acting under a grant of authority from or contract with such 
public agency, including the

[[Page 126]]

employees or agents of such public agency or its contractors or persons 
or entities to whom it has granted authority, that is responsible for 
public health matters as part of its official mandate.
    (l) Research means a systematic investigation, including research 
development, testing, and evaluation, designed to develop or contribute 
to generalizable knowledge. Activities that meet this definition 
constitute research for purposes of this policy, whether or not they are 
conducted or supported under a program that is considered research for 
other purposes. For example, some demonstration and service programs may 
include research activities. For purposes of this part, the following 
activities are deemed not to be research:
    (1) Scholarly and journalistic activities (e.g., oral history, 
journalism, biography, literary criticism, legal research, and 
historical scholarship), including the collection and use of 
information, that focus directly on the specific individuals about whom 
the information is collected.
    (2) Public health surveillance activities, including the collection 
and testing of information or biospecimens, conducted, supported, 
requested, ordered, required, or authorized by a public health 
authority. Such activities are limited to those necessary to allow a 
public health authority to identify, monitor, assess, or investigate 
potential public health signals, onsets of disease outbreaks, or 
conditions of public health importance (including trends, signals, risk 
factors, patterns in diseases, or increases in injuries from using 
consumer products). Such activities include those associated with 
providing timely situational awareness and priority setting during the 
course of an event or crisis that threatens public health (including 
natural or man-made disasters).
    (3) Collection and analysis of information, biospecimens, or records 
by or for a criminal justice agency for activities authorized by law or 
court order solely for criminal justice or criminal investigative 
purposes.
    (4) Authorized operational activities (as determined by each agency) 
in support of intelligence, homeland security, defense, or other 
national security missions.
    (m) Written, or in writing, for purposes of this part, refers to 
writing on a tangible medium (e.g., paper) or in an electronic format.



Sec.  1230.103  Assuring compliance with this policy--research
conducted or supported by any Federal department or agency.

    (a) Each institution engaged in research that is covered by this 
policy, with the exception of research eligible for exemption under 
Sec.  1230.104, and that is conducted or supported by a Federal 
department or agency, shall provide written assurance satisfactory to 
the department or agency head that it will comply with the requirements 
of this policy. In lieu of requiring submission of an assurance, 
individual department or agency heads shall accept the existence of a 
current assurance, appropriate for the research in question, on file 
with the Office for Human Research Protections, HHS, or any successor 
office, and approved for Federal-wide use by that office. When the 
existence of an HHS-approved assurance is accepted in lieu of requiring 
submission of an assurance, reports (except certification) required by 
this policy to be made to department and agency heads shall also be made 
to the Office for Human Research Protections, HHS, or any successor 
office. Federal departments and agencies will conduct or support 
research covered by this policy only if the institution has provided an 
assurance that it will comply with the requirements of this policy, as 
provided in this section, and only if the institution has certified to 
the department or agency head that the research has been reviewed and 
approved by an IRB (if such certification is required by Sec.  
1230.103(d)).
    (b) The assurance shall be executed by an individual authorized to 
act for the institution and to assume on behalf of the institution the 
obligations imposed by this policy and shall be filed in such form and 
manner as the department or agency head prescribes.
    (c) The department or agency head may limit the period during which 
any assurance shall remain effective or

[[Page 127]]

otherwise condition or restrict the assurance.
    (d) Certification is required when the research is supported by a 
Federal department or agency and not otherwise waived under Sec.  
1230.101(i) or exempted under Sec.  1230.104. For such research, 
institutions shall certify that each proposed research study covered by 
the assurance and this section has been reviewed and approved by the 
IRB. Such certification must be submitted as prescribed by the Federal 
department or agency component supporting the research. Under no 
condition shall research covered by this section be initiated prior to 
receipt of the certification that the research has been reviewed and 
approved by the IRB.
    (e) For nonexempt research involving human subjects covered by this 
policy (or exempt research for which limited IRB review takes place 
pursuant to Sec.  1230.104(d)(2)(iii), (d)(3)(i)(C), or (d)(7) or (8)) 
that takes place at an institution in which IRB oversight is conducted 
by an IRB that is not operated by the institution, the institution and 
the organization operating the IRB shall document the institution's 
reliance on the IRB for oversight of the research and the 
responsibilities that each entity will undertake to ensure compliance 
with the requirements of this policy (e.g., in a written agreement 
between the institution and the IRB, by implementation of an 
institution-wide policy directive providing the allocation of 
responsibilities between the institution and an IRB that is not 
affiliated with the institution, or as set forth in a research 
protocol).

(Approved by the Office of Management and Budget under Control Number 
0990-0260)



Sec.  1230.104  Exempt research.

    (a) Unless otherwise required by law or by department or agency 
heads, research activities in which the only involvement of human 
subjects will be in one or more of the categories in paragraph (d) of 
this section are exempt from the requirements of this policy, except 
that such activities must comply with the requirements of this section 
and as specified in each category.
    (b) Use of the exemption categories for research subject to the 
requirements of subparts B, C, and D: Application of the exemption 
categories to research subject to the requirements of 45 CFR part 46, 
subparts B, C, and D, is as follows:
    (1) Subpart B. Each of the exemptions at this section may be applied 
to research subject to subpart B if the conditions of the exemption are 
met.
    (2) Subpart C. The exemptions at this section do not apply to 
research subject to subpart C, except for research aimed at involving a 
broader subject population that only incidentally includes prisoners.
    (3) Subpart D. The exemptions at paragraphs (d)(1), (4), (5), (6), 
(7), and (8) of this section may be applied to research subject to 
subpart D if the conditions of the exemption are met. Paragraphs 
(d)(2)(i) and (ii) of this section only may apply to research subject to 
subpart D involving educational tests or the observation of public 
behavior when the investigator(s) do not participate in the activities 
being observed. Paragraph (d)(2)(iii) of this section may not be applied 
to research subject to subpart D.
    (c) [Reserved]
    (d) Except as described in paragraph (a) of this section, the 
following categories of human subjects research are exempt from this 
policy:
    (1) Research, conducted in established or commonly accepted 
educational settings, that specifically involves normal educational 
practices that are not likely to adversely impact students' opportunity 
to learn required educational content or the assessment of educators who 
provide instruction. This includes most research on regular and special 
education instructional strategies, and research on the effectiveness of 
or the comparison among instructional techniques, curricula, or 
classroom management methods.
    (2) Research that only includes interactions involving educational 
tests (cognitive, diagnostic, aptitude, achievement), survey procedures, 
interview procedures, or observation of public behavior (including 
visual or auditory recording) if at least one of the following criteria 
is met:
    (i) The information obtained is recorded by the investigator in such 
a manner that the identity of the human subjects cannot readily be 
ascertained,

[[Page 128]]

directly or through identifiers linked to the subjects;
    (ii) Any disclosure of the human subjects' responses outside the 
research would not reasonably place the subjects at risk of criminal or 
civil liability or be damaging to the subjects' financial standing, 
employability, educational advancement, or reputation; or
    (iii) The information obtained is recorded by the investigator in 
such a manner that the identity of the human subjects can readily be 
ascertained, directly or through identifiers linked to the subjects, and 
an IRB conducts a limited IRB review to make the determination required 
by Sec.  1230.111(a)(7).
    (3)(i) Research involving benign behavioral interventions in 
conjunction with the collection of information from an adult subject 
through verbal or written responses (including data entry) or 
audiovisual recording if the subject prospectively agrees to the 
intervention and information collection and at least one of the 
following criteria is met:
    (A) The information obtained is recorded by the investigator in such 
a manner that the identity of the human subjects cannot readily be 
ascertained, directly or through identifiers linked to the subjects;
    (B) Any disclosure of the human subjects' responses outside the 
research would not reasonably place the subjects at risk of criminal or 
civil liability or be damaging to the subjects' financial standing, 
employability, educational advancement, or reputation; or
    (C) The information obtained is recorded by the investigator in such 
a manner that the identity of the human subjects can readily be 
ascertained, directly or through identifiers linked to the subjects, and 
an IRB conducts a limited IRB review to make the determination required 
by Sec.  1230.111(a)(7).
    (ii) For the purpose of this provision, benign behavioral 
interventions are brief in duration, harmless, painless, not physically 
invasive, not likely to have a significant adverse lasting impact on the 
subjects, and the investigator has no reason to think the subjects will 
find the interventions offensive or embarrassing. Provided all such 
criteria are met, examples of such benign behavioral interventions would 
include having the subjects play an online game, having them solve 
puzzles under various noise conditions, or having them decide how to 
allocate a nominal amount of received cash between themselves and 
someone else.
    (iii) If the research involves deceiving the subjects regarding the 
nature or purposes of the research, this exemption is not applicable 
unless the subject authorizes the deception through a prospective 
agreement to participate in research in circumstances in which the 
subject is informed that he or she will be unaware of or misled 
regarding the nature or purposes of the research.
    (4) Secondary research for which consent is not required: Secondary 
research uses of identifiable private information or identifiable 
biospecimens, if at least one of the following criteria is met:
    (i) The identifiable private information or identifiable 
biospecimens are publicly available;
    (ii) Information, which may include information about biospecimens, 
is recorded by the investigator in such a manner that the identity of 
the human subjects cannot readily be ascertained directly or through 
identifiers linked to the subjects, the investigator does not contact 
the subjects, and the investigator will not re-identify subjects;
    (iii) The research involves only information collection and analysis 
involving the investigator's use of identifiable health information when 
that use is regulated under 45 CFR parts 160 and 164, subparts A and E, 
for the purposes of ``health care operations'' or ``research'' as those 
terms are defined at 45 CFR 164.501 or for ``public health activities 
and purposes'' as described under 45 CFR 164.512(b); or
    (iv) The research is conducted by, or on behalf of, a Federal 
department or agency using government-generated or government-collected 
information obtained for nonresearch activities, if the research 
generates identifiable private information that is or will be maintained 
on information technology that is subject to and in compliance with 
section 208(b) of the E-Government Act of 2002, 44 U.S.C. 3501 note, if 
all of the

[[Page 129]]

identifiable private information collected, used, or generated as part 
of the activity will be maintained in systems of records subject to the 
Privacy Act of 1974, 5 U.S.C. 552a, and, if applicable, the information 
used in the research was collected subject to the Paperwork Reduction 
Act of 1995, 44 U.S.C. 3501 et seq.
    (5) Research and demonstration projects that are conducted or 
supported by a Federal department or agency, or otherwise subject to the 
approval of department or agency heads (or the approval of the heads of 
bureaus or other subordinate agencies that have been delegated authority 
to conduct the research and demonstration projects), and that are 
designed to study, evaluate, improve, or otherwise examine public 
benefit or service programs, including procedures for obtaining benefits 
or services under those programs, possible changes in or alternatives to 
those programs or procedures, or possible changes in methods or levels 
of payment for benefits or services under those programs. Such projects 
include, but are not limited to, internal studies by Federal employees, 
and studies under contracts or consulting arrangements, cooperative 
agreements, or grants. Exempt projects also include waivers of otherwise 
mandatory requirements using authorities such as sections 1115 and 1115A 
of the Social Security Act, as amended.
    (i) Each Federal department or agency conducting or supporting the 
research and demonstration projects must establish, on a publicly 
accessible Federal Web site or in such other manner as the department or 
agency head may determine, a list of the research and demonstration 
projects that the Federal department or agency conducts or supports 
under this provision. The research or demonstration project must be 
published on this list prior to commencing the research involving human 
subjects.
    (ii) [Reserved]
    (6) Taste and food quality evaluation and consumer acceptance 
studies:
    (i) If wholesome foods without additives are consumed, or
    (ii) If a food is consumed that contains a food ingredient at or 
below the level and for a use found to be safe, or agricultural chemical 
or environmental contaminant at or below the level found to be safe, by 
the Food and Drug Administration or approved by the Environmental 
Protection Agency or the Food Safety and Inspection Service of the U.S. 
Department of Agriculture.
    (7) Storage or maintenance for secondary research for which broad 
consent is required: Storage or maintenance of identifiable private 
information or identifiable biospecimens for potential secondary 
research use if an IRB conducts a limited IRB review and makes the 
determinations required by Sec.  1230.111(a)(8).
    (8) Secondary research for which broad consent is required: Research 
involving the use of identifiable private information or identifiable 
biospecimens for secondary research use, if the following criteria are 
met:
    (i) Broad consent for the storage, maintenance, and secondary 
research use of the identifiable private information or identifiable 
biospecimens was obtained in accordance with Sec.  1230.116(a)(1) 
through (4), (a)(6), and (d);
    (ii) Documentation of informed consent or waiver of documentation of 
consent was obtained in accordance with Sec.  1230.117;
    (iii) An IRB conducts a limited IRB review and makes the 
determination required by Sec.  1230.111(a)(7) and makes the 
determination that the research to be conducted is within the scope of 
the broad consent referenced in paragraph (d)(8)(i) of this section; and 
(iv) The investigator does not include returning individual research 
results to subjects as part of the study plan. This provision does not 
prevent an investigator from abiding by any legal requirements to return 
individual research results.

(Approved by the Office of Management and Budget under Control Number 
0990-0260)



Sec. Sec.  1230.105-1230.106  [Reserved]



Sec.  1230.107  IRB membership.

    (a) Each IRB shall have at least five members, with varying 
backgrounds to promote complete and adequate review of research 
activities commonly conducted by the institution. The IRB shall be 
sufficiently qualified through

[[Page 130]]

the experience and expertise of its members (professional competence), 
and the diversity of its members, including race, gender, and cultural 
backgrounds and sensitivity to such issues as community attitudes, to 
promote respect for its advice and counsel in safeguarding the rights 
and welfare of human subjects. The IRB shall be able to ascertain the 
acceptability of proposed research in terms of institutional commitments 
(including policies and resources) and regulations, applicable law, and 
standards of professional conduct and practice. The IRB shall therefore 
include persons knowledgeable in these areas. If an IRB regularly 
reviews research that involves a category of subjects that is vulnerable 
to coercion or undue influence, such as children, prisoners, individuals 
with impaired decision-making capacity, or economically or educationally 
disadvantaged persons, consideration shall be given to the inclusion of 
one or more individuals who are knowledgeable about and experienced in 
working with these categories of subjects.
    (b) Each IRB shall include at least one member whose primary 
concerns are in scientific areas and at least one member whose primary 
concerns are in nonscientific areas.
    (c) Each IRB shall include at least one member who is not otherwise 
affiliated with the institution and who is not part of the immediate 
family of a person who is affiliated with the institution.
    (d) No IRB may have a member participate in the IRB's initial or 
continuing review of any project in which the member has a conflicting 
interest, except to provide information requested by the IRB.
    (e) An IRB may, in its discretion, invite individuals with 
competence in special areas to assist in the review of issues that 
require expertise beyond or in addition to that available on the IRB. 
These individuals may not vote with the IRB.



Sec.  1230.108  IRB functions and operations.

    (a) In order to fulfill the requirements of this policy each IRB 
shall:
    (1) Have access to meeting space and sufficient staff to support the 
IRB's review and recordkeeping duties;
    (2) Prepare and maintain a current list of the IRB members 
identified by name; earned degrees; representative capacity; indications 
of experience such as board certifications or licenses sufficient to 
describe each member's chief anticipated contributions to IRB 
deliberations; and any employment or other relationship between each 
member and the institution, for example, full-time employee, part-time 
employee, member of governing panel or board, stockholder, paid or 
unpaid consultant;
    (3) Establish and follow written procedures for:
    (i) Conducting its initial and continuing review of research and for 
reporting its findings and actions to the investigator and the 
institution;
    (ii) Determining which projects require review more often than 
annually and which projects need verification from sources other than 
the investigators that no material changes have occurred since previous 
IRB review; and
    (iii) Ensuring prompt reporting to the IRB of proposed changes in a 
research activity, and for ensuring that investigators will conduct the 
research activity in accordance with the terms of the IRB approval until 
any proposed changes have been reviewed and approved by the IRB, except 
when necessary to eliminate apparent immediate hazards to the subject.
    (4) Establish and follow written procedures for ensuring prompt 
reporting to the IRB; appropriate institutional officials; the 
department or agency head; and the Office for Human Research 
Protections, HHS, or any successor office, or the equivalent office 
within the appropriate Federal department or agency of
    (i) Any unanticipated problems involving risks to subjects or others 
or any serious or continuing noncompliance with this policy or the 
requirements or determinations of the IRB; and
    (ii) Any suspension or termination of IRB approval.
    (b) Except when an expedited review procedure is used (as described 
in Sec.  1230.110), an IRB must review proposed

[[Page 131]]

research at convened meetings at which a majority of the members of the 
IRB are present, including at least one member whose primary concerns 
are in nonscientific areas. In order for the research to be approved, it 
shall receive the approval of a majority of those members present at the 
meeting.

(Approved by the Office of Management and Budget under Control Number 
0990-0260)



Sec.  1230.109  IRB review of research.

    (a) An IRB shall review and have authority to approve, require 
modifications in (to secure approval), or disapprove all research 
activities covered by this policy, including exempt research activities 
under Sec.  1230.104 for which limited IRB review is a condition of 
exemption (under Sec.  1230.104(d)(2)(iii), (d)(3)(i)(C), and (d)(7), 
and (8)).
    (b) An IRB shall require that information given to subjects (or 
legally authorized representatives, when appropriate) as part of 
informed consent is in accordance with Sec.  1230.116. The IRB may 
require that information, in addition to that specifically mentioned in 
Sec.  1230.116, be given to the subjects when in the IRB's judgment the 
information would meaningfully add to the protection of the rights and 
welfare of subjects.
    (c) An IRB shall require documentation of informed consent or may 
waive documentation in accordance with Sec.  1230.117.
    (d) An IRB shall notify investigators and the institution in writing 
of its decision to approve or disapprove the proposed research activity, 
or of modifications required to secure IRB approval of the research 
activity. If the IRB decides to disapprove a research activity, it shall 
include in its written notification a statement of the reasons for its 
decision and give the investigator an opportunity to respond in person 
or in writing.
    (e) An IRB shall conduct continuing review of research requiring 
review by the convened IRB at intervals appropriate to the degree of 
risk, not less than once per year, except as described in Sec.  
1230.109(f).
    (f)(1) Unless an IRB determines otherwise, continuing review of 
research is not required in the following circumstances:
    (i) Research eligible for expedited review in accordance with Sec.  
1230.110;
    (ii) Research reviewed by the IRB in accordance with the limited IRB 
review described in Sec.  1230.104(d)(2)(iii), (d)(3)(i)(C), or (d)(7) 
or (8);
    (iii) Research that has progressed to the point that it involves 
only one or both of the following, which are part of the IRB-approved 
study:
    (A) Data analysis, including analysis of identifiable private 
information or identifiable biospecimens, or
    (B) Accessing follow-up clinical data from procedures that subjects 
would undergo as part of clinical care.
    (2) [Reserved.]
    (g) An IRB shall have authority to observe or have a third party 
observe the consent process and the research.

(Approved by the Office of Management and Budget under Control Number 
0990-0260)



Sec.  1230.110  Expedited review procedures for certain kinds of
research involving no more than minimal risk, and for minor
changes in approved research.

    (a) The Secretary of HHS has established, and published as a Notice 
in the Federal Register, a list of categories of research that may be 
reviewed by the IRB through an expedited review procedure. The Secretary 
will evaluate the list at least every 8 years and amend it, as 
appropriate, after consultation with other federal departments and 
agencies and after publication in the Federal Register for public 
comment. A copy of the list is available from the Office for Human 
Research Protections, HHS, or any successor office.
    (b)(1) An IRB may use the expedited review procedure to review the 
following:
    (i) Some or all of the research appearing on the list described in 
paragraph (a) of this section, unless the reviewer determines that the 
study involves more than minimal risk;
    (ii) Minor changes in previously approved research during the period 
for which approval is authorized; or
    (iii) Research for which limited IRB review is a condition of 
exemption

[[Page 132]]

under Sec.  1230.104(d)(2)(iii), (d)(3)(i)(C), and (d)(7) and (8).
    (2) Under an expedited review procedure, the review may be carried 
out by the IRB chairperson or by one or more experienced reviewers 
designated by the chairperson from among members of the IRB. In 
reviewing the research, the reviewers may exercise all of the 
authorities of the IRB except that the reviewers may not disapprove the 
research. A research activity may be disapproved only after review in 
accordance with the nonexpedited procedure set forth in Sec.  
1230.108(b).
    (c) Each IRB that uses an expedited review procedure shall adopt a 
method for keeping all members advised of research proposals that have 
been approved under the procedure.
    (d) The department or agency head may restrict, suspend, terminate, 
or choose not to authorize an institution's or IRB's use of the 
expedited review procedure.



Sec.  1230.111  Criteria for IRB approval of research.

    (a) In order to approve research covered by this policy the IRB 
shall determine that all of the following requirements are satisfied:
    (1) Risks to subjects are minimized:
    (i) By using procedures that are consistent with sound research 
design and that do not unnecessarily expose subjects to risk, and
    (ii) Whenever appropriate, by using procedures already being 
performed on the subjects for diagnostic or treatment purposes.
    (2) Risks to subjects are reasonable in relation to anticipated 
benefits, if any, to subjects, and the importance of the knowledge that 
may reasonably be expected to result. In evaluating risks and benefits, 
the IRB should consider only those risks and benefits that may result 
from the research (as distinguished from risks and benefits of therapies 
subjects would receive even if not participating in the research). The 
IRB should not consider possible long-range effects of applying 
knowledge gained in the research (e.g., the possible effects of the 
research on public policy) as among those research risks that fall 
within the purview of its responsibility.
    (3) Selection of subjects is equitable. In making this assessment 
the IRB should take into account the purposes of the research and the 
setting in which the research will be conducted. The IRB should be 
particularly cognizant of the special problems of research that involves 
a category of subjects who are vulnerable to coercion or undue 
influence, such as children, prisoners, individuals with impaired 
decision-making capacity, or economically or educationally disadvantaged 
persons.
    (4) Informed consent will be sought from each prospective subject or 
the subject's legally authorized representative, in accordance with, and 
to the extent required by, Sec.  1230.116.
    (5) Informed consent will be appropriately documented or 
appropriately waived in accordance with Sec.  1230.117.
    (6) When appropriate, the research plan makes adequate provision for 
monitoring the data collected to ensure the safety of subjects.
    (7) When appropriate, there are adequate provisions to protect the 
privacy of subjects and to maintain the confidentiality of data.
    (i) The Secretary of HHS will, after consultation with the Office of 
Management and Budget's privacy office and other Federal departments and 
agencies that have adopted this policy, issue guidance to assist IRBs in 
assessing what provisions are adequate to protect the privacy of 
subjects and to maintain the confidentiality of data.
    (ii) [Reserved]
    (8) For purposes of conducting the limited IRB review required by 
Sec.  1230.104(d)(7)), the IRB need not make the determinations at 
paragraphs (a)(1) through (7) of this section, and shall make the 
following determinations:
    (i) Broad consent for storage, maintenance, and secondary research 
use of identifiable private information or identifiable biospecimens is 
obtained in accordance with the requirements of Sec.  1230.116(a)(1)-
(4), (a)(6), and (d);
    (ii) Broad consent is appropriately documented or waiver of 
documentation is appropriate, in accordance with Sec.  1230.117; and
    (iii) If there is a change made for research purposes in the way the 
identifiable private information or identifiable

[[Page 133]]

biospecimens are stored or maintained, there are adequate provisions to 
protect the privacy of subjects and to maintain the confidentiality of 
data.
    (b) When some or all of the subjects are likely to be vulnerable to 
coercion or undue influence, such as children, prisoners, individuals 
with impaired decision-making capacity, or economically or educationally 
disadvantaged persons, additional safeguards have been included in the 
study to protect the rights and welfare of these subjects.



Sec.  1230.112  Review by Institution

    Research covered by this policy that has been approved by an IRB may 
be subject to further appropriate review and approval or disapproval by 
officials of the institution. However, those officials may not approve 
the research if it has not been approved by an IRB.



Sec.  1230.113  Suspension or Termination of IRB Approval of Research.

    An IRB shall have authority to suspend or terminate approval of 
research that is not being conducted in accordance with the IRB's 
requirements or that has been associated with unexpected serious harm to 
subjects. Any suspension or termination of approval shall include a 
statement of the reasons for the IRB's action and shall be reported 
promptly to the investigator, appropriate institutional officials, and 
the department or agency head.

(Approved by the Office of Management and Budget under Control Number 
0990-0260)



Sec.  1230.114  Cooperative Research.

    (a) Cooperative research projects are those projects covered by this 
policy that involve more than one institution. In the conduct of 
cooperative research projects, each institution is responsible for 
safeguarding the rights and welfare of human subjects and for complying 
with this policy.
    (b)(1) Any institution located in the United States that is engaged 
in cooperative research must rely upon approval by a single IRB for that 
portion of the research that is conducted in the United States. The 
reviewing IRB will be identified by the Federal department or agency 
supporting or conducting the research or proposed by the lead 
institution subject to the acceptance of the Federal department or 
agency supporting the research.
    (2) The following research is not subject to this provision:
    (i) Cooperative research for which more than single IRB review is 
required by law (including tribal law passed by the official governing 
body of an American Indian or Alaska Native tribe); or
    (ii) Research for which any Federal department or agency supporting 
or conducting the research determines and documents that the use of a 
single IRB is not appropriate for the particular context.
    (c) For research not subject to paragraph (b) of this section, an 
institution participating in a cooperative project may enter into a 
joint review arrangement, rely on the review of another IRB, or make 
similar arrangements for avoiding duplication of effort.



Sec.  1230.115  IRB Records.

    (a) An institution, or when appropriate an IRB, shall prepare and 
maintain adequate documentation of IRB activities, including the 
following:
    (1) Copies of all research proposals reviewed, scientific 
evaluations, if any, that accompany the proposals, approved sample 
consent forms, progress reports submitted by investigators, and reports 
of injuries to subjects.
    (2) Minutes of IRB meetings, which shall be in sufficient detail to 
show attendance at the meetings; actions taken by the IRB; the vote on 
these actions including the number of members voting for, against, and 
abstaining; the basis for requiring changes in or disapproving research; 
and a written summary of the discussion of controverted issues and their 
resolution.
    (3) Records of continuing review activities, including the rationale 
for conducting continuing review of research that otherwise would not 
require continuing review as described in Sec.  1230.109(f)(1).
    (4) Copies of all correspondence between the IRB and the 
investigators.
    (5) A list of IRB members in the same detail as described in Sec.  
1230.108(a)(2).
    (6) Written procedures for the IRB in the same detail as described 
in Sec.  1230.108(a)(3) and (4).

[[Page 134]]

    (7) Statements of significant new findings provided to subjects, as 
required by Sec.  1230.116(c)(5).
    (8) The rationale for an expedited reviewer's determination under 
Sec.  1230.110(b)(1)(i) that research appearing on the expedited review 
list described in Sec.  1230.110(a) is more than minimal risk.
    (9) Documentation specifying the responsibilities that an 
institution and an organization operating an IRB each will undertake to 
ensure compliance with the requirements of this policy, as described in 
Sec.  1230.103(e).
    (b) The records required by this policy shall be retained for at 
least 3 years, and records relating to research that is conducted shall 
be retained for at least 3 years after completion of the research. The 
institution or IRB may maintain the records in printed form, or 
electronically. All records shall be accessible for inspection and 
copying by authorized representatives of the Federal department or 
agency at reasonable times and in a reasonable manner.

(Approved by the Office of Management and Budget under Control Number 
0990-0260)



Sec.  1230.116  General Requirements for Informed Consent.

    (a) General. General requirements for informed consent, whether 
written or oral, are set forth in this paragraph and apply to consent 
obtained in accordance with the requirements set forth in paragraphs (b) 
through (d) of this section. Broad consent may be obtained in lieu of 
informed consent obtained in accordance with paragraphs (b) and (c) of 
this section only with respect to the storage, maintenance, and 
secondary research uses of identifiable private information and 
identifiable biospecimens. Waiver or alteration of consent in research 
involving public benefit and service programs conducted by or subject to 
the approval of state or local officials is described in paragraph (e) 
of this section. General waiver or alteration of informed consent is 
described in paragraph (f) of this section. Except as provided elsewhere 
in this policy:
    (1) Before involving a human subject in research covered by this 
policy, an investigator shall obtain the legally effective informed 
consent of the subject or the subject's legally authorized 
representative.
    (2) An investigator shall seek informed consent only under 
circumstances that provide the prospective subject or the legally 
authorized representative sufficient opportunity to discuss and consider 
whether or not to participate and that minimize the possibility of 
coercion or undue influence.
    (3) The information that is given to the subject or the legally 
authorized representative shall be in language understandable to the 
subject or the legally authorized representative.
    (4) The prospective subject or the legally authorized representative 
must be provided with the information that a reasonable person would 
want to have in order to make an informed decision about whether to 
participate, and an opportunity to discuss that information.
    (5) Except for broad consent obtained in accordance with paragraph 
(d) of this section:
    (i) Informed consent must begin with a concise and focused 
presentation of the key information that is most likely to assist a 
prospective subject or legally authorized representative in 
understanding the reasons why one might or might not want to participate 
in the research. This part of the informed consent must be organized and 
presented in a way that facilitates comprehension.
    (ii) Informed consent as a whole must present information in 
sufficient detail relating to the research, and must be organized and 
presented in a way that does not merely provide lists of isolated facts, 
but rather facilitates the prospective subject's or legally authorized 
representative's understanding of the reasons why one might or might not 
want to participate.
    (6) No informed consent may include any exculpatory language through 
which the subject or the legally authorized representative is made to 
waive or appear to waive any of the subject's legal rights, or releases 
or appears to release the investigator, the sponsor, the institution, or 
its agents from liability for negligence.

[[Page 135]]

    (b) Basic elements of informed consent. Except as provided in 
paragraph (d), (e), or (f) of this section, in seeking informed consent 
the following information shall be provided to each subject or the 
legally authorized representative:
    (1) A statement that the study involves research, an explanation of 
the purposes of the research and the expected duration of the subject's 
participation, a description of the procedures to be followed, and 
identification of any procedures that are experimental;
    (2) A description of any reasonably foreseeable risks or discomforts 
to the subject;
    (3) A description of any benefits to the subject or to others that 
may reasonably be expected from the research;
    (4) A disclosure of appropriate alternative procedures or courses of 
treatment, if any, that might be advantageous to the subject;
    (5) A statement describing the extent, if any, to which 
confidentiality of records identifying the subject will be maintained;
    (6) For research involving more than minimal risk, an explanation as 
to whether any compensation and an explanation as to whether any medical 
treatments are available if injury occurs and, if so, what they consist 
of, or where further information may be obtained;
    (7) An explanation of whom to contact for answers to pertinent 
questions about the research and research subjects' rights, and whom to 
contact in the event of a research-related injury to the subject;
    (8) A statement that participation is voluntary, refusal to 
participate will involve no penalty or loss of benefits to which the 
subject is otherwise entitled, and the subject may discontinue 
participation at any time without penalty or loss of benefits to which 
the subject is otherwise entitled; and
    (9) One of the following statements about any research that involves 
the collection of identifiable private information or identifiable 
biospecimens:
    (i) A statement that identifiers might be removed from the 
identifiable private information or identifiable biospecimens and that, 
after such removal, the information or biospecimens could be used for 
future research studies or distributed to another investigator for 
future research studies without additional informed consent from the 
subject or the legally authorized representative, if this might be a 
possibility; or
    (ii) A statement that the subject's information or biospecimens 
collected as part of the research, even if identifiers are removed, will 
not be used or distributed for future research studies.
    (c) Additional elements of informed consent. Except as provided in 
paragraph (d), (e), or (f) of this section, one or more of the following 
elements of information, when appropriate, shall also be provided to 
each subject or the legally authorized representative:
    (1) A statement that the particular treatment or procedure may 
involve risks to the subject (or to the embryo or fetus, if the subject 
is or may become pregnant) that are currently unforeseeable;
    (2) Anticipated circumstances under which the subject's 
participation may be terminated by the investigator without regard to 
the subject's or the legally authorized representative's consent;
    (3) Any additional costs to the subject that may result from 
participation in the research;
    (4) The consequences of a subject's decision to withdraw from the 
research and procedures for orderly termination of participation by the 
subject;
    (5) A statement that significant new findings developed during the 
course of the research that may relate to the subject's willingness to 
continue participation will be provided to the subject;
    (6) The approximate number of subjects involved in the study;
    (7) A statement that the subject's biospecimens (even if identifiers 
are removed) may be used for commercial profit and whether the subject 
will or will not share in this commercial profit;
    (8) A statement regarding whether clinically relevant research 
results, including individual research results, will be disclosed to 
subjects, and if so, under what conditions; and
    (9) For research involving biospecimens, whether the research will 
(if

[[Page 136]]

known) or might include whole genome sequencing (i.e., sequencing of a 
human germline or somatic specimen with the intent to generate the 
genome or exome sequence of that specimen).
    (d) Elements of broad consent for the storage, maintenance, and 
secondary research use of identifiable private information or 
identifiable biospecimens. Broad consent for the storage, maintenance, 
and secondary research use of identifiable private information or 
identifiable biospecimens (collected for either research studies other 
than the proposed research or nonresearch purposes) is permitted as an 
alternative to the informed consent requirements in paragraphs (b) and 
(c) of this section. If the subject or the legally authorized 
representative is asked to provide broad consent, the following shall be 
provided to each subject or the subject's legally authorized 
representative:
    (1) The information required in paragraphs (b)(2), (b)(3), (b)(5), 
and (b)(8) and, when appropriate, (c)(7) and (9) of this section;
    (2) A general description of the types of research that may be 
conducted with the identifiable private information or identifiable 
biospecimens. This description must include sufficient information such 
that a reasonable person would expect that the broad consent would 
permit the types of research conducted;
    (3) A description of the identifiable private information or 
identifiable biospecimens that might be used in research, whether 
sharing of identifiable private information or identifiable biospecimens 
might occur, and the types of institutions or researchers that might 
conduct research with the identifiable private information or 
identifiable biospecimens;
    (4) A description of the period of time that the identifiable 
private information or identifiable biospecimens may be stored and 
maintained (which period of time could be indefinite), and a description 
of the period of time that the identifiable private information or 
identifiable biospecimens may be used for research purposes (which 
period of time could be indefinite);
    (5) Unless the subject or legally authorized representative will be 
provided details about specific research studies, a statement that they 
will not be informed of the details of any specific research studies 
that might be conducted using the subject's identifiable private 
information or identifiable biospecimens, including the purposes of the 
research, and that they might have chosen not to consent to some of 
those specific research studies;
    (6) Unless it is known that clinically relevant research results, 
including individual research results, will be disclosed to the subject 
in all circumstances, a statement that such results may not be disclosed 
to the subject; and
    (7) An explanation of whom to contact for answers to questions about 
the subject's rights and about storage and use of the subject's 
identifiable private information or identifiable biospecimens, and whom 
to contact in the event of a research-related harm.
    (e) Waiver or alteration of consent in research involving public 
benefit and service programs conducted by or subject to the approval of 
state or local officials--(1) Waiver. An IRB may waive the requirement 
to obtain informed consent for research under paragraphs (a) through (c) 
of this section, provided the IRB satisfies the requirements of 
paragraph (e)(3) of this section. If an individual was asked to provide 
broad consent for the storage, maintenance, and secondary research use 
of identifiable private information or identifiable biospecimens in 
accordance with the requirements at paragraph (d) of this section, and 
refused to consent, an IRB cannot waive consent for the storage, 
maintenance, or secondary research use of the identifiable private 
information or identifiable biospecimens.
    (2) Alteration. An IRB may approve a consent procedure that omits 
some, or alters some or all, of the elements of informed consent set 
forth in paragraphs (b) and (c) of this section provided the IRB 
satisfies the requirements of paragraph (e)(3) of this section. An IRB 
may not omit or alter any of the requirements described in paragraph (a) 
of this section. If a broad consent procedure is used, an IRB may not 
omit or alter any of the elements required under paragraph (d) of this 
section.

[[Page 137]]

    (3) Requirements for waiver and alteration. In order for an IRB to 
waive or alter consent as described in this subsection, the IRB must 
find and document that:
    (i) The research or demonstration project is to be conducted by or 
subject to the approval of state or local government officials and is 
designed to study, evaluate, or otherwise examine:
    (A) Public benefit or service programs;
    (B) Procedures for obtaining benefits or services under those 
programs;
    (C) Possible changes in or alternatives to those programs or 
procedures; or
    (D) Possible changes in methods or levels of payment for benefits or 
services under those programs; and
    (ii) The research could not practicably be carried out without the 
waiver or alteration.
    (f) General waiver or alteration of consent--(1) Waiver. An IRB may 
waive the requirement to obtain informed consent for research under 
paragraphs (a) through (c) of this section, provided the IRB satisfies 
the requirements of paragraph (f)(3) of this section. If an individual 
was asked to provide broad consent for the storage, maintenance, and 
secondary research use of identifiable private information or 
identifiable biospecimens in accordance with the requirements at 
paragraph (d) of this section, and refused to consent, an IRB cannot 
waive consent for the storage, maintenance, or secondary research use of 
the identifiable private information or identifiable biospecimens.
    (2) Alteration. An IRB may approve a consent procedure that omits 
some, or alters some or all, of the elements of informed consent set 
forth in paragraphs (b) and (c) of this section provided the IRB 
satisfies the requirements of paragraph (f)(3) of this section. An IRB 
may not omit or alter any of the requirements described in paragraph (a) 
of this section. If a broad consent procedure is used, an IRB may not 
omit or alter any of the elements required under paragraph (d) of this 
section.
    (3) Requirements for waiver and alteration. In order for an IRB to 
waive or alter consent as described in this subsection, the IRB must 
find and document that:
    (i) The research involves no more than minimal risk to the subjects;
    (ii) The research could not practicably be carried out without the 
requested waiver or alteration;
    (iii) If the research involves using identifiable private 
information or identifiable biospecimens, the research could not 
practicably be carried out without using such information or 
biospecimens in an identifiable format;
    (iv) The waiver or alteration will not adversely affect the rights 
and welfare of the subjects; and
    (v) Whenever appropriate, the subjects or legally authorized 
representatives will be provided with additional pertinent information 
after participation.
    (g) Screening, recruiting, or determining eligibility. An IRB may 
approve a research proposal in which an investigator will obtain 
information or biospecimens for the purpose of screening, recruiting, or 
determining the eligibility of prospective subjects without the informed 
consent of the prospective subject or the subject's legally authorized 
representative, if either of the following conditions are met:
    (1) The investigator will obtain information through oral or written 
communication with the prospective subject or legally authorized 
representative, or
    (2) The investigator will obtain identifiable private information or 
identifiable biospecimens by accessing records or stored identifiable 
biospecimens.
    (h) Posting of clinical trial consent form. (1) For each clinical 
trial conducted or supported by a Federal department or agency, one IRB-
approved informed consent form used to enroll subjects must be posted by 
the awardee or the Federal department or agency component conducting the 
trial on a publicly available Federal Web site that will be established 
as a repository for such informed consent forms.
    (2) If the Federal department or agency supporting or conducting the 
clinical trial determines that certain information should not be made 
publicly available on a Federal Web site (e.g. confidential commercial 
information), such Federal department or agency

[[Page 138]]

may permit or require redactions to the information posted.
    (3) The informed consent form must be posted on the Federal Web site 
after the clinical trial is closed to recruitment, and no later than 60 
days after the last study visit by any subject, as required by the 
protocol.
    (i) Preemption. The informed consent requirements in this policy are 
not intended to preempt any applicable Federal, state, or local laws 
(including tribal laws passed by the official governing body of an 
American Indian or Alaska Native tribe) that require additional 
information to be disclosed in order for informed consent to be legally 
effective.
    (j) Emergency medical care. Nothing in this policy is intended to 
limit the authority of a physician to provide emergency medical care, to 
the extent the physician is permitted to do so under applicable Federal, 
state, or local law (including tribal law passed by the official 
governing body of an American Indian or Alaska Native tribe).

(Approved by the Office of Management and Budget under Control Number 
0990-0260)



Sec.  1230.117  Documentation of informed consent.

    (a) Except as provided in paragraph (c) of this section, informed 
consent shall be documented by the use of a written informed consent 
form approved by the IRB and signed (including in an electronic format) 
by the subject or the subject's legally authorized representative. A 
written copy shall be given to the person signing the informed consent 
form.
    (b) Except as provided in paragraph (c) of this section, the 
informed consent form may be either of the following:
    (1) A written informed consent form that meets the requirements of 
Sec.  1230.116. The investigator shall give either the subject or the 
subject's legally authorized representative adequate opportunity to read 
the informed consent form before it is signed; alternatively, this form 
may be read to the subject or the subject's legally authorized 
representative.
    (2) A short form written informed consent form stating that the 
elements of informed consent required by Sec.  1230.116 have been 
presented orally to the subject or the subject's legally authorized 
representative, and that the key information required by Sec.  
1230.116(a)(5)(i) was presented first to the subject, before other 
information, if any, was provided. The IRB shall approve a written 
summary of what is to be said to the subject or the legally authorized 
representative. When this method is used, there shall be a witness to 
the oral presentation. Only the short form itself is to be signed by the 
subject or the subject's legally authorized representative. However, the 
witness shall sign both the short form and a copy of the summary, and 
the person actually obtaining consent shall sign a copy of the summary. 
A copy of the summary shall be given to the subject or the subject's 
legally authorized representative, in addition to a copy of the short 
form.
    (c)(1) An IRB may waive the requirement for the investigator to 
obtain a signed informed consent form for some or all subjects if it 
finds any of the following:
    (i) That the only record linking the subject and the research would 
be the informed consent form and the principal risk would be potential 
harm resulting from a breach of confidentiality. Each subject (or 
legally authorized representative) will be asked whether the subject 
wants documentation linking the subject with the research, and the 
subject's wishes will govern;
    (ii) That the research presents no more than minimal risk of harm to 
subjects and involves no procedures for which written consent is 
normally required outside of the research context; or
    (iii) If the subjects or legally authorized representatives are 
members of a distinct cultural group or community in which signing forms 
is not the norm, that the research presents no more than minimal risk of 
harm to subjects and provided there is an appropriate alternative 
mechanism for documenting that informed consent was obtained.
    (2) In cases in which the documentation requirement is waived, the 
IRB may require the investigator to provide

[[Page 139]]

subjects or legally authorized representatives with a written statement 
regarding the research.

(Approved by the Office of Management and Budget under Control Number 
0990-0260)



Sec.  1230.118  Applications and proposals lacking definite plans
for involvement of human subjects.

    Certain types of applications for grants, cooperative agreements, or 
contracts are submitted to Federal departments or agencies with the 
knowledge that subjects may be involved within the period of support, 
but definite plans would not normally be set forth in the application or 
proposal. These include activities such as institutional type grants 
when selection of specific projects is the institution's responsibility; 
research training grants in which the activities involving subjects 
remain to be selected; and projects in which human subjects' involvement 
will depend upon completion of instruments, prior animal studies, or 
purification of compounds. Except for research waived under Sec.  
1230.101(i) or exempted under Sec.  1230.104, no human subjects may be 
involved in any project supported by these awards until the project has 
been reviewed and approved by the IRB, as provided in this policy, and 
certification submitted, by the institution, to the Federal department 
or agency component supporting the research.



Sec.  1230.119  Research undertaken without the intention of involving
human subjects.

    Except for research waived under Sec.  1230.101(i) or exempted under 
Sec.  1230.104, in the event research is undertaken without the 
intention of involving human subjects, but it is later proposed to 
involve human subjects in the research, the research shall first be 
reviewed and approved by an IRB, as provided in this policy, a 
certification submitted by the institution to the Federal department or 
agency component supporting the research, and final approval given to 
the proposed change by the Federal department or agency component.



Sec.  1230.120  Evaluation and disposition of applications and 
proposals for research to be conducted or supported by a Federal
department or agency.

    (a) The department or agency head will evaluate all applications and 
proposals involving human subjects submitted to the Federal department 
or agency through such officers and employees of the Federal department 
or agency and such experts and consultants as the department or agency 
head determines to be appropriate. This evaluation will take into 
consideration the risks to the subjects, the adequacy of protection 
against these risks, the potential benefits of the research to the 
subjects and others, and the importance of the knowledge gained or to be 
gained.
    (b) On the basis of this evaluation, the department or agency head 
may approve or disapprove the application or proposal, or enter into 
negotiations to develop an approvable one.



Sec.  1230.121  [Reserved]



Sec.  1230.122  Use of Federal funds.

    Federal funds administered by a Federal department or agency may not 
be expended for research involving human subjects unless the 
requirements of this policy have been satisfied.



Sec.  1230.123  Early termination of research support: Evaluation
of applications and proposals.

    (a) The department or agency head may require that Federal 
department or agency support for any project be terminated or suspended 
in the manner prescribed in applicable program requirements, when the 
department or agency head finds an institution has materially failed to 
comply with the terms of this policy.
    (b) In making decisions about supporting or approving applications 
or proposals covered by this policy the department or agency head may 
take into account, in addition to all other eligibility requirements and 
program criteria, factors such as whether the applicant has been subject 
to a termination or suspension under paragraph (a) of this section and 
whether the applicant or the person or persons who

[[Page 140]]

would direct or has/have directed the scientific and technical aspects 
of an activity has/have, in the judgment of the department or agency 
head, materially failed to discharge responsibility for the protection 
of the rights and welfare of human subjects (whether or not the research 
was subject to federal regulation).



Sec.  1230.124  Conditions.

    With respect to any research project or any class of research 
projects the department or agency head of either the conducting or the 
supporting Federal department or agency may impose additional conditions 
prior to or at the time of approval when in the judgment of the 
department or agency head additional conditions are necessary for the 
protection of human subjects.



PART 1232_CARE AND USE OF ANIMALS IN THE CONDUCT OF NASA ACTIVITIES
--Table of Contents



Sec.
1232.100 Scope.
1232.101 Applicability.
1232.102 Policy.

    Authority: 51 U.S.C. 20102, 51 U.S.C. 20113; Pub. L. 89-544, as 
amended; 7 U.S.C. 2131; 39 U.S.C. 3001; and Pub. L. 99-158, Sec. 495.

    Source: 78 FR 76059, Dec. 16, 2014, unless otherwise noted.



Sec.  1232.100  Scope.

    This part establishes general policy for the care and use of 
vertebrate animals in the conduct of NASA activities.



Sec.  1232.101  Applicability.

    This part applies to NASA Headquarters and NASA Centers, including 
Component Facilities, and Technical and Service Support Centers and will 
be followed in all activities using animal subjects that are supported 
by NASA and conducted in NASA facilities, aircraft, or spacecraft, or 
activities, using animal subject conducted under a contract, grant, 
cooperative agreement, memorandum of understanding, or joint endeavor 
agreement entered into by NASA and another Government agency, private 
entity, non-Federal public entity, or foreign entity which are included 
within the scope of this part.



Sec.  1232.102  Policy.

    It is the National Aeronautics and Space Administration's (NASA) 
policy to comply with the Animal Welfare Act of 1966 (Pub. L. 89-544) 
which requires that minimum standards of care and treatment be provided 
for certain animals bred for use in research. To implement the 
provisions of this Act, NASA promulgated the following internal policies 
and requirements:
    (a) NASA Policy Directive (NPD) 8910.1, Care and Use of Animals, 
describes the policy and responsibilities for conducting activities 
involving vertebrate animals. NPD 8910.1 is accessible at http://
nodis3.gsfc.nasa.gov/; and
    (b) NASA Procedural Requirements (NPR) 8910.1, Care and Use of 
Animals, delineates the responsibilities and implements requirements for 
the Agency's use of animals in research, testing, teaching, and hardware 
development activities. NPR 8910.1 is accessible is access at http://
nodis3.gsfc.nasa.gov/.



PART 1240_INVENTIONS AND CONTRIBUTIONS--Table of Contents



       Subpart 1_Awards for Scientific and Technical Contributions

Sec.
1240.100 Purpose.
1240.101 Scope.
1240.102 Definitions
1240.103 Criteria.
1240.104 Applications for awards.
1240.105 Special initial awards--NASA and NASA contractor employees.
1240.106 Review and evaluation of contribution.
1240.107 Notification by the Board.
1240.108 Reconsideration.
1240.109 Hearing procedure.
1240.110 Recommendation to, and action by, the Administrator.
1240.111 Release.
1240.112 Presentation of awards.
1240.113 Financial accounting.
1240.114 Delegation of authority.

    Authority: Section 20136 of the National Aeronautics and Space Act 
(51 U.S.C. 20136), and the Federal Technology Transfer Act of 1986, sec. 
12, 15 U.S.C. 3710b(1).

    Source: 67 FR 31120, May 9, 2002, unless otherwise noted.

[[Page 141]]



       Subpart 1_Awards for Scientific and Technical Contributions



Sec.  1240.100  Purpose.

    This subpart prescribes procedures for submitting applications for 
monetary awards to the Administrator of NASA for scientific and 
technical contributions which have significant value in the conduct of 
aeronautical and space activities pursuant to 51 U.S.C. 20136, and 
establishes the awards program consistent with the Federal Technology 
Transfer Act of 1986, section 12, 15 U.S.C. 3710b(1).

[77 FR 27366, May 10, 2012]



Sec.  1240.101  Scope.

    This subpart applies to awards for any scientific or technical 
contribution, whether or not patentable, which is determined by the 
Administrator after referral to the Inventions and Contributions Board 
to have significant value in the conduct of aeronautical and space 
activities, upon submission of an application for award to NASA, or upon 
the Administrator's own initiative, under 51 U.S.C. 20136.

[77 FR 27366, May 10, 2012]



Sec.  1240.102  Definitions.

    As used in this subpart:
    (a) Administrator means the Administrator of the National 
Aeronautics and Space Administration.
    (b) Board means the NASA Inventions and Contributions Board.
    (c) Chairperson means the Chairperson of the NASA Inventions and 
Contributions Board.
    (d) Commercial quality refers to computer software that is not in an 
experimental or beta phase of development, that performs in accordance 
with its specifications, and includes documentation describing the 
software's form and function.
    (e) Contract means any contract, agreement, understanding, or other 
arrangement with NASA or another Government Agency on NASA's behalf, 
including any assignment, substitution of parties, or subcontract 
executed or entered into thereunder.
    (f) Contractor means the party who has undertaken to perform work 
under a contract or subcontract.
    (g) Innovation means a mathematical, engineering or scientific 
concept, idea, design, process, or product.
    (h) Innovator means any person listed as a contributor, inventor, or 
author of an innovation.
    (i) Invention includes any act, method, process, machine, 
manufacture, design, or composition of matter, or any new and useful 
improvement thereof, or any variety of plant, which is or may be 
patentable under the patent laws of the United States or any foreign 
country.
    (j) Qualified User means any person that has legally acquired 
computer software and has the right to use it for a legal purpose.
    (k) Verified means passing rigorous testing to ascertain whether the 
functionality claimed in the innovation's documentation is realized.

[67 FR 31120, May 9, 2002, as amended at 77 FR 27366, May 10, 2012]



Sec.  1240.103  Criteria.

    (a) Only those contributions to NASA which have been:
    (1) Used in a NASA program or adopted or sponsored or supported by 
NASA, and
    (2) Found to have significant value in the conduct of aeronautical 
and space activities, will be recommended for award under this subpart.
    (b) In determining the amount, terms, and conditions of any award, 
the following criteria will be considered:
    (1) The value of the contribution to the United States;
    (2) The aggregate amount of any sums which have been expended by the 
applicant for the development of such contribution;
    (3) The amount of any compensation (other than salary received for 
services rendered as an officer or employee of the Government) 
previously received by the applicant for or on account of the use of 
such contributions by the United States; and
    (4) Such other factors as the Administrator shall determine to be 
material.



Sec.  1240.104  Applications for awards.

    (a) Eligibility. Applications for award may be submitted by any 
person including any individual, partnership,

[[Page 142]]

corporation, association, institution, or other entity. An application 
for an award under this section is separate from application for an 
award under Sec.  1240.105 and may be submitted whether or not the 
contribution is also eligible for an award under Sec.  1240.105.
    (b) Information required. Applications for award should be addressed 
to the Inventions and Contributions Board (herein referred to as the 
Board), National Aeronautics and Space Administration, Washington, DC 
20546-0001, and will contain:
    (1) The name and address of the applicant, the person's relationship 
to the contributor if the contribution is made by one other than the 
applicant, and the names and addresses of any others having information 
as to the value or usage of the contribution;
    (2) A complete written description of the contribution, in the 
English language, using electronic media, accompanied by drawings, 
sketches, diagrams, or photographs illustrating the nature of the 
contribution and the technical and scientific principles upon which it 
is based, any available test or performance data or observations of 
pertinent scientific phenomena, and the aeronautics or space application 
of the contribution;
    (3) The date and manner of any previous submittal of the 
contribution to any other United States Government agency, and the name 
of such agency;
    (4) The aggregate amount of any sums which have been expended by the 
applicant for the development of the contribution;
    (5) The nature and extent of any known use of the contribution by 
the United States and by any agency of the United States Government;
    (6) The amount of any compensation (other than salary received for 
services rendered as an officer or employee of the Government) 
previously received by the applicant for or on account of the use of 
such contribution by the United States;
    (7) Identification of any United States and foreign patents applied 
for or issued relating to the contribution; and
    (8) An agreement to surrender all claims which such applicant may 
have for the use of such contribution by the Government.
    (c) General. (1) Each contribution will be made the subject of a 
separate application in order that each contribution may be evaluated 
individually.
    (2) Material constituting a possible hazard to safety or requiring 
unusual storage facilities should not be submitted, and will not be 
accepted. Models or intricate exhibits demonstrating the contribution 
will not be accepted unless specifically requested by the Board. In 
those few cases where such models or exhibits have been submitted 
pursuant to a request made by the Board, the same will be returned to 
the applicant upon written request from the applicant.
    (3) It is the policy of the Board to use or disclose information 
contained in applications for awards for evaluation purposes only. 
Applications for awards submitted with restrictive legends or statements 
differing from this policy will be treated in accordance with the 
Board's policy.

[67 FR 31120, May 9, 2002, as amended at 77 FR 27366, May 10, 2012]



Sec.  1240.105  Special initial awards--NASA and NASA contractor employees.

    (a) Patent Application Awards. (1) When the Board receives written 
notice, in the manner prescribed by the Board, from the Agency Counsel 
for Intellectual Property or the Patent or Intellectual Property Counsel 
at a NASA Center that an invention made by an employee of NASA or a NASA 
contractor and reported to NASA in the manner prescribed by the Board is 
eligible for a patent application award, the Board may recommend to the 
Administrator or a designee that an award be made, including a specific 
recommended amount and distribution thereof for any multiple inventors, 
so long as the following eligibility conditions have been met:
    (i) A nonprovisional U.S. patent application has been filed covering 
the invention and NASA has either an ownership interest in the invention 
or an irrevocable, royalty-free, license to practice the invention, or 
have the invention practiced for or on its behalf, throughout the world, 
or the invention

[[Page 143]]

has been assigned by NASA to a contractor under 35 U.S.C. 202(e); or
    (ii) A continuation-in-part or divisional patent has been issued 
based on a patent application that is eligible for an award under 
paragraph (a)(1)(i) of this section.
    (2) No additional award will be given for a continuation patent 
application where an award was authorized for the parent application and 
the parent application will be or has been abandoned. In addition, 
awards will not be granted for provisional applications under 35 U.S.C. 
111(b) or reissue applications under 35 U.S.C. 251.
    (b) Software Release Awards. (1) When the Board receives written 
notice, in the manner prescribed by the procedures of the Board, that a 
NASA Center has approved the initial (first) release to a qualified user 
of a software package based on a software innovation made by an employee 
of NASA or a NASA contractor and reported to NASA in the manner 
prescribed by the procedures of the Board, the Board may recommend to 
the Administrator or designee that an award be made, including a 
specific amount and distribution thereof for any multiple innovators, so 
long as the following conditions have been met:
    (i) NASA has either an ownership interest in the software or an 
irrevocable, royalty-free, license to reproduce, prepare derivative 
works, distribute, perform and display the software, throughout the 
world for governmental purposes;
    (ii) The software is of commercial quality as defined in Sec.  
1240.102; and
    (iii) The software has been verified to perform the functions 
claimed in its documentation on the platform for which it was designed 
without harm to the systems or data contained within.
    (2) Software that is the subject of a software release award is not 
eligible to receive a Tech Brief award based upon the publication of an 
announcement of availability in ``NASA Tech Briefs.''
    (3) Software release awards for modifications made to software for 
which the innovators have already received an initial software release 
award will be at the discretion of the Administrator or his designee, 
upon recommendation by the Board.
    (c) Tech Briefs Awards. When the Board receives written notice, in 
the manner and format prescribed by the procedures of the Board, that a 
NASA Center has approved for publication a NASA Tech Brief based on an 
innovation made by an employee of NASA or a NASA contractor and reported 
to NASA in the manner and form prescribed by the procedures of the 
Board, the Board may recommend to the Administrator or designee that an 
award be made, including a specific amount and distribution thereof for 
any multiple innovators.
    (d) When a Patent Application Award, a Software Release Award, and a 
Tech Brief Award have been authorized for the same contribution, the 
awards will be cumulative.

[77 FR 27366, May 10, 2012]



Sec.  1240.106  Review and evaluation of contribution.

    (a) A contribution will be initially reviewed by the Board on the 
basis of the material submitted by the applicant under Sec.  
1240.104(b).
    (b) If it is determined that the contribution has been used in a 
NASA program, or adopted or sponsored or supported by NASA, the 
contribution will be evaluated for its significant value in the conduct 
of aeronautical or space activity.
    (c) The Board will recommend an award for such contribution when, 
upon evaluation of its scientific and technical merits, it is determined 
to warrant an award of at least $500.



Sec.  1240.107  Notification by the Board.

    (a) With respect to each completed application where the Board has 
recommended to the Administrator the granting of an award, and the 
Administrator has approved such award, the Board will notify the 
applicant of the amount and terms of the award. In the case of NASA 
employees or employees of NASA contractors, such notification will 
normally be made through the appropriate NASA field installation 
representative.
    (b) Except for applications from NASA employees or employees of NASA 
contractors, where the Board

[[Page 144]]

does not propose to recommend to the Administrator the granting of an 
award, a notification will be provided which includes a brief statement 
of the reasons for such decision.



Sec.  1240.108  Reconsideration.

    (a) With respect to each completed application, in those cases where 
the Board does not recommend an award, the applicant may, within such 
period as the Board may set but in no event less than 30 days from 
notification, request reconsideration of the Board's decision.
    (b) If reconsideration has been requested within the prescribed 
time, the applicant will, within 30 days from the date of the request 
for reconsideration, or within any other time as the Board may set, file 
its statement setting forth the issues, points, authorities, arguments, 
and any additional material on which it relies.
    (c) Upon filing of the reconsideration statement by the applicant, 
the case will be assigned for reconsideration by the Board upon the 
contents of the application, the record, and the reconsideration 
statement submitted by the applicant.
    (d) If after reconsideration, the Board again does not propose to 
recommend the granting of an award, the applicant, after such 
notification by the Board, may request an oral hearing within the time 
set by the Board.
    (e) An oral hearing without reconsideration may be granted upon 
determination of the Chairperson that good cause exists to do so.

[67 FR 31120, May 9, 2002, as amended at 77 FR 27367, May 10, 2012]



Sec.  1240.109  Hearing procedure.

    (a) An Oral hearing held by the Board will be in accordance with the 
following procedures:
    (1) If the applicant requests a hearing within the time set in 
accordance with Sec.  1240.108(d) or (e), the Board will set a place and 
date for such hearing and notify the applicant.
    (2) The applicant may be represented by an attorney or any other 
appropriately designated person.
    (3) Hearings will be open to the public unless the applicant 
requests that a closed hearing be held.
    (4) Hearings may be held before the full membership of the Board or 
before any panel of Board members designated by the Chairperson.
    (5) Hearings will be conducted in an informal manner with the 
objective of providing the applicant with a full opportunity to present 
evidence and arguments in support of the application. Evidence may be 
presented through means of such witnesses, exhibits, and visual aids as 
are arranged for by the applicant. While proceedings will be ex parte, 
members of the Board and its counsel may address questions to witnesses 
called by the applicant, and the Board may, at its option, utilize the 
assistance and testimony of technical advisors or other experts.
    (6) Subject to the provisions of Sec.  1240.104(c)(2), the applicant 
will submit a copy of any exhibit or visual aid utilized unless 
otherwise directed by the Board. The Board may, at its discretion, 
arrange for a written transcript of the proceedings and a copy of such 
transcript will be made available by the recorder for purchase by the 
applicant.
    (7) No funds are available to defray traveling expenses or any other 
cost incurred by the applicant.



Sec.  1240.110  Recommendation to, and action by, the Administrator.

    (a) Upon a determination by the Board that a contribution merits an 
award, the Board will recommend to the Administrator or a designee the 
terms and conditions of the proposed award, including a specific amount 
and distribution thereof for any multiple contributors. The 
recommendation of the Board to the Administrator or designee will 
reflect the views of the majority of the Board members. Dissenting views 
may be transmitted with the majority opinion.
    (b) The granting, denying or modification of any Board recommended 
award under this subpart will be at the sole discretion of the 
Administrator or his designee, who will determine the final terms and 
conditions of each award after consideration of the criteria in Sec.  
1240.103.
    (c) In addition, the Board may recommend, and the Administrator or 
his designee may grant, non-monetary

[[Page 145]]

awards under other applicable laws and regulations.

[67 FR 31120, May 9, 2002, as amended at 77 FR 27367, May 10, 2012]



Sec.  1240.111  Release

    Under subsection 20136(c) of the National Aeronautics and Space Act, 
no award will be made to an applicant unless the applicant submits a 
duly executed release, in a form specified by the Administrator, of all 
claims the applicant may have to receive any compensation (other than 
the award recommended) from the United States Government for use of the 
contribution or any element thereof at any time by or on behalf of the 
United States, or by or on behalf of any foreign government pursuant to 
any existing or future treaty or agreement with the United States, 
within the United States, or at any other place.

[77 FR 27367, May 10, 2012]



Sec.  1240.112  Presentation of awards.

    (a) Written acknowledgments to employees of NASA receiving awards 
will be provided by the appropriate Official-in-Charge at the 
Headquarters Office, by the Director of the cognizant NASA Center, or by 
a designee.
    (b) Written acknowledgments to employees of NASA contractors 
receiving awards will be forwarded to contractor officials for suitable 
presentation.
    (c) Monetary awards will be paid by check or electronic funds 
transfer.

[77 FR 27367, May 10, 2012]



Sec.  1240.113  Financial accounting.

    NASA shall provide for appropriate database and accounting system(s) 
to ensure that award payments are recorded and disbursed in an orderly 
fashion and in the proper amounts to proper awardees.

[77 FR 27367, May 10, 2012]



Sec.  1240.114  Delegation of authority.

    (a) The Chairperson, Inventions and Contributions Board, is 
delegated authority to approve and execute grants of awards for 
significant scientific or technical contributions not exceeding $2,000 
per contributor, when in accordance with the recommendation of the Board 
and in conformity with applicable law and regulations.
    (b) The Chairperson, Inventions and Contributions Board, is 
delegated authority to approve and execute grants of awards not 
exceeding $2,000 per awardee, upon the notification that:
    (1) A Patent Application Award has been recommended by the Board 
pursuant to Sec.  1240.105(a);
    (2) A Software Release Award has been recommended by the Board 
pursuant to Sec.  1240.105(b); or
    (3) A Tech Briefs Award has been recommended by the Board pursuant 
to Sec.  1240.105(c).

[77 FR 27367, May 10, 2012]

                          PART 1241 [RESERVED]



PART 1245_PATENTS AND OTHER INTELLECTUAL PROPERTY RIGHTS
--Table of Contents



                   Subpart 1_Patent Waiver Regulations

Sec.
1245.100 Scope.
1245.101 Applicability.
1245.102 Definitions and terms.
1245.103 Policy.
1245.104 Advance waivers.
1245.105 Waiver after reporting inventions.
1245.106 Waiver of foreign rights.
1245.107 Reservations.
1245.108 License to contractor.
1245.109 Assignment of title to NASA.
1245.110 Content of petitions.
1245.111 Submission of petitions.
1245.112 Notice of proposed Board action and reconsideration.
1245.113 Hearing procedure.
1245.114 Findings and recommendations of the Board.
1245.115 Action by the Administrator.
1245.116 Miscellaneous provisions.
1245.117 March-in and waiver revocation procedures.
1245.118 Record of decisions.

         Subpart 2_Claims for Patent and Copyright Infringement

1245.200 Purpose.
1245.201 Objectives.
1245.202 Contents of communication initiating claim.
1245.203 Incomplete notice of infringement.
1245.204 Indirect notice of infringement.
1245.205 Processing of administrative claims.

                  Subpart 3_NASA Foreign Patent Program

1245.300 Scope of subpart.

[[Page 146]]

1245.301 Inventions under NASA contracts.
1245.302 Inventions by NASA employees.
1245.303 Criteria.
1245.304 Procedures.

Subparts 4-5 [Reserved]



                   Subpart 1_Patent Waiver Regulations

    Authority: 51 U.S.C. 20135, 35 U.S.C. 200 et seq.

    Source: 52 FR 43748, Nov. 16, 1987, unless otherwise noted.



Sec.  1245.100  Scope.

    This subpart prescribes regulations for the waiver of rights of the 
Government of the United States to inventions made under NASA contract 
in conformity with section 20135 of the National Aeronautics and Space 
Act (51 U.S.C. Chapter 201).

[80 FR 19197, Apr. 10, 2015]



Sec.  1245.101  Applicability.

    The provisions of the subpart apply to all inventions made or which 
may be made under conditions enabling the Administrator to determine 
that the rights therein reside in the Government of the United States 
under section 20135(b)(1) of the National Aeronautics and Space Act, 51 
U.S.C. 20135(b)(1). The provisions do not apply to inventions made under 
any contract, grant, or cooperative agreement with a nonprofit 
organization or small business firm that are afforded the disposition of 
rights as provided in 35 U.S.C. 200-204 (Pub. L. 96-517, 94 Stat. 3019, 
3020, 3022 and 3023; and Pub. L. 98-620, 98 Stat. 3364-3367).

[80 FR 19197, Apr. 10, 2015]



Sec.  1245.102  Definitions and terms.

    As used in this subpart:
    (a) Contract means any actual or proposed contract, agreement, 
understanding, or other arrangement with the National Aeronautics and 
Space Administration (NASA) or another Government agency on NASA's 
behalf, including any assignment, substitution of parties, or 
subcontract executed or entered into thereunder, and including NASA 
grants awarded under the authority of 42 U.S.C. 1891-1893.
    (b) Contractor means the party who has undertaken to perform work 
under a contract or subcontract.
    (c) Invention means any, new and useful process, machine, 
manufacture, or composition of matter, or any new and useful improvement 
thereof, or any variety of plant, which is or may be patentable under 
the Patent Laws of the United States of America or any foreign country.
    (d) Class of inventions means inventions directed to a particular 
process, machine, manufacture, or composition of matter, or to a 
narrowly drawn, focused area of technology.
    (e) Made, when used in relation to any invention, means the 
conception or first actual reduction to practice of such invention.
    (f) Practical application means to manufacture in the case of a 
composition or product, to practice in the case of a process or method, 
or to operate in the case of a machine or system; and, in each case, 
under such conditions as to establish that the invention is being 
utilized and that its benefits are to the extent permitted by law or 
Government regulations available to the public on reasonable terms.
    (g) Board means the NASA Inventions and Contributions Board 
established by the Administrator of NASA within the Administration under 
section 305(f) of the National Aeronautics and Space Act of 1958, as 
amended (42 U.S.C. 2457(f)).
    (h) Chairperson means Chairperson of the NASA Inventions and 
Contributions Board.
    (i) Petitioner means a contractor or prospective contractor who 
requests that the Administrator waive rights in an invention or class of 
inventions made or which may be made under a NASA contract. In the case 
of an identified invention, the petitioner may be the inventor(s).
    (j) Government agency includes any executive department, independent 
commission, board, office, agency, administration, authority, Government 
corporation, or other Government establishment of the executive branch 
of the Government of the United States of America.
    (k) Administrator means the Administrator of the National 
Aeronautics and

[[Page 147]]

Space Administration or the Administrator's duly authorized 
representative.

[52 FR 43748, Nov. 16, 1987, as amended at 80 FR 19198, Apr. 10, 2015]



Sec.  1245.103  Policy.

    (a) In implementing the provisions of section 20135(g) of the 
National Aeronautics and Space Act (51 U.S.C. Chapter 201), and in 
determining when the interests of the United States would be served by 
waiver of all or any part of the rights of the United States in an 
invention or class of inventions made in the performance of work under 
NASA contracts, the Administrator will be guided by the objectives set 
forth in the National Aeronautics and Space Act, by the basic policy of 
the Presidential Memorandum and Statement of Government Patent Policy to 
the Heads of the Executive Departments and agencies dated February 18, 
1983, by the goals and objectives of its current Authorization Act, 
Strategic Plan, and other pertinent National policies or laws, such as 
the National Space Policy of the United States of America. Any such 
waiver may be made upon such terms and under such conditions as the 
Administrator shall determine to be required for the protection of the 
interests of the United States. Among the most important goals are to 
provide incentives to foster inventiveness and encourage the reporting 
of inventions made under NASA contracts, to provide for the widest 
practicable dissemination of new technology resulting from NASA 
programs, and to promote early utilization, expeditious development, and 
continued availability of this new technology for commercial purposes 
and the public benefit. In applying this regulation, both the need for 
incentives to draw forth private initiatives and the need to promote 
healthy competition in industry must be weighed.
    (b) Several different situations arise when waiver of all or any 
part of the rights of the United States with respect to an invention or 
class of invention may be requested and are prescribed in Sec. Sec.  
1245.104 through 1245.106. Under Sec.  1245.104, advance waiver of any 
or all of the rights of the United States with respect to any invention 
or class of inventions which may be made under a contract may be 
requested prior to the execution of the contract, or within 30 days 
after execution of the contract. Waiver of rights to an identified 
invention made and reported under a contract are to be requested under 
Sec.  1245.105, and may be requested under this provision even though a 
request under Sec.  1245.104 was not made, or if made, was not granted. 
Waiver of foreign rights under Sec.  1245.106 may be requested 
concurrently with domestic rights under Sec.  1245.104 or Sec.  
1245.105, or may be made independently.
    (c) With respect to inventions which may be or are made or conceived 
in the course of or under contracts for research, development or 
demonstration work awarded by NASA on behalf of the Department of Energy 
(DOE) or in support of a DOE program, on a reimbursable basis pursuant 
to agreement between DOE and NASA, the waiver policy, regulations, and 
procedures of DOE will be applied. NASA will normally grant waiver of 
rights to inventions made under contracts awarded by NASA on behalf of, 
or in support of, programs funded by another Government agency, unless 
the funding agency recommends and justifies denial of the waiver. See 
Sec. Sec.  1245.110(c) and 1245.111(b).

[52 FR 43748, Nov. 16, 1987, as amended at 80 FR 19197, Apr. 10, 2015]



Sec.  1245.104  Advance waivers.

    (a) The provisions of this section apply to petitions for waiver of 
domestic rights of the United States with respect to any invention or 
class of inventions which may be made under a contract.
    (b) The NASA Inventions and Contributions Board normally will 
recommend grant of a request for advance waiver of domestic rights 
submitted prior to execution of contract or within 30 days after 
execution of the contract unless the Board finds that the interests of 
the United States will be better served by restricting or denying all or 
part of the requested rights in one or more of the following situations:
    (1) When the contractor is not located in the United States or does 
not have a place of business in the United

[[Page 148]]

States or is subject to the control of a foreign government;
    (2) When a determination has been made by Government authority which 
is authorized by statute or Executive order to conduct foreign 
intelligence or counter-intelligence activities that the restriction or 
denial of the requested rights to any inventions made in the performance 
of work under the contract is necessary to protect the security of such 
activities; or
    (3) Where the Board finds that exceptional circumstances exist, such 
that restriction or denial of the requested rights will better promote 
one or more of the following objectives:
    (i) Promoting the utilization of inventions arising from federally 
supported research and development;
    (ii) Encouraging maximum participation of industry in federally-
supported research and development;
    (iii) Ensuring that inventions are used in a manner to promote free 
competition and enterprise;
    (iv) Promoting the commercialization and public availability of 
inventions made in the United States by United States industry and 
labor; and
    (v) Ensuring that the Government retains sufficient rights in 
federally supported inventions to meet the needs of the Government and 
protect the public against nonuse or unreasonable use of inventions.
    (c)(1) An advance waiver, when granted, will be subject to the 
reservations set forth in Sec.  1245.107. Normally, the reservations of 
Sec.  1245.107(a), License to the Government, and Sec.  1245.107(b), 
March-in rights, will apply. However, should one or more of the 
situations set forth in paragraphs (b)(1) through (b)(3), of this 
section exist, rather than denying the advance waiver request, the Board 
may recommend granting to the contractor only part of the requested 
rights, to the extent necessary to address the particular situation, 
consistent with the policy and goals of Sec.  1245.103. In that event, 
the waiver grant will be subject to additional reservations as provided 
for in Sec.  1245.107(c).
    (2) To meet the National Aeronautics and Space Act standard of ``any 
invention or class of inventions,'' for advance waivers, the petition 
shall identify the invention(s) and/or class(es) of inventions that the 
Contractor believes will be made under the contract and for which waiver 
of rights is being requested. Therefore, the petition must be directed 
to a specific invention(s) or to inventions directed to a particular 
process, machine, manufacture, or composition of matter, or to a 
narrowly drawn, focused area(s) of technology.
    (3) An advance waiver, when granted, will apply only to inventions 
reported to NASA under the applicable terms of the contract and a 
designation made within 6 months of the time of reporting (or a 
reasonable time thereafter permitted for good cause shown) that the 
contractor elects title to the invention and intends to file or has 
filed a U.S. patent application. Such election will be made by 
notification in writing to the patent representative designated in the 
contract. Title to all other inventions made under the contract are 
subject to section 20135(b)(1) of the National Aeronautics and Space 
Act, 51 U.S.C. 20135(b)(1). The granting of the advance waiver does not 
otherwise relieve a contractor of any of the invention identification or 
reporting requirements set forth in the applicable patent rights clause 
in the contract.
    (4) The advance waiver shall extend to the invention claimed in any 
patent application filed on the reported invention, including any 
subsequent divisional or continuation application thereof, provided the 
claims of the subsequent application do not substantially change the 
scope of the reported invention.
    (d) When a petition for waiver is submitted under paragraph (b) of 
this section, prior to contract execution, it will be processed 
expeditiously so that a decision on the petition may be reached prior to 
execution of the contract. However, if there is insufficient time or 
insufficient information is presented, or for other reasons which do not 
permit a recommendation to be made without unduly delaying execution of 
the contract, the Board will inform the contracting officer that no 
recommendation can be made prior to contract execution and the reasons 
therefor. The contracting officer will then notify the petitioner of the 
Board's action.

[[Page 149]]

    (e) A waiver granted pursuant to a petition submitted under this 
section shall extend to any contract changes, modifications, or 
supplemental agreements, so long as the purpose of the contract or the 
scope of work to be performed is not substantially changed.

[52 FR 43748, Nov. 16, 1987, as amended at 80 FR 19198, Apr. 10, 2015]



Sec.  1245.105  Waiver after reporting inventions.

    (a) The provisions of this section apply to petitions for waiver of 
domestic rights to identified inventions which have been reported to 
NASA and to which a waiver of rights has not been granted pursuant to 
Sec.  1245.104.
    (b)(1) When an individual identified invention has been reported to 
NASA under the applicable terms of the contract and waiver of rights has 
not been granted under Sec.  1245.104, the Board normally will recommend 
grant of a request for waiver of domestic rights to such invention if 
the request is received within 8 months of first disclosure to NASA (or 
such longer period that the Board may permit for good cause shown), 
unless the Board finds that one or more of the situations set forth in 
Sec.  1245.104(b)(3)(i) through (v) exist. When granted, the waiver will 
be subject to the reservations set forth in Sec.  1245.107 in the same 
manner as discussed in Sec.  1245.104(c)(1).
    (2) The waiver shall extend to the invention claimed in the patent 
application filed on the reported invention, including any subsequent 
divisional or continuation application thereof, provided the claims of 
the subsequent application do not substantially change the scope of the 
reported invention.



Sec.  1245.106  Waiver of foreign rights.

    (a) The Board will consider the waiver of foreign rights in any 
designated country concurrently with the waiver of domestic rights when 
so requested under Sec.  1245.104 or Sec.  1245.105.
    (b) The Board will also consider a separate request for foreign 
rights for an individual identified invention in any designated country 
if a request was not made pursuant to paragraph (a) of this section, or 
for countries not designated pursuant to paragraph (a) of this section.
    (c) The Board will normally recommend the waiver of foreign rights 
be granted under paragraph (a) or paragraph (b) of this section in any 
designated country unless:
    (1) The Board finds that exceptional circumstances exist, such that 
restriction or denial of the requested foreign rights will better 
promote one or more of the objectives set forth in Sec.  
1245.104(b)(3)(i) through (v); or
    (2) The Board finds that the economic interests of the United States 
will not be served thereby; or unless
    (3) In the case of an individual identified invention under 
paragraph (b) of this section, NASA has determined, prior to the 
request, to file a patent application in the designated country.
    (d) If, subsequent to the granting of the petition for foreign 
rights, the petitioner requests and designates additional countries in 
which it wishes to secure patents, the Chairperson may recommend such 
request, in whole or in part, without further action by the Board.

[52 FR 43748, Nov. 16, 1987, as amended at 80 FR 19199, Apr. 10, 2015]



Sec.  1245.107  Reservations.

    (a) License to the Government. Any invention for which waiver of 
domestic or foreign rights has been granted under this subpart shall be 
subject to the reservation by the Administrator of an irrevocable, 
nonexclusive, nontransferable, royalty-free license for the practice of 
the invention throughout the world by or on behalf of the United States 
or any foreign government pursuant to any treaty or agreement with the 
United States.
    (b) March-in rights. For any invention for which waiver of rights 
has been granted under this subpart, NASA has the same right as set 
forth in 35 U.S.C. 203 and 210, with the procedures set forth in Sec.  
1245.117 and 37 CFR 401.6, to require the contractor, an assignee, or 
exclusive licensee of the invention to grant a nonexclusive, partially 
exclusive, or exclusive license in any field of use to a responsible 
applicant or applicants, upon terms that are reasonable under the 
circumstances, and if the contractor, assignee, or exclusive licensee 
refuses such a request, NASA

[[Page 150]]

has the right to grant such a license itself if NASA determines that:
    (1) Such action is necessary because the contractor or assignee has 
not taken, or is not expected to take within a reasonable time, 
effective steps to achieve practical application of the invention in 
such field of use;
    (2) Such action is necessary to alleviate health or safety needs 
which are not reasonably satisfied by the contractor, assignee, or their 
licensees;
    (3) Such action is necessary to meet requirements for public use 
specified by Federal regulations and such requirements are not 
reasonably satisfied by the contractor, assignee, or licensees; or
    (4) Such action is necessary because the agreement required by the 
``Preference for United States industry'' has not been obtained or 
waived or because a licensee of the exclusive right to use or sell any 
invention in the United States is in breach of such agreement.
    (c) Additional reservations. In the event one or more of the 
situations set forth in Sec.  1245.104 (b)(1) through (b)(3) exist, the 
Board may determine to recommend partial grant of the waiver request 
(rather than denial) by making the grant subject to additional 
reservations (than those set forth in (a) and (b) of this section) to 
the extent necessary to address the particular situation. Such 
additional reservations may include, but not be limited to, field-of-use 
or terrestrial-use limitations, or additions to the march-in rights.

[52 FR 43748, Nov. 16, 1987, as amended at 80 FR 19199, Apr. 10, 2015]



Sec.  1245.108  License to contractor.

    (a) Each contractor reporting an invention is granted a revocable, 
nonexclusive, royalty-free license in each patent application filed in 
any country on the invention and in any resulting patent in which the 
Government acquires title. The license extends to the contractor's 
domestic subsidiaries and affiliates, if any, within the corporate 
structure of which the contractor is a party and includes the right to 
grant sublicenses of the same scope to the extent the contractor was 
legally obligated to do so at the time the contract was awarded. The 
license and right is transferable only with the approval of the 
Administrator except when transferred to the successor of that part of 
the contractor's business to which the invention pertains.
    (b) The contractor's domestic license may be revoked or modified by 
the Administrator to the extent necessary to achieve expeditious 
practical application of the invention pursuant to an application for an 
exclusive license submitted in accordance with the Licensing of 
Government-Owned Inventions (37 CFR part 404). This license will not be 
revoked in that field of use and/or the geographical areas in which the 
contractor has achieved practical application and continues to make the 
benefits of the invention available to the public on reasonable terms. 
The license in any foreign country may be revoked or modified at the 
discretion of the Administrator to the extent the contractor, its 
licensees, or its domestic subsidiaries or affiliates have failed to 
achieve practical application in that foreign country.
    (c) Before revocation or modification of the license, the contractor 
will be provided a written notice of the Administrator's intention to 
revoke or modify the license, and the contractor will be allowed 30 days 
(or any other time as may be allowed by the Administrator for good cause 
shown by the contractor) after the notice to show cause why the license 
should not be revoked or modified. The contractor shall have the right 
to appeal, in accordance with applicable regulations in 37 CFR part 404, 
any decision concerning the revocation or modification of its license.

[52 FR 43748, Nov. 16, 1987, as amended at 80 FR 19199, Apr. 10, 2015]



Sec.  1245.109  Assignment of title to NASA.

    (a) The instrument of waiver set forth in Sec.  1245.115(c) shall be 
voided by NASA with respect to the domestic title to any invention for 
which a patent application has not been filed within 1 year (or a 
reasonable time thereafter for good cause shown) from notification to 
NASA of election of title, as required by Sec.  1245.104(c)(2), for an 
advanced waiver pursuant to Sec.  1245.104, or within 1 year from the 
granting of a waiver for an individual invention granted pursuant to 
Sec.  1245.105.

[[Page 151]]

    (b) The instrument of waiver set forth in Sec.  1245.115(c) shall be 
voided by NASA with respect to title in any foreign country for which 
waiver has been granted pursuant to Sec.  1245.106, if a patent 
application has not been filed in that country (or in the European 
Patent Office or under the Patent Cooperation Treaty and that country 
designated) within either 10 months (or a reasonable time thereafter for 
good cause shown) from the date a corresponding U.S. patent application 
has been filed or 6 months (or a reasonable time thereafter for good 
cause shown) from the date a license is granted by the Commissioner of 
Patents and Trademarks to file foreign patent applications where such 
filing has been prohibited by a Secrecy Order.
    (c) In any country in which the waiver recipient decides not to 
continue prosecution of any application, to pay maintenance fees on, or 
defend in reexamination or opposition proceedings on a patent on a 
waived invention, the waiver recipient shall notify the patent 
representative within sufficient time for NASA to continue prosecution, 
pay the maintenance fee or defend the reexamination or opposition, and 
upon written request, convey title to NASA and execute all papers 
necessary for NASA to proceed with the appropriate action.



Sec.  1245.110  Content of petitions.

    (a) Each request for waiver of domestic or foreign rights under 
Sec.  1245.104, Sec.  1245.105, or Sec.  1245.106 shall be by petition 
to the Administrator and shall include:
    (1) An identification of the petitioner, its place of business, and 
address;
    (2) If the petitioner is represented by counsel, the name, address, 
and telephone number of the counsel;
    (3) A citation to the section (Sec.  1245.104, Sec.  1245.105, or 
Sec.  1245.106) under which the petition is submitted, the nature and 
extent of the rights requested, and a positive statement that waiver of 
rights under the cited section is being requested;
    (4) If the petitioner is an employee inventor of the contractor, a 
statement from the contractor that the contractor does not object to 
this petition.
    (5) Information identifying the proposed contract or resulting 
contract, if any;
    (6) A designation of the country or countries, the United States of 
America and/or foreign, in which waiver of title is requested;
    (7) A copy of the invention disclosure if the request is for an 
individual identified invention (under Sec.  1245.105);
    (8) The name, address, and telephone number of the party with whom 
the Board is to communicate when the request is acted upon;
    (9) Whether the petitioner is an entity of or under the control of a 
foreign government;
    (10) The signature of the petitioner or its authorized 
representative; and
    (11) The date of the petition.
    (b) Advance waiver petitions shall also identify the invention(s) 
and/or class(es) of inventions that the Contractor believes will be made 
under the contract and for which waiver of rights is being requested, in 
accordance with Sec.  1245.104(c)(2).
    (c) No specific forms need be used. Requests for advanced waiver 
should, preferably, be included with the proposal, but in any event in 
advance of negotiations.
    (d) Petitions for waiver under contracts funded by another agency. 
The content of the petitions for waiver of title to inventions made 
under contracts awarded by NASA on behalf of the Department of Energy 
under Sec.  1245.103(c) shall follow the procedures and form prescribed 
by and shall be acted on by that agency. Petitions under contracts 
awarded by NASA on behalf of other agencies will be coordinated with the 
agency before action is taken by the Board.

[52 FR 43748, Nov. 16, 1987, as amended at 80 FR 19199, Apr. 10, 2015]



Sec.  1245.111  Submission of petitions.

    (a) Petitions for advance waiver of domestic rights under Sec.  
1245.104 or for advance waiver of foreign rights under Sec.  1245.106 
presented prior to contract execution, must be submitted to the 
contracting officer. Any petition submitted by a prospective contractor 
and selected for negotiation of a contract will be processed and 
forwarded to the

[[Page 152]]

Board for consideration. All other petitions will be submitted to the 
patent representative designated in the contract for processing prior to 
forwarding to the Board.
    (b) A copy of any waiver petitions submitted under Sec.  1245.103(c) 
should be forwarded to the appropriate NASA field installation patent 
counsel, if not supplied earlier, for (1) transmittal to the Department 
of Energy for processing by that agency, or (2) coordination with other 
agencies, as applicable.



Sec.  1245.112  Notice of proposed Board action and reconsideration.

    (a) Notice. Except as provided by Sec.  1245.104(d), the Board will 
notify the petitioner, through the contracting officer, with respect to 
petitions for advance waiver prior to contract execution, and directly 
to the petitioner for all other petitions:
    (1) When it proposes to recommend to the Administrator that the 
petition be:
    (i) Granted in an extent different from that requested; or
    (ii) Denied.
    (2) Of the reasons for the recommended action adverse to or 
different from the waiver of rights requested by the petitioner.
    (b) Request for reconsideration and statements required. (1) If, 
under paragraph (a) of this section, the Board notifies the petitioner 
that the Board proposes to recommend action adverse to or different from 
the waiver requested, the petitioner may, within the period as the Board 
may set, but not less than 15 days from the notification, request 
reconsideration by the Board.
    (2) If reconsideration has been requested within the prescribed 
time, the petitioner shall, within 30 days from the date of the request 
for reconsideration, or within any other time as the Board may set, file 
its statement setting forth the points, authorities, arguments, and any 
additional material on which it relies.
    (3) Upon filing of the reconsideration statement by the petitioner, 
the petition will be assigned for reconsideration by the Board upon the 
contents of the petition, the record, and the reconsideration statement 
submitted by the petitioner.
    (4) The Board, after its reconsideration, will promptly notify the 
petitioner of its proposed recommendation to the Administrator. If the 
Board's proposed action is adverse to, or different from, the waiver 
requested, the petitioner may request an oral hearing within the time as 
the Board has set.

[52 FR 43748, Nov. 16, 1987, as amended at 80 FR 19199, Apr. 10, 2015]



Sec.  1245.113  Hearing procedure.

    (a) If the petitioner requests an oral hearing within the time set, 
under Sec.  1245.112(b)(4), the Board shall set the time and place for 
the hearing and shall notify the petitioner.
    (b) Oral hearings held by the Board shall be open to the public and 
shall be held in accordance with the following procedures:
    (1) Oral hearings shall be conducted in an informal manner, with the 
objective of providing the petitioner with a full opportunity to present 
facts and arguments in support of the petition. Evidence may be 
presented through means of witnesses, exhibits, and visual aids as are 
arranged for by the petitioner. Petitioner may be represented by any 
person including its attorney. While proceedings will be ex parte, 
members of the Board and its counsel may address questions to witnesses 
called by the petitioner, and the Board may, at its option, enlist the 
aid of technical advisors or expert witnesses. Any person present at the 
hearing may make a statement for the record.
    (2) A transcript or equivalent record of the proceeding shall be 
arranged for by the Board. The petitioner shall submit for the record a 
copy of any exhibit or visual aid utilized during the hearing.



Sec.  1245.114  Findings and recommendations of the Board.

    (a) Findings of the Board. The Board shall consider the petition, 
the NASA contract, if relevant, the goals cited in Sec.  1245.103(a), 
the effect of the waiver on the objectives of the related NASA programs, 
and any other available facts and information presented to the Board by 
an interested party. The Board shall document its findings.
    (b) Recommendation of the Board. (1) Except as provided in Sec.  
1245.104(d), after

[[Page 153]]

making the findings of fact, the Board shall formulate its proposed 
recommendation to the Administrator as to the grant of waiver as 
requested, the grant of waiver upon terms other than as requested, or 
denial of waiver.
    (2) If the Board proposes to recommend, initially or upon 
reconsideration or after oral hearing, that the petition be granted in 
the extent requested or, in other cases, where the petitioner does not 
request reconsideration or a hearing during the period set for the 
action or informs the Board that the action will not be requested, or 
fails to file the required statements within the prescribed time, the 
Board shall transmit the petition, a summary record of hearing 
proceedings, if applicable, its findings of fact, and its recommendation 
to the Administrator.



Sec.  1245.115  Action by the Administrator.

    (a) After receiving the transmittal from the Board, the 
Administrator shall determine, in accordance with the policy of Sec.  
1245.103, whether or not to grant any petition for waiver of rights to 
the petitioner.
    (b) In the event of denial of the petition by the Administrator, a 
written notice of such denial will be promptly transmitted by the Board 
to the petitioner. The written notice will be accompanied with a 
statement of the grounds for denial.
    (c) If the waiver is granted by the Administrator, the petitioner 
shall be sent for execution, an instrument of waiver confirmatory of the 
conditions and reservations of the waiver grant. The petitioner shall 
promptly return the executed copy of the instrument of waiver to the 
Chairperson.



Sec.  1245.116  Miscellaneous provisions.

    (a) Filing of patent applications and reimbursement of costs. In 
order to protect the interests of the Government and the petitioner in 
inventions, a petitioner may file United States patent applications for 
such inventions prior to the Administrator's determination on a petition 
for waiver. If an application on an identified invention is filed during 
the pendency of the petition, or within 60 days prior to the receipt of 
a petition, NASA will reimburse the petitioner for any reasonable costs 
of the filing and patent prosecution that may have occurred, provided:
    (1) Similar patent filing and prosecution costs are not normally 
reimbursed to the petitioner as direct or indirect costs chargeable to 
the Government contracts;
    (2) The petition is ultimately denied with respect to domestic 
rights, or with respect to foreign and domestic rights, if both are 
requested, and
    (3) Prior to reimbursement, petitioner assigns the application to 
the United States of America as represented by the Administrator of the 
National Aeronautics and Space Administration.
    (b) Statement of Government rights. The waiver recipient shall 
include, within the specification of any United States patent 
application and any patent issuing thereon for a waived invention, the 
following statement:
    The invention described herein was made in the performance of work 
under NASA Contract No. lll, and is subject to the provisions of Section 
20135 of the National Aeronautics and Space Act (51 U.S.C. Chapter 201).
    (c) License to the Government. The waiver recipient shall return to 
NASA a duly executed and approved license to the Government (which will 
be prepared by the Government) fully confirming of all the rights, 
domestic and foreign, to which the Government is entitled.
    (d) Patent filing and issuance information. The waiver recipient 
shall furnish to either the Chairperson or the patent representative, 
the filing date, serial number and title, and upon request, a copy of 
any domestic or foreign patent application including an English language 
version if filed in a language other than English, and a copy of the 
patent or patent number and issue date, for any waived invention.
    (e) Transfer of rights. The waiver recipient shall notify the 
Chairperson prior to any transfer of principal rights in any waived 
invention to any party. Such transfer shall be subject to all rights 
reserved by the Government, and all obligations of the waiver recipient, 
as set forth in this subpart.

[[Page 154]]

    (f) Utilization reports. (1) The waiver recipient shall provide to 
the Chairperson upon request, and no more frequently than annually, 
reports on the utilization of a waived invention or on efforts at 
obtaining such utilization being made by the waiver recipient or its 
licensees or assigns. Such reports shall include information regarding 
the status of the development, date of first commercial sale or use, and 
such other data and information as the Chairperson may reasonably 
specify. No utilization reports need be submitted after the term of the 
patent.
    (2) Such reports on the utilization of a waived invention, as well 
as information on the utilization or efforts at obtaining utilization 
obtained as part of a march-in proceeding under Sec.  1245.117, shall be 
treated by NASA as commercial and financial information obtained from a 
person and privileged and confidential and not subject to disclosure 
under 5 U.S.C. 552.
    (g) Communications. Unless otherwise specifically set forth in this 
subpart, all communications relating to waived inventions, and all 
information and documents required to be submitted to NASA in this 
subpart, shall be furnished to the patent representative designated in 
the contract under which the waived invention was made.

(Recordkeeping and reporting requirements contained in paragraph (f) 
were approved by the Office of Management and Budget under control 
number 2700-0050)

[52 FR 43748, Nov. 16, 1987, as amended at 80 FR 19199, Apr. 10, 2015]



Sec.  1245.117  March-in and waiver revocation procedures.

    (a) The exercise of march-in procedures shall be in conformance with 
35 U.S.C. 203 and the applicable provisions of 37 CFR 401.6, entitled 
``Exercise of march-in rights for inventions made by nonprofit 
organizations and small business firms.''
    (b) Whenever NASA receives information that it believes might 
warrant the exercise of march-in rights, before initiating any march-in 
proceeding, it shall notify the waiver recipient in writing of the 
information and request informal written or oral comments from the 
waiver recipient as well as information relevant to the matter. In the 
absence of any comments from the waiver recipient within 30 days, NASA 
may, at its discretion, proceed with the procedures set forth in 37 CFR 
401.6. If a comment is received within 30 days, or later if NASA has not 
initiated the procedures, then NASA shall, within 60 days after it 
receives the comment, either initiate the procedures or notify the 
waiver recipient, in writing, that it will not pursue march-in rights on 
the basis of the available information.
    (c) If march-in procedures are to be initiated, the Administrator of 
NASA, or designee, shall undertake or refer the matter for fact finding 
to the NASA Board of Contract Appeals (BCA) and its Chairperson.
    (d) Fact-finding shall be conducted by the NASA BCA and its 
Chairperson in accordance with its procedures that are consistent with 
the procedures set forth in 37 CFR 401.6. Any portion of the march-in 
proceeding, including a fact-finding hearing that involves testimony or 
evidence relating to the utilization or efforts at obtaining utilization 
that are being made by the waiver recipient, its assignee, or licensees 
shall be closed to the public, including potential licensees. In 
accordance with 35 U.S.C. 202(c)(5), NASA shall not disclose any such 
information obtained during a march-in proceeding to persons outside the 
Government except when such release is authorized by the waiver 
recipient (assignee or licensee).
    (e) The preparation of written findings of fact and recommended 
determination by the Chairperson of the NASA BCA and the determination 
by the Administrator, or designee, of NASA shall be in accordance with 
37 CFR 401.6.
    (f) NASA may, at any time, terminate a march-in proceeding if it is 
satisfied that it does not wish to exercise march-in rights.

[52 FR 43748, Nov. 16, 1987, as amended at 80 FR 19199, Apr. 10, 2015]



Sec.  1245.118  Record of decisions.

    The findings of fact and recommendations made to the Administrator 
by the Board with respect to each petition for waiver shall be recorded 
by the Board and be available to the public.

[[Page 155]]



         Subpart 2_Claims for Patent and Copyright Infringement

    Authority: 51 U.S.C. 20112-20113; 22 U.S.C. 2356; 35 U.S.C. 181-188 
and 286; and 28 U.S.C. 1498.

    Source: 77 FR 14687, Mar. 13, 2012, unless otherwise noted.



Sec.  1245.200  Purpose.

    The purpose of this subpart is to set forth policies and procedures 
for the filing and disposition of claims of infringement of privately 
owned rights in patented inventions or copyrighted works asserted 
against NASA.



Sec.  1245.201  Objectives.

    Whenever a claim of infringement of privately owned rights in 
patented inventions or copyrighted works is asserted against NASA, all 
necessary steps shall be taken to investigate and to administratively 
settle, deny, or otherwise dispose of such claim prior to suit against 
the United States. The General Counsel, or designee, is authorized to 
investigate, settle, deny, or otherwise dispose of all claims of patent 
and copyright infringement, pursuant to the above-cited statutory 
authority.



Sec.  1245.202  Contents of communication initiating claim.

    (a) Requirements for claim. A patent or copyright infringement claim 
for compensation, asserted against the United States as represented by 
NASA under any of the applicable statutes cited above, must be actually 
communicated to and received by an organization, office, or within a 
NASA Center. Claims must be in writing and must include the following:
    (1) An allegation of infringement.
    (2) A request for compensation, either expressed or implied.
    (3) A citation to the patent(s) or copyright(s) alleged to be 
infringed.
    (4) In the case of a patent infringement claim, a sufficient 
designation to permit identification of the accused subject matter (e.g. 
article(s) or process(es)) alleged to infringe the patent(s), giving the 
commercial designation, if known to the claimant, or, in the case of a 
copyright infringement claim, the accused subject matter (e.g. act(s) or 
work(s)) alleged to infringe the copyright.
    (5) In the case of a patent infringement claim, a designation of at 
least one claim of each patent alleged to be infringed or, in the case 
of a copyright infringement claim, a copy of each work alleged to be 
infringed.
    (6) As an alternative to paragraphs (a)(4) and (5) of this section, 
certification that the claimant has made a bona fide attempt to 
determine the accused subject matter, which is alleged to infringe the 
patent(s), or the accused subject matter alleged to infringe the 
copyright(s), but was unable to do so, giving reasons and stating a 
reasonable basis for the claimant's belief that the patent(s) or 
copyright(s) is being infringed.
    (b) Additional information for patent infringement claims. In 
addition to the information listed in paragraph (a) of this section, the 
following material and information generally are necessary in the course 
of processing a claim of patent infringement. Claimants are encouraged 
to furnish this information at the time of filing a claim to permit 
rapid processing and resolution of the claim.
    (1) A copy of the asserted patent(s) and identification of all 
claims of the patent(s) alleged to be infringed.
    (2) Identification of all procurements known to the claimants that 
involve the accused item(s) or process(es), including the identity of 
the vendor(s) or contractor(s) and the Government acquisition activity 
or activities.
    (3) A detailed identification and description of the accused 
article(s) or process(es) used or acquired by the Government, 
particularly where the article(s) or process(es) relate to a 
component(s) or subcomponent(s) of an item acquired, and an element-by-
element comparison of representative claim(s) with the accused 
article(s) or process(es). If available, the identification and 
description should include documentation and drawings to illustrate the 
accused article(s) or process(es) in sufficient detail to enable 
determining whether the claim(s) of the asserted patent(s) read on the 
accused article(s) or process(es).

[[Page 156]]

    (4) Names and addresses of all past and present licensees under the 
patent(s) and copies of all license agreements and releases involving 
the patent(s). In addition, an identification of all assignees of the 
patent(s).
    (5) A list of all persons to whom notices of infringement have been 
sent, including all departments and agencies of the Government, and a 
statement of the status or ultimate disposition of each.
    (6) A brief description of all litigation involving the patent(s) 
which was initiated at any time prior to the claim being filed and their 
present status. This includes any defenses or counterclaims made and 
positions maintained by opposing parties regarding invalidity of the 
patent(s).
    (7) A description of Government employment or military service, if 
any, by the inventor(s) or patent owner(s) including a statement from 
the inventor(s) or patent owner(s) certifying whether the invention 
claimed in the patents was conceived or reduced to practice, in part or 
in whole, during Government employment and whether such inventor(s) or 
owner(s) occupied any position from which such inventor(s) or owner(s) 
was capable of ordering, influencing, or inducing use of the invention 
by the Government.
    (8) A list of all contract(s) between the Government and 
inventor(s), patent owner(s), or anyone in privity with the patent 
owner(s), under which work relating to the patented subject matter was 
performed.
    (9) Evidence of title to the asserted patent(s) or other right to 
make the claim.
    (10) A copy of the United States Patent and Trademark Office (USPTO) 
file history of each patent, if it is available to the claimant. 
Indicate whether the patent has been the subject of any interference 
proceedings, certification of correction request, reexamination, or 
reissue proceedings at the USPTO, or lapsed for failure to pay any 
maintenance fee. In addition, the status of all corresponding foreign 
patents and patent applications and full copies of the same.
    (11) Pertinent prior art known to the claimant not contained in the 
USPTO file, for example, publications and foreign prior art. In addition 
to the foregoing, if claimant can provide a statement that the 
investigation may be limited to the specifically identified accused 
article(s) or process(es) or to a specific acquisition (e.g. identified 
contract(s)), it may speed disposition of the claim. Claimants are also 
encouraged to provide information on any ancillary matters that may have 
a bearing on validity or infringement.
    (c) Denial for refusal to provide information. In the course of 
investigating a claim, it may become necessary for NASA to request 
information in the control and custody of the claimant that is relevant 
to the disposition of the claim. Failure of the claimant to respond to a 
request for such information shall be sufficient reason alone for 
denying a claim.



Sec.  1245.203  Incomplete notice of infringement.

    (a) If a communication alleging patent infringement or copyright 
infringement is received that does not meet the requirements set forth 
in Sec.  1245.202(a), the sender shall be advised in writing by the 
Agency Counsel for Intellectual Property:
    (1) That the claim for infringement has not been satisfactorily 
presented; and
    (2) Of the elements necessary to establish a claim.
    (b) A communication, in which no infringement is alleged in 
accordance with Sec.  1245.202(a), such as a mere proffer of a license, 
shall not be considered a claim for infringement.



Sec.  1245.204  Indirect notice of infringement.

    A communication by a patent or copyright owner to addressees other 
than those specified in Sec.  1245.202(a), such as NASA contractors, 
including contractors operating Government-owned facilities, alleging 
that acts of infringement have occurred in the performance of a 
Government contract, grant, or other arrangement, shall not be 
considered a claim within the meaning of Sec.  1245.202(a) until such 
communication meets the requirements specified therein.

[[Page 157]]



Sec.  1245.205  Processing of administrative claims.

    (a) Filing and forwarding of claims. All communications regarding 
claims should be addressed to: Agency Counsel for Intellectual Property, 
Office of the General Counsel, National Aeronautics and Space 
Administration, Washington, DC 20546-0001. If any communication relating 
to a claim or possible claim of patent or copyright infringement is 
received by an agency, organization, office, or field installation 
within NASA, it shall be forwarded to the Agency Counsel for 
Intellectual Property.
    (b) Disposition and notification. The General Counsel, or designee, 
shall investigate and administratively settle, deny, or otherwise 
dispose of each claim. When a claim is denied, the Agency shall so 
notify the claimant or the claimant's authorized representative and 
provide the claimant with the reasons for denying the claim. Disclosure 
of information shall be subject to applicable statutes, regulations, and 
directives pertaining to security, access to official records, and the 
rights of others.
    (c) Termination of claims. If, while an administrative claim for 
patent or copyright infringement is pending against NASA, the claimant 
brings suit for patent or copyright infringement against the United 
States in the Court of Federal Claims based on the same facts or 
transactions as the administrative claim, the administrative claim shall 
thereupon be automatically dismissed, with no further action being 
required of NASA.



                  Subpart 3_NASA Foreign Patent Program

    Authority: 51 U.S.C. 20135(g) and E.O. 9865, 12 FR 3907, 3 CFR, 
1943-1948 Comp., p. 651, and E.O. 10096, 15 FR 389, 3 CFR, 1949-1953 
Comp., p. 292.

    Source: 30 FR 1844, Feb. 10, 1965, unless otherwise noted.



Sec.  1245.300  Scope of subpart.

    This subpart establishes policy, criteria, and procedures concerning 
the NASA Foreign Patent Program.



Sec.  1245.301  Inventions under NASA contracts.

    (a) Pursuant to Sec.  1245.113, NASA has facilitated the filing of 
foreign patent applications by contractors by providing for the granting 
of a waiver of title to a contractor to any identified invention in 
countries other than the United States in the event the Administrator of 
NASA does not desire to file a patent application covering the invention 
in such countries. However, any such waiver is subject to the 
reservation by the Administrator of the license required to be retained 
by NASA under 51 U.S.C. 20135(g) of the National Aeronautics and Space 
Act, as amended.
    (b) Conversely, where the principal rights in an invention made 
under a NASA contract remain in the contractor by virtue of waiver, 
Sec.  1245.19(a)(5) provides that the contractor, upon written request, 
will convey to the Administrator of NASA the entire right, title, and 
interest in the invention in any foreign country in which the contractor 
has elected not to file a patent application.
    (c) With respect to inventions in which NASA has acquired and 
retained the principal rights, NASA will file patent applications in 
countries other than the United States on inventions selected in 
accordance with the criteria set forth in Sec.  1245.303.

[30 FR 1844, Feb. 10, 1965, as amended at 80 FR 42029, July 16, 2015]



Sec.  1245.302  Inventions by NASA employees.

    (a) The foreign rights of NASA and of the NASA employee making an 
invention are determinable in accordance with Executive Orders 9865 and 
10096 and Government Patent Board Administrative Order No. 6 issued 
pursuant thereto.
    (b) Where NASA acquires an assignment of the domestic rights in an 
invention made by a NASA employee, NASA will also obtain an option to 
acquire the foreign rights, including the right to file foreign patent 
applications on the invention.
    (c) Where NASA is entitled to only a governmental license in the 
invention, the principal foreign rights in the invention are retained by 
the employee

[[Page 158]]

unless he agrees in writing to assign such rights to NASA.



Sec.  1245.303  Criteria.

    The following categories of inventions will be considered for the 
filing of patent applications by NASA in countries other than the United 
States:
    (a) Inventions which may be utilized abroad in governmental programs 
of the United States.
    (b) Inventions which may be exploited abroad in the public interest 
by license to U.S. nationals or others.
    (c) Inventions which may be utilized in applications type 
satellites, such as communications and meteorological satellites.
    (d) Inventions considered to be basic discoveries or of major 
significance in an art.
    (e) Inventions in fields which directly concern the public health or 
public welfare.



Sec.  1245.304  Procedures.

    (a) The patent counsel at each NASA field installation will review 
all invention disclosures at the time of docketing and will expedite the 
processing and preparation of a U.S. patent application, if justified, 
on those inventions which appear to fall within the criteria set forth 
in Sec.  1245.303. The patent counsel will make a recommendation as to 
whether or not foreign patent coverage appears justified at the time of 
assigning a priority evaluation to a disclosed invention.
    (b) Preparation and filing of patent applications in foreign 
countries will be subject to approval of the Assistant General Counsel 
for Patent Matters, NASA Headquarters.
    (c) The Office of Assistant General Counsel for Patent Matters will 
budget for and administer the filing of all patent applications in 
countries other than the United States.
    (d) Coordination with other interested NASA offices will be 
undertaken by the Assistant General Counsel for Patent Matters.

Subparts 4-5 [Reserved]



PART 1250_NONDISCRIMINATION IN FEDERALLY-ASSISTED PROGRAMS OF 
NASA_EFFECTUATION OF TITLE VI OF THE CIVIL RIGHTS ACT OF 1964
--Table of Contents



Sec.
1250.100 Purpose.
1250.101 Applicability.
1250.102 Definitions.
1250.103 Discrimination prohibited.
1250.103-1 General.
1250.103-2 Specific discriminatory acts prohibited.
1250.103-3 Employment practices.
1250.103-4 Illustrative applications.
1250.103-5 Special benefits.
1250.103-6 Medical emergencies.
1250.104 Assurances.
1250-105 Compliance information.
1250.106 Conduct of investigations.
1250.107 Procedure for effecting compliance.
1250.108 Hearings.
1250.109 Decisions and notices.
1250.110 Judicial review.
1250.111 Effect on other regulations; forms and instructions.
1250.112 Relationship with other officials.

Appendix A to Part 1250--NASA Federal Financial Assistance to Which This 
          Part Applies

    Authority: Sec. 602, 78 Stat. 252, 42 U.S.C. 2000d-1; and the laws 
listed in appendix A to this part.

    Source: 30 FR 301, Jan. 9, 1965, unless otherwise noted.



Sec.  1250.100  Purpose.

    The purpose of this part is to effectuate the provisions of Title VI 
of the Civil Rights Act of 1964 (hereafter referred to as ``the Act'') 
to the end that no person in the United States shall, on the ground of 
race, color or national origin, be excluded from participation in, be 
denied the benefits of, or be otherwise subjected to discrimination 
under any program or activity receiving Federal financial assistance 
from the National Aeronautics and Space Administration, hereinafter 
referred to as NASA.



Sec.  1250.101  Applicability.

    (a) Covered programs. (1) This part applies to any program for which 
Federal financial assistance is authorized under a law administered by 
NASA, including the types of Federal financial assistance listed in 
appendix A to this part.

[[Page 159]]

The fact that a type of Federal assistance is not listed in appendix A 
shall not mean, if Title VI of the Act is otherwise applicable, that a 
program is not covered. Other types of Federal financial assistance 
under statutes now in force or hereafter enacted may be added to 
appendix A by notice published in the Federal Register.
    (2) This part applies to money paid, property transferred, or other 
Federal financial assistance extended after the effective date of this 
part pursuant to an application approved prior to such effective date.
    (b) Excluded activities. This part does not apply to (1) any Federal 
financial assistance by way of insurance or guaranty contracts, (2) 
money paid, property transferred, or other assistance extended before 
the effective date of this part, except as provided in paragraph (a) of 
this section, (3) any assistance to any individual who is the ultimate 
beneficiary, (4) any employment practice, under any such program, of any 
employer, employment agency, or labor organization, except as provided 
in Sec.  1250.103-3, (5) contracts not covered in the types of Federal 
financial assistance listed in appendix A, or (6) advances, V-loans, and 
other financial assistance made incident to NASA procurements not 
covered in the types of Federal financial assistance listed in appendix 
A.

[30 FR 301, Jan. 9, 1965, as amended at 68 FR 51350, Aug. 26, 2003]



Sec.  1250.102  Definitions.

    As used in this part--
    (a) Administrator means the Administrator of the NASA.
    (b) Applicable means one who submits an application, request, 
proposal, or plan required to be approved by a responsible NASA 
official, or by a primary recipient, as a condition to eligibility for 
Federal financial assistance; and the term application means such an 
application, request, proposal or plan.
    (c) Facility includes all or any portion of structures, equipment, 
or other real or personal property or interests therein, and the 
provision of facilities includes the construction, expansion, 
renovation, remodeling, alteration or acquisition of facilities.
    (d) Federal financial assistance includes (1) grants and loans of 
Federal funds, (2) the grant or donation of Federal property and 
interests in property, (3) the detail of Federal personnel, (4) the sale 
and lease of, and the permission to use (on other than a casual or 
transient basis), Federal property or any interest in such property 
without consideration or at a nominal consideration, or at a 
consideration which is reduced for the purpose of assisting the 
recipient, or in recognition of the public interest to be served by such 
sale or lease to the recipient, and (5) any Federal agreement, 
arrangement, or other contract which has as one of its purposes the 
provision of assistance.
    (e) NASA means the National Aeronautics and Space Administration.
    (f) Primary recipient means any recipient which is authorized or 
required to extend Federal financial assistance to another recipient.
    (g) Principal Compliance Officer means the Director, Equal 
Employment Opportunity Office, Office of Organization and Management, 
NASA Headquarters, or any successor officer to whom the Administrator 
should delegate authority to perform the functions assigned to the 
Principal Compliance Officer by this part.
    (h) Program or activity and program mean all of the operations of 
any entity described in paragraphs (h)(1) through (4) of this section, 
any part of which is extended Federal financial assistance:
    (1)(i) A department, agency, special purpose district, or other 
instrumentality of a State or of a local government; or
    (ii) The entity of such State or local government that distributes 
such assistance and each such department or agency (and each other State 
or local government entity) to which the assistance is extended, in the 
case of assistance to a State or local government;
    (2)(i) A college, university, or other postsecondary institution, or 
a public system of higher education; or
    (ii) A local educational agency (as defined in 20 U.S.C. 7801), 
system of vocational education, or other school system;

[[Page 160]]

    (3)(i) An entire corporation, partnership, or other private 
organization, or an entire sole proprietorship--
    (A) If assistance is extended to such corporation, partnership, 
private organization, or sole proprietorship as a whole; or
    (B) Which is principally engaged in the business of providing 
education, health care, housing, social services, or parks and 
recreation; or
    (ii) The entire plant or other comparable, geographically separate 
facility to which Federal financial assistance is extended, in the case 
of any other corporation, partnership, private organization, or sole 
proprietorship; or
    (4) Any other entity which is established by two or more of the 
entities described in paragraph (h)(1), (2), or (3) of this section.
    (i) Recipient means any State, political subdivision of any State, 
or instrumentality of any State or political subdivision, any public or 
private agency, institution, or organization, or other entity, or any 
individual, in any State, to whom Federal financial assistance is 
extended, directly or through another recipient, including any 
successor, assign, or transferee thereof, but such term does not include 
any ultimate beneficiary.
    (j) Responsible NASA official means:
    (1) The heads of Offices at NASA Headquarters responsible for making 
grants, and contracts of the kind listed in appendix A; and
    (2) Each Director of a field installation which makes or administers 
grants and contracts of the kind listed in appendix A, or any officer to 
whom he has delegated authority to act within the areas of 
responsibility assigned to him under this part.
    (k) United States means the States of the United States, the 
District of Columbia, Puerto Rico, the Virgin Islands, American Samoa, 
Guam, Wake Island, the Canal Zone, and the territories and possessions 
of the United States, and the term State means any one of the foregoing.

[30 FR 301, Jan. 9, 1965, as amended at 38 FR 17936, July 5, 1973; 68 FR 
51350, Aug. 26, 2003]



Sec.  1250.103  Discrimination prohibited.



Sec.  1250.103-1  General.

    No person in the United States shall, on the ground of race, color 
or national origin be excluded from participation in, be denied the 
benefits of, or be otherwise subjected to discrimination under any 
program to which this part applies.



Sec.  1250.103-2  Specific discriminatory acts prohibited.

    (a) A recipient to which this part applies may not, directly or 
through contractual or other arrangements, on ground of race, color, or 
national origin:
    (1) Deny an individual any service, financial aid, or other benefit 
provided under the program;
    (2) Provide any service, financial aid, or other benefit to an 
individual which is different, or is provided in a different manner, 
from that provided to others under the program;
    (3) In determining the site or location of facilities, a recipient 
or applicant may not make selections with the purpose or effect of 
excluding individuals from, denying them the benefits of, or subjecting 
them to discrimination under any program to which this regulation 
applies, on the grounds of race, color, or national origin; or with the 
purpose or effect of defeating or substantially impairing the 
accomplishment of the objectives of the Act or this regulation.
    (4) Subject an individual to segregation or separate treatment in 
any matter related to his receipt of any service, financial aid, or 
other benefit under the program;
    (5) Restrict an individual in any way in the enjoyment of any 
advantage or privilege enjoyed by others receiving any service, 
financial aid, or other benefit under the program;
    (6) Treat an individual differently from others in determining 
whether he satisfies any admission, enrollment, quota, eligibility, 
membership or other requirement or condition which individuals must meet 
in order to be provided any service, financial aid, or other benefit 
provided under the program;

[[Page 161]]

    (7) Deny an individual an opportunity to participate in the program 
through the provision of services or otherwise or afford him an 
opportunity to do so which is different from that afforded others under 
the program (including the opportunity to participate in the program as 
an employee but only to the extent set forth in Sec.  1250.103-3).
    (b) A recipient, in determining the types of services, financial 
aid, or other benefits, or facilities which will be provided under any 
such program, or the class of individuals to whom, or the situations in 
which, such services, financial aid, other benefits, or facilities will 
be provided under any such program, or the class of individuals to be 
afforded an opportunity to participate in any such program, may not, 
directly or through contractual or other arrangements, utilize criteria 
or methods of administration which have the effect of subjecting 
individuals to discrimination because of their race, color, or national 
origin, or have the effect of defeating or substantially impairing 
accomplishment of the objectives of the program as respects individuals 
of a particular race, color, or national origin.
    (c) As used in this section the services, financial aid, or other 
benefits provided under a program receiving Federal financial assistance 
shall be deemed to include any service, financial aid, or other benefit 
provided in or through a facility provided with the aid of Federal 
financial assistance.
    (d) A recipient may not take action that is calculated to bring 
about indirectly what this part forbids it to accomplish directly.
    (e) The enumeration of specific forms of prohibited discrimination 
in this section does not limit the generality of the prohibition in 
Sec.  1250.103-1. This regulation does not prohibit the consideration of 
race, color, or national origin if the purpose and effect are to remove 
or overcome the consequences of practices or impediments which have 
restricted the availability of, or participation in, the program or 
activity receiving Federal financial assistance, on the grounds of race, 
color, or national origin. Where previous discriminatory practices or 
usage tends, on the grounds of race, color, or national origin, to 
exclude individuals from participation in, to deny them the benefits of, 
or to subject them to discrimination under any program or activity to 
which this regulation applies the applicant or recipient has an 
obligation to take reasonable action to remove or overcome the 
consequences of the prior discriminatory practice or usage, and to 
accomplish the purpose of the Act.

[30 FR 301, Jan. 9, 1965, as amended at 38 FR 17936, July 5, 1973; 68 FR 
51350, Aug. 26, 2003]



Sec.  1250.103-3  Employment practices.

    (a) Where a primary objective of the Federal financial assistance to 
a program to which this part applies is to provide employment, a 
recipient may not directly or through contractual or other arrangements 
subject an individual to discrimination on the ground of race, color, or 
national origin in its employment practices under such program 
(including recruitment or recruitment advertising, employment, layoff or 
termination, upgrading, demotion, or transfer, rates of pay or other 
forms of compensation, and use of facilities), including programs where 
a primary objective of the Federal financial assistance is (1) to assist 
such individuals through employment to meet expenses incident to the 
commencement or continuation of their education or training, or (2) to 
provide work experience which contributes to the education or training 
of such individuals.
    (b) Employment opportunities provided in connection with any of the 
types of Federal financial assistance listed in appendix A, which 
opportunities are limited, or for which preference is given, to 
students, fellows, or other persons in training for the same or related 
employments, are programs of the kind described in paragraph (a)(1) and 
(2) of this section.
    (c) The requirements applicable to construction employment under any 
such program shall be those specified in or pursuant to Executive Order 
11246 or any Executive order which supersedes it.
    (d) Where a primary objective of the Federal financial assistance is 
not to provide employment, but discrimination on the grounds of race, 
color, or national origin in the employment

[[Page 162]]

practices of the recipient or other persons subject to the regulation 
tends, on the grounds of race, color, or national origin, to exclude 
individuals from participation in, to deny them the benefits of, or to 
subject them to discrimination under any program to which this 
regulation applies, the provisions of paragraph (a) of this section 
shall apply to the employment practices of the recipient or other 
persons subject to the regulation, to the extent necessary to assure 
equality of opportunity to, and nondiscriminatory treatment of, 
beneficiaries.

[30 FR 301, Jan. 9, 1965, as amended at 38 FR 17936, July 5, 1973; 68 FR 
51350, Aug. 26, 2003]



Sec.  1250.103-4  Illustrative applications.

    (a) In training grant services discrimination is forbidden in the 
selection or eligibility of individuals to be trained and in their 
treatment by the grantee during their training. In any case where 
selection is made from a predetermined group, such as the students in an 
institution, the group must have been selected without discrimination.
    (b) In a research or training grant to a university for activities 
to be conducted in a graduate school, discrimination in the admission 
and treatment of students in the graduate school is prohibited and the 
prohibition extends to the entire university.
    (c) Discrimination in the treatment of students or other trainees 
includes the prohibition of discrimination among the students or 
trainees in the availability or use of any academic, dormitory, eating, 
recreational, or other facilities of the grantee or other recipient.
    (d) In a research or training grant, discrimination is prohibited 
with respect to the availability of any educational activity and any 
provision of medical or other services and any financial aid to 
individuals incident to the grant.
    (e) Upon transfers of real or personal property for research or 
educational uses, discrimination is forbidden to the same extent as in 
the case of grants for the construction of facilities or the provision 
of equipment for like purposes.
    (f) In some situations even though past discriminatory practices 
have been abandoned, the consequences of such practices continue to 
impede the full availability of a benefit. If the efforts required of 
the applicant or recipient under Sec.  1250.105 to provide information 
as to the availability of the program or activity, and the rights of 
beneficiaries under this regulation, have failed to overcome these 
consequences, it will become necessary for such applicant or recipient 
to take additional steps to make the benefits fully available to racial 
and nationality groups previously subjected to discrimination. This 
action might take the form, for example, of special arrangements for 
obtaining referrals or making selections which will insure that groups 
previously subjected to discrimination are adequately served.
    (g) Even though an applicant or recipient has never used 
discriminatory policies, the services and benefits of the program or 
activity it administers may not in fact be equally available to some 
racial or nationality groups. In such circumstances an applicant or 
recipient may properly give special consideration to race, color, or 
national origin to make the benefits of its program more widely 
available to such groups, not then being adequately served. For example, 
where a university is not adequately serving members of a particular 
racial or nationality group, it may establish special recruitment 
policies to make its program better known and more readily available to 
such group, and take other steps to provide that group with more 
adequate service.

[30 FR 301, Jan. 9, 1965, as amended at 38 FR 17937, July 5, 1973; 68 FR 
51350, Aug. 26, 2003]



Sec.  1250.103-5  Special benefits.

    An individual shall not be deemed subjected to discrimination by 
reason of his exclusion from the benefits limited by Federal law to 
individuals of a particular race, color, or national origin different 
from his.

[30 FR 301, Jan. 9, 1965, as amended at 68 FR 51350, Aug. 26, 2003]

[[Page 163]]



Sec.  1250.103-6  Medical emergencies.

    Notwithstanding the provisions of Sec. Sec.  1250.103 to 1250.103-5, 
a recipient of Federal financial assistance shall not be deemed to have 
failed to comply with Sec.  1250.103-1, if immediate provision of a 
service or other benefit to an individual is necessary to prevent his 
death or serious impairment of his health, and such service or other 
benefit cannot be provided except by or through a medical institution 
which refuses or fails to comply with Sec.  1250.103-1.



Sec.  1250.104  Assurances.

    (a) General requirement. Every application for Federal financial 
assistance to which this part applies, and every application for Federal 
financial assistance to provide a facility shall, as a condition to its 
approval and the extension of any Federal financial assistance pursuant 
to the application, contain, be accompanied by, or identify and make 
reference to, an assurance that the program will be conducted or the 
facility operated in compliance with all requirements imposed by or 
pursuant to this part. If the assurance is not made a part of the 
application, the application shall identify the assurance which is 
applicable to the application. One assurance shall suffice for all 
applications of an applicant if the assurance complies with the 
conditions made applicable by this part to each such application for 
Federal financial assistance. Every assurance shall include provisions 
which give the United States a right to seek its judicial enforcement.
    (b) Duration of assurances. The period of time to be covered by the 
assurances required under this Sec.  1250.104 shall be as follows:
    (1) Real property. In the case of an application for Federal 
financial assistance for providing real property or structures thereon, 
the assurance shall obligate the recipient, or in the case of a 
subsequent transfer, the transferee, for the period during which the 
real property or structures are used for a purpose for which the Federal 
financial assistance is extended or for another purpose involving the 
provision of similar services or benefits.
    (2) Personal property. In the case of an application for Federal 
financial assistance for providing personal property, the assurance 
shall obligate the recipient for the period during which he retains 
ownership or possession of the property.
    (3) Other kinds of Federal financial assistance. In the case of an 
application for any other kind of Federal financial assistance, the 
assurance shall obligate the recipient for the period during which 
Federal financial assistance is extended pursuant to the application.
    (c) Assurances for research, training, or educational programs. (1) 
In the case of application by an institution of higher education or any 
other organization for Federal financial assistance for a program or 
activity which involves participation by students, fellows or trainees, 
including but not limited to assistance for research, training, or the 
provision of facilities, the assurance required by this Sec.  1250.104 
shall extend to admission practices and to all other practices relating 
to the treatment of students or other participants.
    (2) The assurances from such an applicant shall be applicable to the 
entire organization of the applicant.
    (d) Assurances for construction of facilities. In the case of 
assistance for the construction of a facility, or part thereof, the 
assurance shall extend to the entire facility and to facilities operated 
in connection therewith. In grants to assist in the construction of 
facilities for the provision of research, training, or educational 
services, assurances will be required that services will be provided 
without discrimination, to the same extent that discrimination would be 
forbidden as a condition of grants for the support of such services. 
Thus, as a condition of grants for the construction of academic, 
research or other facilities at institutions of higher education, 
assurances will be required that there will be no discrimination in the 
admission or treatment of students. Also, see paragraph (c) of this 
section for the requirement as to the applicability of the assurance to 
the applicant's organization.
    (e) Instrument effecting or recording transfers of real property. 
The instrument effecting or recording the transfer, shall contain a 
covenant running

[[Page 164]]

with the land assuring nondiscrimination for the period during which the 
real property is used for a purpose for which the Federal financial 
assistance is extended or for another purpose involving the provision of 
similar services or benefits. Where no transfer of property is involved, 
but property is improved with Federal financial assistance, the 
recipient shall agree to include such a covenant in any subsequent 
transfer of such property. Where the property is obtained from the 
Federal Government, such covenant may also include a condition coupled 
with a right to be reserved by NASA to revert title to the property in 
the event of a breach of the covenant where, in the discretion of the 
responsible NASA official, such a condition and right of reverter is 
appropriate to the statute under which the real property is obtained and 
to the nature of the grant and the grantee.
    (f) Assurances for transfer of surplus real property. Transfers of 
surplus property are subject to regulations issued by the Administrator 
of General Services (41 CFR 101-6.2).
    (g) Form of assurances. The responsible NASA officials shall specify 
the form of assurances required by this Sec.  1250.104 and the extent to 
which like assurances will be required by subgrantees, contractors and 
subcontractors, transferees, successors in interest, and other 
participants in the program.
    (h) Requests for proposals. Any request for proposals issued by NASA 
which relates to covered financial assistance listed in appendix A shall 
have set forth therein or have attached thereto the assurance prescribed 
in accordance with paragraph (g) of this section, and shall require that 
the proposer either include the assurance as a part of his signed 
proposal or identify and refer to an assurance already signed and 
submitted by the proposer.

[30 FR 301, Jan. 9, 1965, as amended at 38 FR 17937, July 5, 1973; 68 FR 
51350, Aug. 26, 2003]



Sec.  1250.105  Compliance information.

    (a) Cooperation and assistance. Each responsible NASA official shall 
to the fullest extent practicable seek the cooperation of recipients in 
obtaining compliance with this part and shall provide assistance and 
guidance to recipients to help them comply voluntarily with this part.
    (b) Compliance reports. Each recipient shall keep such records and 
submit to the Principal Compliance Officer or his designee timely, 
complete and accurate compliance reports at such times, and in such form 
and containing such information, as the Principal Compliance Officer or 
his designee may determine to be necessary to enable him to ascertain 
whether the recipient has complied or is complying with this part. In 
the case in which a primary recipient extends Federal financial 
assistance to any other recipient, such other recipient shall also 
submit such compliance reports to the primary recipient as may be 
necessary to enable the primary recipient to carry out its obligations 
under this part.
    (c) Access to sources of information. Each recipient shall permit 
access by the Principal Compliance Officer or his designee during normal 
business hours to such of its books, records, accounts and other sources 
of information, and its facilities as may be pertinent to ascertain 
compliance with this part. Where any information required of a recipient 
is in the exclusive possession of any other agency, institution or 
person and that agency, institution or person shall fail or refuse to 
furnish this information, the recipient shall so certify in its report 
and shall set forth what efforts it has made to obtain the information.
    (d) Information to beneficiaries and participants. Each recipient 
shall make available to participants, beneficiaries, and other 
interested persons such information regarding the provisions of this 
part and its applicability to the program for which the recipient 
receives Federal financial assistance, and make such information 
available to them in such manner, as the Principal Compliance Officer 
finds necessary to apprise such persons of the protection against 
discrimination assured them by the Act and this part.

[30 FR 301, Jan. 9, 1965, as amended at 68 FR 51350, Aug. 26, 2003]



Sec.  1250.106  Conduct of investigations.

    (a) Periodic compliance reviews. The responsible NASA official or 
his designee

[[Page 165]]

shall from time to time review the practices of recipients to determine 
whether they are complying with this part.
    (b) Complaints. Any person who believes himself or any specific 
class of individuals to be subjected to discrimination prohibited by 
this part may by himself or by a representative file with the Principal 
Compliance Officer or his designee a written complaint. A complaint must 
be filed not later than 90 days from the date of the alleged 
discrimination, unless the time for filing is extended by the Principal 
Compliance Officer or his designee.
    (c) Investigations. The Principal Compliance Officer or his designee 
will make a prompt investigation whenever a compliance review, report, 
complaint, or any other information indicates a possible failure to 
comply with this part. The investigation should include, where 
appropriate, a review of the pertinent practices and policies of the 
recipient, the circumstances under which the possible noncompliance with 
this part occurred, and other factors relevant to a determination as to 
whether the recipient has failed to comply with this part.
    (d) Resolution of matters. (1) If an investigation pursuant to 
paragraph (c) of this section indicates a failure to comply with this 
part, the Principal Compliance Officer or his designee will so inform 
the recipient and the matter will be resolved by informal means whenever 
possible. If it has been determined that the matter cannot be resolved 
by informal means, action will be taken as provided for in Sec.  
1250.107.
    (2) If an investigation does not warrant action pursuant to 
paragraph (d)(1) of this section, the responsible NASA official or his 
designee will so inform the recipient and the complainant, if any, in 
writing.
    (e) Intimidatory or retaliatory acts prohibited. No recipient or 
other person shall intimidate, threaten, coerce, or discriminate against 
any individual for the purpose of interfering with any right or 
privilege secured by section 601 of the Act or this part, or because he 
has made a complaint, testified, assisted, or participated in any manner 
in an investigation, proceeding, or hearing under this part. The 
identity of complainants shall be kept confidential except to the extent 
necessary to carry out the purposes of this part, including the conduct 
of any investigation, hearing, or judicial proceeding arising 
thereunder.



Sec.  1250.107  Procedure for effecting compliance.

    (a) General. If there appears to be a failure or threatened failure 
to comply with this part, and if the noncompliance or threatened 
noncompliance cannot be corrected by informal means, compliance with 
this part may be effected by the suspension or termination of or refusal 
to grant or to continue Federal financial assistance or by any other 
means authorized by law. Such other means may include, but are not 
limited to, (1) a reference to the Department of Justice with a 
recommendation that appropriate proceedings be brought to enforce any 
rights of the United States under any law of the United States 
(including other titles of the Act), or any assurance or other 
contractual undertaking, and (2) any applicable proceeding under State 
or local law.
    (b) Noncompliance with Sec.  1250.104. If an applicant fails or 
refuses to furnish an assurance required under Sec.  1250.104 or 
otherwise fails or refuses to comply with a requirement imposed by or 
pursuant to that section, Federal financial assistance may be refused in 
accordance with the procedures of paragraph (c) of this section. NASA 
shall not be obligated to provide assistance in such a case during the 
pendency of the administrative proceedings under such subsection except 
that NASA shall continue assistance during the pendency of such 
proceedings where such assistance is due and payable pursuant to an 
application therefor approved prior to the effective date of this part.
    (c) Termination of or refusal to grant or to continue Federal 
financial assistance. No order suspending, terminating or refusing to 
grant or continue Federal financial assistance shall become effective 
until (1) the responsible NASA official has advised the applicant or 
recipient of his failure to comply and has determined that compliance 
cannot be secured by voluntary means, (2) there has been an express 
finding on the

[[Page 166]]

record, after opportunity for hearing, of a failure by the applicant or 
recipient to comply with a requirement imposed by or pursuant to this 
part, (3) the action has been approved by the Administrator pursuant to 
Sec.  1250.109(e), and (4) the expiration of 30 days after the 
Administrator has filed with the committee of the House and the 
committee of the Senate having legislative jurisdiction over the program 
involved, a full written report of the circumstances and the grounds for 
such action. Any action to suspend or terminate or to refuse to grant or 
to continue Federal financial assistance shall be limited to the 
particular political entity, or part thereof, or other applicant or 
recipient as to whom such a finding has been made and shall be limited 
in its effect to the particular program, or part thereof, in which such 
noncompliance has been so found.
    (d) Other means authorized by law. No action to effect compliance by 
any other means authorized by law shall be taken until (1) the Principal 
Compliance Officer has determined that compliance cannot be secured by 
voluntary means, (2) the recipient or other person has been notified of 
its failure to comply and of the action to be taken to effect compliance 
and (3) the expiration of at least 10 days from the mailing of such 
notice to the recipient or other person. During this period of at least 
10 days additional efforts shall be made to persuade the recipient or 
other person to comply with this part and to take such corrective action 
as may be appropriate.

[30 FR 301, Jan. 9, 1965, as amended at 38 FR 17937, July 5, 1973]



Sec.  1250.108  Hearings.

    (a) Opportunity for hearing. Whenever an opportunity for a hearing 
is required by Sec.  1250.107(c), reasonable notice shall be given by 
registered or certified mail, return receipt requested, to the affected 
applicant or recipient. This notice shall advise the applicant or 
recipient of the action proposed to be taken, the specific provision 
under which the proposed action against it is to be taken, and the 
matters of fact or law asserted as the basis for this action, and either 
(1) fix a date not less than 20 days after the date of such notice 
within which the applicant or recipient may request of the Principal 
Compliance Officer that the matter be scheduled for hearing or (2) 
advise the applicant or recipient that the matter in question has been 
set down for hearing at a stated place and time. The time and place so 
fixed shall be reasonable and shall be subject to change for cause. The 
complainant, if any, shall be advised of the time and place of the 
hearing. An applicant or recipient may waive a hearing and submit 
written information and argument for the record. The failure of an 
applicant or recipient to request a hearing under this paragraph or to 
appear at a hearing for which a date has been set shall be deemed to be 
a waiver of the right to a hearing under section 602 of the Act and 
Sec.  1250.107(c) of this part and consent to the making of a decision 
on the basis of such information as is available.
    (b) Time and place of hearing. Hearings shall be held at NASA 
Headquarters in Washington, DC, at a time fixed by the Principal 
Compliance Officer unless he determines that the convenience of the 
applicant or recipient or of NASA requires that another place be 
selected. Hearings shall be held before the Administrator, or, at his 
discretion, before a hearing examiner designated in conformity with 5 
U.S.C. 3105 and 3344 (section 11 of the Administrative Procedure Act).
    (c) Right to counsel. In all proceedings under this section, the 
applicant or recipient and NASA shall have the right to be represented 
by counsel.
    (d) Procedures, evidence, and record. (1) The hearing, decision, and 
any administrative review thereof shall be conducted in conformity with 
5 U.S.C. 554-557 (section 5-8 of the Administrative Procedure Act), and 
in accordance with such rules of procedure as are proper (and not 
inconsistent with this section) relating to the conduct of the hearing, 
giving of notices subsequent to those provided for in paragraph (a) of 
this section, taking of testimony, exhibits, arguments, and briefs, 
requests for findings, and other related matters. Both NASA and the 
applicant or recipient shall be entitled to introduce all

[[Page 167]]

relevant evidence on the issues as stated in the notice for hearing or 
as determined by the officer conducting the hearing at the outset of or 
during the hearing.
    (2) Technical rules of evidence shall not apply to hearings 
conducted pursuant to this part, but rules or principles designed to 
assure production of the most credible evidence available and to subject 
testimony to test by cross-examination shall be applied where reasonably 
necessary by the officer conducting the hearing. The hearing officer may 
exclude irrelevant, immaterial, or unduly repetitious evidence. All 
documents and other evidence offered or taken for the record shall be 
open to examination by the parties and opportunity shall be given to 
refute facts and arguments advanced on either side of the issues. A 
transcript shall be made of the oral evidence except to the extent the 
substance thereof is stipulated for the record. All decisions shall be 
based upon the hearing record and written findings shall be made.
    (e) Consolidated or joint hearings. In cases in which the same or 
related facts are asserted to constitute non-compliance with this part 
with respect to two or more Federal statutes, authorities, or other 
means by which Federal financial assistance is extended and to which 
this part applies, or non-compliance with this part and the regulations 
of one or more other Federal departments or agencies issued under Title 
VI of the Act, the Administrator may, by agreement with such other 
departments or agencies where applicable, provide for the conduct of 
consolidated or joint hearings, and for the application to such hearings 
of rules of procedures not inconsistent with the part. Final decisions 
in such cases, insofar as this part is concerned, shall be made in 
accordance with Sec.  1250.109.

[30 FR 301, Jan. 9, 1965, as amended at 38 FR 17937, July 5, 1973; 68 FR 
51350, Aug. 26, 2003]



Sec.  1250.109  Decisions and notices.

    (a) Decision by person other than the NASA Principal Compliance 
Officer. If the hearing is held by a hearing examiner, such hearing 
examiner shall either make an initial decision, if so authorized, or 
certify the entire record including his recommended findings and 
proposed decision to the Principal Compliance Officer for a final 
decision, and a copy of such initial decision or certification shall be 
mailed to the applicant or recipient. Where the initial decision is made 
by the hearing examiner, the applicant or recipient may, within 30 days 
of the mailing of such notice of initial decision, file with the 
Principal Compliance Officer his exceptions to the initial decision with 
his reasons therefor. In the absence of exceptions, the Principal 
Compliance Officer may on his own motion, within 45 days after the 
initial decision, serve on the applicant or recipient a notice that he 
will review the decision. Upon the filing of such exceptions or of such 
notice of review the Principal Compliance Officer shall review the 
initial decision and issue his own decision thereon including the 
reasons therefor. In the absence of either exceptions or a notice of 
review the initial decision shall constitute the final decision of the 
Principal Compliance Officer.
    (b) Decisions on record or review by the NASA Principal Compliance 
Officer. Whenever a record is certified to the Principal Compliance 
Officer for decision or he reviews the decision of a hearing examiner 
pursuant to paragraph (a) of this section, or whenever the Administrator 
conducts the hearing, the applicant or recipient shall be given 
reasonable opportunity to file with him briefs or other written 
statements of its contentions, and a copy of the final decision of the 
Principal Compliance Officer shall be given in writing to the applicant 
or recipient and to the complainant, if any.
    (c) Decisions on record where a hearing is waived. Whenever a 
hearing is waived pursuant to Sec.  1250.108, a decision shall be made 
by the Principal Compliance Officer on the record and a copy of such 
decision shall be given in writing to the applicant or recipient, and to 
the complainant, if any.
    (d) Rulings required. Each decision of a hearing officer or the 
Principal Compliance Officer shall set forth his ruling on each finding, 
conclusion, or exception presented, and shall identify the requirement 
or requirements imposed by or pursuant to this part with

[[Page 168]]

which it is found that the applicant or recipient has failed to comply.
    (e) Approval by administrator. Any final decision of the NASA 
Principal Compliance Officer which provides for the suspension or 
termination of, or the refusal to grant or continue Federal financial 
assistance, or the imposition of any other sanction available under this 
part or the Act, shall promptly be transmitted to the Administrator, who 
may approve such decision, may vacate it, or remit or mitigate any 
sanction imposed.
    (f) Content of orders. The final decision may provide for suspension 
or termination of, or refusal to grant or continue Federal financial 
assistance, in whole or in part, to which this regulation applies, and 
may contain such terms, conditions, and other provisions as are 
consistent with and will effectuate the purposes of the Act and this 
part including provisions designed to assure that no Federal financial 
assistance to which this regulation applies will thereafter be extended 
to the applicant or recipient determined by such decision to be in 
default in its performance of an assurance given by it pursuant to this 
part, or to have otherwise failed to comply with this part, unless and 
until it corrects its non-compliance and satisfies the Principal 
Compliance Officer that it will fully comply with this part.
    (g) Post termination proceedings. (1) An applicant or recipient 
adversely affected by an order issued under paragraph (f) of this 
section shall be restored to full eligibility to receive Federal 
financial assistance if it satisfies the terms and conditions of that 
order for such eligibility or if it brings itself into compliance with 
this regulation and provides reasonable assurance that it will fully 
comply with this regulation.
    (2) Any applicant or recipient adversely affected by an order 
entered pursuant to paragraph (f) of this section may at any time 
request the Principal Compliance Officer to restore fully the 
eligibility to receive Federal financial assistance. Any such request 
shall be supported by information showing that the applicant or 
recipient has met the requirements of paragraph (g)(1) of this section. 
If the Principal Compliance Officer determines that those requirements 
have been satisfied, he shall restore such eligibility.
    (3) If the Principal Compliance Officer denies any such request, the 
applicant or recipient may submit a request for a hearing in writing, 
specifying why it believes such official to have been in error. It shall 
thereupon be given an expeditious hearing, with a decision on the 
record, in accordance with rules of procedure issued by the Principal 
Compliance Officer. The applicant or recipient will be restored to such 
eligibility if it proves at such a hearing that it satisfied the 
requirements of paragraph (g)(1) of this section. While proceedings 
under this paragraph are pending, the sanctions imposed by the order 
issued under paragraph (f) of this section shall remain in effect.

[30 FR 301, Jan. 9, 1965, as amended at 38 FR 17937, July 5, 1973; 68 FR 
51350, Aug. 26, 2003]



Sec.  1250.110  Judicial review.

    Action taken pursuant to section 602 of the Act is subject to 
judicial review as provided in section 603 of the Act.



Sec.  1250.111  Effect on other regulations; forms and instructions.

    (a) Effect on other regulations. All regulations, orders, or like 
directions heretofore issued by any officer of NASA which impose 
requirements designed to prohibit any discrimination against individuals 
on the ground of race, color, or national origin under any program to 
which this part applies, and which authorize the suspension or 
termination of or refusal to grant or to continue Federal financial 
assistance to any applicant for or recipient of such assistance for 
failure to comply with such requirements, are hereby superseded to the 
extent that such discrimination is prohibited by this part, except that 
nothing in this part shall be deemed to relieve any person of any 
obligation assumed or imposed under any such superseded regulation, 
order, instruction, or like direction prior to the effective date of 
this Instruction. Nothing in this part, however, shall be deemed to 
supersede any of the following (including future amendments thereof): 
(1) Executive Orders 10925 and 11246 and regulations or instructions

[[Page 169]]

issued thereunder, or (2) any other regulations or instructions, insofar 
as such other regulations or instructions prohibit discrimination on the 
ground of race, color, or national origin in any program or situation to 
which this part is inapplicable, or prohibit discrimination on any other 
ground.
    (b) Forms and instructions. Each responsible NASA official shall 
issue and promptly make available to interested persons forms and 
detailed instructions and procedures for effectuating this part as 
applied to financial assistance to which this part applies and for which 
he is responsible.
    (c) Supervision and coordination. The Administrator may assign to 
officials of other departments or agencies of the Government, with the 
consent of such departments or agencies, responsibilities in connection 
with the effectuation of the purposes of Title VI of the Act and this 
part (other than responsibility for final decision as provided in Sec.  
1250.109), including the achievement of effective coordination and 
maximum uniformity within NASA and within the Executive Branch of the 
Government in the application of Title VI and this part to similar 
programs and in similar situations. Any action taken, determination 
made, or requirement imposed by an official of another department or 
agency acting pursuant to an assignment of responsibility under this 
subsection shall have the same effect as though such action has been 
taken by the responsible official of this agency.

[30 FR 301, Jan. 9, 1965, as amended at 38 FR 17937, July 5, 1973; 68 FR 
51350, Aug. 26, 2003]



Sec.  1250.112  Relationship with other officials.

    NASA officials, in performing the functions assigned to them by this 
part, are responsible for recognizing the delegations of authority and 
responsibility of other NASA officials and for seeing the actions taken 
or instructions issued by them are properly coordinated with the offices 
and divisions having joint interests.



Sec. Appendix A to Part 1250--NASA Federal Financial Assistance to Which 
                            This Part Applies

    1. Grants made under the authority of Pub. L. 85-934, approved 
September 6, 1958 (42 U.S.C. 1891-1893).
    2. Contracts with nonprofit institutions of higher education or with 
nonprofit organizations whose primary purpose is the conduct of 
scientific research, wherein title to equipment purchased with funds 
under such contracts may be vested in such institutions or organizations 
under the authority of section 2 of Pub. L. 85-934, approved September 
6, 1938 (42 U.S.C. 1892).
    3. Training grants made under the authority of the National 
Aeronautics and Space Act of 1958, as amended (42 U.S.C. 2451-2460, 
2472-2473).
    4. Facilities grants made under authority in annual NASA 
authorization and appropriation acts.

[30 FR 301, Jan. 9, 1965, as amended at 38 FR 17936, July 5, 1973]



PART 1251_NONDISCRIMINATION ON BASIS OF DISABILITY--Table of Contents



                    Subpart 1251.1_General Provisions

Sec.
1251.100 Purpose and broad coverage.
1251.101 Application.
1251.102 Definitions.
1251.103 Discrimination prohibited.
1251.104 Assurances required.
1251.105 Remedial action, voluntary action, and self-evaluation.
1251.106 Designation of responsible employee and adoption of grievance 
          procedures.
1251.107 Notice.
1251.108 Administrative requirements for small recipients.
1251.109 Effect of State or local law or other requirements and effect 
          of employment opportunities.
1251.110 Direct threat.
1251.111 Reasonable accommodation.
1251.112 Communications.
1251.113 Illegal Use of drugs.

                   Subpart 1251.2_Employment Practices

1251.200 Discrimination prohibited.
1251.201 Reasonable accommodation.
1251.202 Employment criteria.
1251.203 Preemployment inquiries.

                      Subpart 1251.3_Accessibility

1251.300 Discrimination prohibited.
1251.301 Existing facilities.
1251.302 New construction.

[[Page 170]]

                        Subpart 1251.4_Procedures

1251.400 Compliance Procedures.

    Subpart 1251.5_Enforcement of Nondiscrimination on the Basis of 
     Disability in Programs or Activities Conducted by the National 
                  Aeronautics and Space Administration

1251.501 Purpose.
1251.502 Application.
1251.503 Definitions.
1251.504-1251.509 [Reserved]
1251.510 Self-evaluation.
1251.511 Notice.
1251.512-1251.529 [Reserved]
1251.530 General prohibitions against discrimination.
1251.531-1251.539 [Reserved]
1251.540 Employment.
1251.541-1251.548 [Reserved]
1251.549 Program accessibility: Discrimination prohibited.
1251.550 Program accessibility: Existing facilities.
1251.551 Program accessibility: New construction and alterations.
1251.552-1251.559 [Reserved]
1251.560 Communications.
1251.561-1251.569 [Reserved]
1251.570 Compliance procedures.
1251.571-1251.579 [Reserved]
1251.580 Direct threat.
1251.581 Reasonable accommodation.
1251.582 Illegal use of drugs
1251.583-1251.999 [Reserved]

    Authority: Sec. 504 (29 U.S.C. 794)

    Source: 51 FR 26862, July 28, 1986, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 1251 appear at 81 FR 
3709, Jan. 22, 2016.



                    Subpart 1251.1_General Provisions



Sec.  1251.100  Purpose and broad coverage.

    (a) Purpose. This part effectuates section 504 of the Rehabilitation 
Act of 1973, which is designed to eliminate discrimination on the basis 
of disability in any program or activity receiving Federal financial 
assistance.
    (b) Broad scope of coverage. Consistent with the Americans with 
Disabilities Act Amendments Act of 2008's purpose (ADA Amendments Act) 
of reinstating a broad scope of protection under the ADA and section 
504, the definition of ``disability'' applicable to this part shall be 
construed broadly in favor of expansive coverage to the maximum extent 
permitted by the terms of this part. The primary object of attention in 
cases brought under this part should be whether entities covered under 
section 504 have complied with their obligations and whether 
discrimination has occurred, not whether the individual meets the 
definition of disability. The question of whether an individual meets 
the definition of disability under this part should not demand extensive 
analysis.

[81 FR 3709, Jan. 22, 2016]



Sec.  1251.101  Application.

    This part applies to each recipient of Federal financial assistance 
from the National Aeronautics and Space Administration and to each 
program or activity that receives such assistance.

[51 FR 26862, July 28, 1986, as amended at 68 FR 51351, Aug. 26, 2003]



Sec.  1251.102  Definitions

    As used in this part, the term:
    (a) 2004 ADAAG means the Americans with Disabilities Act (ADA) 
Accessibility Guidelines for Buildings and Facilities requirements set 
forth in appendices B and D to 36 CFR part 1191 (2009).
    (b) 2010 Standards means the 2010 ADA Standards for Accessible 
Design, which consist of the 2004 ADAAG and the requirements contained 
in 28 CFR 35.151.
    (c) Applicant for assistance means one who submits an application, 
request, or plan required to be approved either by a NASA official or by 
a recipient, as a condition to becoming a recipient.
    (d) Associate Administrator means the Associate Administrator for 
Diversity and Equal Opportunity Programs for NASA.
    (e) Auxiliary aids and services means services or devices that 
enable persons with sensory, manual, or speech disabilities to have an 
equal opportunity to participate in, and enjoy the benefits of, programs 
or activities conducted by the recipient. Auxiliary aids and services 
include:
    (1) Qualified interpreters onsite or through video remote 
interpreting (VRI) services; notetakers; real-time computer-aided 
transcription services; written materials; exchange of written

[[Page 171]]

notes; telephone handset amplifiers; assistive listening devices; 
assistive listening systems; telephones compatible with hearing aids; 
closed caption decoders; open and closed captioning, including real-time 
captioning; voice, text, and video-based telecommunications products and 
systems, including text telephones (TTYs), videophones, and captioned 
telephones, or equally effective telecommunications devices; videotext 
displays; accessible electronic and information technology; or other 
effective methods of making aurally delivered information available to 
individuals who are deaf or hard of hearing;
    (2) Qualified readers; taped texts; audio recordings; Brailled 
materials and displays; screen reader software; magnification software; 
optical readers; secondary auditory programs (SAP); large print 
materials; accessible electronic and information technology; or other 
effective methods of making visually delivered materials available to 
individuals who are blind or have low vision;
    (3) Acquisition or modification of equipment or devices; and
    (4) Other similar services and actions.
    (f) Direct threat means a significant risk to the health or safety 
of others that cannot be eliminated by a change to policies, practices 
or procedures, or by the provision of auxiliary aids or services as 
provided in Sec.  1251.110 of this part.
    (g) Disability means the definition given that term in the 
Department of Justice's regulation implementing title II of the ADA at 
28 CFR part 35.
    (h) Drug means a controlled substance as defined in schedules I 
through V of section 202 of the Controlled Substances Act (21 U.S.C. 
812).
    (i) Facility means all or any portion of buildings, structures, 
equipment, roads, walks, parking lots, or other real or personal 
property or interest in such property.
    (j) Federal financial assistance means any grant, loan, contract 
(other than a procurement contract or a contract of insurance or 
guaranty), or any other arrangement by which the agency provides or 
otherwise makes available assistance in the form of:
    (1) Funds;
    (2) Services of Federal personnel; or
    (3) Real and personal property or any interest in or use of such 
property, including:
    (i) Transfers or leases of such property for less than fair market 
value or for reduced consideration; and
    (ii) Proceeds from a subsequent transfer or lease of such property 
if the Federal share of its fair market value is not returned to the 
Federal Government.
    (k) Illegal use of drugs means the use of one or more drugs, the 
possession or distribution of which is unlawful under the Controlled 
Substances Act (21 U.S.C. 812). The term illegal use of drugs does not 
include the use of a drug taken under supervision by a licensed health 
care professional, or other uses authorized by the Controlled Substances 
Act or other provisions of Federal law.
    (l) Individual with a disability means any individual who has a 
disability as defined in 28 CFR part 35. The term ``individual with a 
disability'' does not include an individual who is currently engaging in 
the illegal use of drugs, when the recipient acts on the basis of such 
use.
    (m) Program or activity means all of the operations of any entity 
described in paragraphs (m)(1) through (4) of this section, any part of 
which is extended Federal financial assistance:
    (1)(i) A department, agency, special purpose district, or other 
instrumentality of a State or of a local government; or
    (ii) The entity of such State or local government that distributes 
such assistance and each such department or agency (and each other State 
or local government entity) to which the assistance is extended, in the 
case of assistance to a State or local government;
    (2)(i) A college, university, or other postsecondary institution, or 
a public system of higher education; or
    (ii) A local educational agency (as defined in 20 U.S.C. 7801), 
system of vocational education, or other school system;
    (3)(i) An entire corporation, partnership, or other private 
organization, or an entire sole proprietorship--

[[Page 172]]

    (A) If assistance is extended to such corporation, partnership, 
private organization, or sole proprietorship as a whole; or
    (B) Which is principally engaged in the business of providing 
education, health care, housing, social services, or parks and 
recreation; or
    (ii) The entire plant or other comparable, geographically separate 
facility to which Federal financial assistance is extended, in the case 
of any other corporation, partnership, private organization, or sole 
proprietorship; or
    (4) Any other entity which is established by two or more of the 
entities described in paragraph (m)(1), (2), or (3) of this section.
    (n) Qualified individual with a disability means:
    (1) With respect to any aid, benefit, or service, provided under a 
program or activity subject to this part, an individual with a 
disability who, with or without reasonable accommodations in rules 
policies, or procedures, the removal of architectural, communication, or 
transportation barriers, or the provision auxiliary aids or services, 
meets the essential eligibility requirements for participation in, or 
receipt from, that aid, benefit, or service, and
    (2) With respect to employment, the definition given that term in 
the Equal Employment Opportunity Commission's regulation at 29 CFR part 
1630, implementing Title I of the Americans with Disabilities Act of 
1990, which regulation is made applicable to this part by Sec.  1251.2.
    (o) Recipient means any state or its political subdivision, any 
instrumentality of a state or its political subdivision, any public or 
private agency, institution, organization, or other entity, or any 
person to which Federal financial assistance is extended directly or 
through another recipient, including any successor, assignee, or 
transferee of a recipient, but excluding the ultimate beneficiary of the 
assistance.
    (p) Section 504 means section 504 of the Act.
    (q) The Act means the Rehabilitation Act of 1973, Pub. L. 93-112, as 
amended, 29 U.S.C. 794 et seq.

[81 FR 3709, Jan. 22, 2016]



Sec.  1251.103  Discrimination prohibited.

    (a) General. No qualified individual with a disability shall, on the 
basis of disability, be excluded from participation in, be denied the 
benefits of, or otherwise be subjected to discrimination under any 
program or activity which receives Federal financial assistance.
    (b) Discriminatory actions prohibited. (1) A recipient, in providing 
any aid, benefits, or services, may not, directly or through 
contractual, licensing, or other arrangements, on the basis of 
disability:
    (i) Deny a qualified individual with a disability the opportunity to 
participate in or benefit from the aid, benefit, or service;
    (ii) Afford a qualified individual with a disability an opportunity 
to participate in or benefit from aid, benefit, or service that is not 
equal to that afforded others;
    (iii) Provide a qualified individual with a disability with an aid, 
benefit, or service that is not as effective as that provided to others;
    (iv) Provide different or separate aid, benefits, or services to 
individuals with disabilities or to any class of individuals with 
disabilities unless such action is necessary to provide qualified 
individuals with disabilities with aid, benefits, or services that are 
as effective as those provided to others;
    (v) Aid or perpetuate discrimination against a qualified individual 
with a disability by providing significant assistance to an agency, 
organization, or person that discriminates on the basis of disability in 
providing any aid, benefit, or service to beneficiaries of the 
recipient's program or activity;
    (vi) Deny a qualified individual with a disability the opportunity 
to participate as a member of planning or advisory boards; or
    (vii) Otherwise limit a qualified individual with a disability in 
the enjoyment of any right, privilege, advantage, or opportunity enjoyed 
by others receiving an aid, benefit, or service.
    (2) For purposes of this part, aids, benefits, and services, to be 
equally effective, are not required to produce the identical result or 
level of achievement for individuals with disabilities and individuals 
without disabilities, but must

[[Page 173]]

afford individuals with disabilities equal opportunity to obtain the 
same result, to gain the same benefit, or to reach the same level of 
achievement, in the most integrated setting appropriate to the person's 
needs.
    (3) Recipients shall take appropriate steps to ensure that no 
individual with disability is denied the benefits of, excluded from 
participation in, or otherwise subjected to discrimination in any 
program or activity receiving Federal financial assistance because of 
the absence of auxiliary aids for individuals with impaired sensory, 
manual, or speaking skills.
    (4) Despite the existence of separate or different aid, benefits, or 
services provided in accordance with this part, a recipient may not deny 
a qualified individual with a disability the opportunity to participate 
in such programs or activities that are not separate or different.
    (5) A recipient may not, directly or through contractual or other 
arrangements, utilize criteria or methods of administration:
    (i) That have the effect of subjecting qualified individuals with 
disabilities to discrimination of the basis of disability;
    (ii) That have the purpose or effect of defeating or substantially 
impairing accomplishment of the objectives of the recipient's program or 
activity with respect to individuals with disabilities; or
    (iii) That perpetuate the discrimination of another recipient if 
both recipients are subject to common administrative control or are 
agencies of the same State.
    (6) In determining the site or location of a facility, an applicant 
for assistance or a recipient may not make selections:
    (i) That have the effect of excluding individuals with disabilities 
from, denying them the benefits of, or otherwise subjecting them to 
discrimination under any program or activity that receives Federal 
financial assistance; or
    (ii) That have the purpose or effect of defeating or substantially 
impairing the accomplishment of the objectives of the program or 
activity with respect to individuals with disabilities.
    (7) As used in this section, the aid, benefit, or service provided 
under a program or activity receiving Federal financial assistance 
includes any aid, benefit, or service provided in or through a facility 
that has been constructed, expanded, altered, leased or rented, or 
otherwise acquired, in whole or in part, with Federal financial 
assistance.
    (8) Recipients shall take appropriate steps to ensure that 
communications with their applicants, employees, and beneficiaries are 
available to persons with impaired vision and hearing.
    (c) Aid, benefits, or services limited by Federal law. The exclusion 
of individuals without disabilities from aid, benefits, or services 
limited by Federal statute of Executive order to individuals with 
disabilities from aid, benefits, or services limited by Federal statute 
or Executive order to a different class of individuals with disabilities 
is not prohibited by this part.

[51 FR 26862, July 28, 1986, as amended at 68 FR 51351, Aug. 26, 2003]



Sec.  1251.104  Assurances required.

    (a) Assurances. An applicant for Federal financial assistance to 
which this part applies shall submit an assurance, on a form specified 
by the Associate Administrator, that the program or activity will be 
operated in compliance with this part. An applicant may incorporate 
these assurances by reference in subsequent applications to NASA.
    (b) Duration of obligation. (1) In the case of Federal financial 
assistance extended in the form of real property or to provide real 
property or structures on the property, the assurance will obligate the 
recipient or, in the case of a subsequent transfer, the transferee, for 
the period during which the real property or structures are used for the 
purpose for which Federal financial assistance is extended or for 
another purpose involving the provision of similar services or benefits.
    (2) In the case of Federal financial assistance extended to provide 
personal property, the assurance will obligate the recipient for the 
period during which it retains ownership or possession of the property.

[[Page 174]]

    (3) In all other cases, the assurance will obligate the recipient 
for the period during which Federal financial assistance is extended.
    (c) Covenants. (1) Where Federal financial assistance is provided in 
the form of real property or interest in the property from NASA, the 
instrument effecting or recording this transfer shall contain a covenant 
running with the land to assure nondiscrimination for the period during 
which the real property is used for a purpose for which the Federal 
financial assistance is extended or for another purpose involving the 
provision of similar services or benefits.
    (2) Where no transfer of property is involved but property is 
purchased or improved with Federal financial assistance, the recipient 
shall agree to include the covenant described in paragraph (c)(3) of 
this section in the instrument effecting or recording any subsequent 
transfer of the property.
    (3) Where Federal financial assistance is provided in the form of 
real property or interest in the property from NASA, the covenant shall 
also include a condition coupled with a right to be reserved by NASA to 
revert title to the property in the event of a breach of the covenant. 
If a transferee of real property proposes to mortgage or otherwise 
encumber the real property as security for financing construction of 
new, or improvement of existing facilities on the property for the 
purposes for which the property was transferred, the Associate 
Administrator may, upon request of the transferee and if necessary to 
accomplish such financing and upon such conditions as he or she deems 
appropriate, agree to forbear the exercise of such right to revert title 
for so long as the lien of such mortgage or other encumbrance remains 
effective.

[51 FR 26862, July 28, 1986, as amended at 68 FR 51351, Aug. 26, 2003; 
81 FR 3711, Jan. 22, 2016]



Sec.  1251.105  Remedial action, voluntary action, and self-evaluation.

    (a) Remedial action. (1) If the Associate Administrator finds that a 
recipient has discriminated against persons on the basis of disability 
in violation of section 504 or this part, the recipient shall take such 
remedial action as the Associate Administrator deems necessary to 
overcome the effects to the discrimination.
    (2) Where a recipient is found to have discriminated against persons 
on the basis of disability in violation of section 504 or this part and 
where another recipient exercises control over the recipient that has 
discriminated, the Associate Administrator, where appropriate, may 
require either or both recipients to take remedial action.
    (3) The Associate Administrator may, where necessary to overcome the 
effects of discrimination in violation of section 504 or this part, 
require a recipient to take remedial action:
    (i) With respect to individuals with disabilities who are no longer 
participants in the recipient's program or activity but who were 
participants in the program or activity when such discrimination 
occurred; or
    (ii) With respect to individuals with disabilities who would have 
been participants in the program or activity had the discrimination not 
occurred; or
    (iii) With respect to individuals with disabilities presently in the 
program or activity, but not receiving full benefits or equal and 
integrated treatment within the program or activity.
    (b) Voluntary action. A recipient may take steps, in addition to any 
action that is required by this part, to overcome the effects of 
conditions that resulted in limited participation in the recipient's 
program or activity by qualified individuals with disabilities.
    (c) Self-evaluation. (1) A recipient shall, within 1 year of the 
effective date of this part; or within 1 year of first becoming a 
recipient:
    (i) Evaluate, with the assistance of interested persons, including 
individuals with disabilities or organizations representing individuals 
with disabilities, its current policies and practices and the effects 
thereof that do not or may not meet the requirements of this part;
    (ii) Modify, after consultation with interested persons, including 
individuals with disabilities or organizations representing individuals 
with disabilities, any policies and practices that do not meet the 
requirements of this part; and

[[Page 175]]

    (iii) Take, after consultation with interested persons, including 
individuals with disabilities or organizations representing individuals 
with disabilities, appropriate remedial steps to eliminate the effects 
of any discrimination that resulted from adherence to these policies and 
practices.
    (2) A recipient that employs 15 or more persons shall, for at least 
3 years, follow completion of the evaluation required under paragraph 
(c)(1) of this section, maintain on file, make available for public 
inspection, and provide to the Associate Administrator upon request:
    (i) A list of the interested persons consulted;
    (ii) A description of areas examined and any problems identified; 
and
    (iii) A description of any modifications made and of any remedial 
steps taken.

[51 FR 26862, July 28, 1986, as amended at 68 FR 51351, Aug. 26, 2003; 
81 FR 3711, Jan. 22, 2016]



Sec.  1251.106  Designation of responsible employee and adoption
of grievance procedures.

    (a) Designation of responsible employee. A recipient that employs 15 
or more persons shall designate at least one person to coordinate its 
efforts to comply with this part.
    (b) Adoption of grievance procedures. A recipient that employs 15 or 
more persons shall adopt grievance procedures that incorporate 
appropriate due process standards and that provide for the prompt and 
equitable resolution of complaints alleging any action prohibited by 
this part. Such procedures need not to be established with respect to 
complaints from applicants for employment or from applicants for 
admission to postsecondary educational institutions.



Sec.  1251.107  Notice.

    (a) A recipient that employs 15 or more persons shall take 
appropriate initial and continuing steps to notify participants, 
beneficiaries, applicants, and employees, including those with vision or 
hearing disabilities, and unions or professional organizations holding 
collective bargaining or professional agreements with the recipient that 
it does not discriminate on the basis of disability in violation of 
section 504 and this part. The notification shall state, where 
appropriate, that the recipient does not discriminate in admission or 
access to, or treatment or employment in, its programs or activities. 
The notification shall also include an identification of the responsible 
employee designated pursuant to Sec.  1251.106(a). A recipient shall 
make the initial notification required by this paragraph within 90 days 
of the effective date of this part. Methods of initial and continuing 
notification may include the posting of notices, transmission via 
electronic mail or text message, publication on the recipient's internet 
Web site, or in newspapers and magazines, placement of notices in 
recipient's publication, and distribution of memoranda or other written 
communications.
    (b) If a recipient publishes or uses recruitment materials or 
publications containing general information that it makes available to 
participants, beneficiaries, applicants, or employees, it shall include 
in those materials or publications a statement of the policy described 
in paragraph (a) of this section. A recipient may meet the requirement 
of this section and this paragraph either by including appropriate 
inserts in existing materials and publications or by revising and 
reprinting the materials and publications.

[51 FR 26862, July 28, 1986, as amended at 68 FR 51351, Aug. 26, 2003; 
81 FR 3711, Jan. 22, 2016]



Sec.  1251.108  Administrative requirements for small recipients.

    The Associate Administrator may require any recipient with fewer 
than 15 employees, or any class of such recipients, to comply with 
Sec. Sec.  1251.106 and 1251.107, in whole or in part, when the 
Associate Administrator finds a violation of this part or finds that 
such compliance will not significantly impair the ability of the 
recipient or class of recipients to provide benefits or services.

[51 FR 26862, July 28, 1986, as amended at 81 FR 3711, Jan. 22, 2016]

[[Page 176]]



Sec.  1251.109  Effect of State or local law or other requirements
and effect of employment opportunities.

    (a) The obligation to comply with this part is not obviated or 
alleviated by the existence of any state or local law or other 
requirement that, on the basis of disability, imposes prohibitions or 
limits upon the eligibility of qualified individuals with disabilities 
to receive services or to practice any occupation or profession.
    (b) The obligation to comply with this part is not obviated or 
alleviated because employment opportunities in any occupation or 
profession are or may be more limited for individuals with disabilities 
than for individuals without disabilities.



Sec.  1251.110  Direct threat.

    (a) This part does not require a recipient to permit an individual 
to participate in or benefit from the services, programs, or activities 
of that recipient when that individual poses a direct threat to the 
health or safety of others.
    (b) In determining whether an individual poses a direct threat to 
the health or safety of others, a recipient must make an individualized 
assessment, based on reasonable judgment that relies on current medical 
knowledge or on the best available objective evidence, to ascertain: The 
nature, duration, and severity of the risk; the probability that the 
potential injury will actually occur; and whether reasonable 
accommodations in policies, practices, or procedures or the provision of 
auxiliary aids or services will mitigate the risk.

[81 FR 3711, Jan. 22, 2016]



Sec.  1251.111  Reasonable accommodation.

    A recipient shall make reasonable accommodations in policies, 
practices, or procedures when such accommodations are necessary to avoid 
discrimination on the basis of disability, unless the recipient can 
demonstrate that making the accommodations would fundamentally alter the 
nature of the service, program, or activity or result in an undue 
financial and administrative burden.

[81 FR 3711, Jan. 22, 2016]



Sec.  1251.112  Communications.

    (a) A recipient shall take appropriate steps to ensure that 
communications with applicants, participants, beneficiaries, members of 
the public, and companions with disabilities, are as effective as 
communications with others.
    (b)(1) A recipient shall furnish appropriate auxiliary aids or 
services where necessary to afford qualified individuals with 
disabilities, including applicants, participants, beneficiaries, and 
members of the public, an equal opportunity to participate in, and enjoy 
the benefits of, a program or activity of the recipient.
    (i) In determining what type of auxiliary aid or service is 
necessary, the recipient shall give primary consideration to the 
requests of the individual with a disability.
    (ii) The recipient need not provide individually prescribed devices, 
readers for personal use or study, or other devices of a personal 
nature.
    (2) Where the recipient communicates with applicants and 
beneficiaries by telephone, telecommunication devices for deaf persons 
(TTY's) or equally effective telecommunication systems shall be used to 
communicate with persons who are deaf or hard of hearing or have speech 
impairments.
    (c) This section does not require the recipient to take any action 
that it can demonstrate would result in a fundamental alteration in the 
nature of a program or activity or in undue financial and administrative 
burdens. In those circumstances where the recipient believes that the 
proposed action would fundamentally alter the program or activity or 
would result in undue financial and administrative burdens, the 
recipient has the burden of proving that compliance with Sec.  1251.112 
would result in such alteration or burdens. The decision that compliance 
would result in such alteration or burdens must be made by the chief 
executive officer of the recipient or his or her designee after 
considering all of the recipient's resources available for use in the 
funding and operation of the conducted program or activity and must be 
accompanied by a written statement of the reasons for reaching that 
conclusion. If an action required to comply with this

[[Page 177]]

section would result in such an alteration or such burdens, the 
recipient shall take any other action that would not result in such an 
alteration or such burdens but would nevertheless ensure that, to the 
maximum extent possible, individuals with disabilities receive the 
benefits and services of the program or activity.

[81 FR 3711, Jan. 22, 2016]



Sec.  1251.113  Illegal Use of Drugs

    (a) General. (1) Except as provided in paragraph (b) of this 
section, this part does not prohibit discrimination against an 
individual based on that individual's current illegal use of drugs.
    (2) A recipient shall not discriminate on the basis of illegal use 
of drugs against an individual who is not engaging in current illegal 
use of drugs and who--
    (i) Has successfully completed a supervised drug rehabilitation 
program or has otherwise been rehabilitated successfully;
    (ii) Is participating in a supervised rehabilitation program; or
    (iii) Is erroneously regarded as engaging in such use.
    (b) Health and drug rehabilitation services. (1) A recipient shall 
not deny health services, or services provided in connection with drug 
rehabilitation, to an individual on the basis of that individual's 
current illegal use of drugs, if the individual is otherwise entitled to 
such services.
    (2) A drug rehabilitation or treatment program may deny 
participation to individuals who engage in illegal use of drugs while 
they are in the program.
    (c) Drug testing. (1) This part does not prohibit a recipient from 
adopting or administering reasonable policies or procedures, including 
but not limited to drug testing, designed to ensure that an individual 
who formerly engaged in the illegal use of drugs is not now engaging in 
current illegal use of drugs.
    (2) Nothing in this paragraph (c) shall be construed to encourage, 
prohibit, restrict, or authorize the conduct of testing for the illegal 
use of drugs.

[81 FR 3711, Jan. 22, 2016]



                   Subpart 1251.2_Employment Practices



Sec.  1251.200  Discrimination prohibited.

    (a) General. No qualified individual shall, on the basis of 
disability, be subjected to discrimination in employment under any 
program or activity to which this part applies.
    (b) Employment discrimination standards. The standards used to 
determine whether paragraph (a) of this section has been violated shall 
be the standards applied under Title I of the Americans with 
Disabilities Act of 1990 (42 U.S.C. 12111 et seq.) and, as such sections 
relate to employment, the provisions of sections 501 through 504 and 510 
of the Americans with Disabilities Act of 1990 (42 U.S.C. 12201-12204 
and 12210), as amended by the ADA Amendments Act of 2008 (Pub. L. 110-
325), as such standards are implemented in the Equal Employment 
Opportunity Commission's regulation at 29 CFR part 1630. The procedures 
to be used to determine whether paragraph (a) of this section has been 
violated shall be the procedures set forth in Sec.  1251.400 of this 
part.

[81 FR 3712, Jan. 22, 2016]



Sec.  1251.201  Reasonable accommodation.

    (a) A recipient shall make reasonable accommodation to the known 
physical or mental limitations of an otherwise qualified applicant or 
employee with disabilities unless the recipient can demonstrate that the 
accommodation would impose an undue hardship on the operation of its 
program or activity.
    (b) Reasonable accommodation may include:
    (1) Making facilities used by employees readily accessible to and 
usable by individuals with disabilities; and
    (2) Job restructuring, part-time or modified work schedules, 
acquisition or modification of equipment or devices, the provision of 
readers or interpreters, and other similar actions.
    (c) In determining pursuant to paragraph (a) of this section whether 
an accommodation would impose an undue hardship on the operation of a 
recipient's programor activity, factors to be considered include:

[[Page 178]]

    (1) The overall size of the recipient's program or activity with 
respect to number of employees, number and type of facilities, and size 
of budget;
    (2) The type of the recipient's operation, including the composition 
and structure of the recipient's workforce; and
    (3) The nature and cost of the accommodation needed.
    (d) A recipient may not deny any employment opportunity to a 
qualified applicant or employee with a disability if the basis for the 
denial is the need to make reasonable accommodation to the physical or 
mental limitations of the employee or applicant.

[51 FR 26862, July 28, 1986, as amended at 68 FR 51351, Aug. 26, 2003]



Sec.  1251.202  Employment criteria.

    (a) A recipient may not make use of any employment test or other 
selection criterion that screens out or tends to screen out individuals 
with disabilities or any class of individuals with disabilities unless:
    (1) The test score or other selection criterion, as used by the 
recipient, is shown to be job-related for the position in question; and
    (2) Alternative job-related tests of criteria that do not screen out 
or tend to screen out as many individuals with disabilities are not 
shown by the Associate Administrator to be available.
    (b) A recipient shall select and administer tests concerning 
employment so as best to ensure that, when administered to an applicant 
or employee who has a disability that impairs sensory, manual, or 
speaking skills, the test results accurately reflect the applicant's or 
employee's job skills, aptitude, or whatever other factor the test 
purports to measure, rather than reflecting the applicant's or 
employee's impaired sensory, manual, or speaking skills (except where 
those skills are the factors that the test purports to measure).

[51 FR 26862, July 28, 1986, as amended at 81 FR 3712, Jan. 22, 2016]



Sec.  1251.203  Preemployment inquiries.

    (a) Except as provided in paragraphs (b) and (c) of this section, a 
recipient may not conduct a preemployment medical examination or may not 
make preemployment inquiry of an applicant as to whether the applicant 
is a individual with a disabilityor as to the nature or severity of a 
disability. A recipient may, however, make preemployment inquiry into an 
applicant's ability to perform job-related functions.
    (b) When a recipient is taking remedial action to correct the 
effects of past discrimination pursuant to Sec.  1251.105(a), when a 
recipient is taking voluntary action to overcome the effects of 
conditions that resulted in limited participation in its Federally 
assisted program or activity pursuant to Sec.  1251.105(b), or when a 
recipient is taking affirmative action pursuant to section 504 of the 
Act, the recipient may invite applicants for employment to indicate 
whether and to what extent they are handicapped, provided that:
    (1) The recipient states clearly on any written questionnaire used 
for this purpose or makes clear orally if no written questionnaire is 
used that the information requested is intended for use solely in 
connection with its remedial action obligations or its voluntary of 
affirmative action efforts; and
    (2) The recipient states clearly that the information is being 
requested on a voluntary basis, that it will be kept confidential as 
provided in paragraph (d) of this section, that refusal to provide it 
will not subject the applicant or employee to any adverse treatment, and 
that it will be used only in accordance with this part.
    (c) Nothing in this section shall prohibit a recipient from 
conditioning an offer of employment on the results of a medical 
examination conducted prior to the employee's entrance on duty, provided 
that:
    (1) All entering employees are subjected to such an examination 
regardless of disability; and
    (2) The results of such an examination are used only in accordance 
with the requirements of this part.
    (d) Information obtained in accordance with this section as to the 
medical condition or history of the applicant shall be collected and 
maintained on separate forms that shall be accorded confidentiality as 
medical records, except that:

[[Page 179]]

    (1) Supervisors and managers may be informed regarding restrictions 
on the work or duties of individuals with disabilities and regarding 
necessary accommodations;
    (2) First aid and safety personnel may be informed, where 
appropriate, if the condition might require emergency treatment; and
    (3) Government officials investigating compliance with the Act shall 
be provided relevant information upon request.



                      Subpart 1251.3_Accessibility



Sec.  1251.300  Discrimination prohibited.

    No qualified individual with a disability shall, because a 
recipient's facilities are inaccessible to or unusable by individuals 
with disabilities, be denied the benefits of, be excluded from 
participation in, or otherwise be subjected to discrimination under any 
program or activity to which this part applies.



Sec.  1251.301  Existing facilities.

    (a) Accessibility. A recipient shall operate each program or 
activity to which his part applies so that when each part is viewed in 
its entirety it is readily accessible to individuals with disabilities. 
This paragraph does not require a recipient to make each of its existing 
facilities or every part of a facility accessible to and usable by 
individuals with disabilities.
    (b) Methods. A recipient may comply with the requirement of 
paragraph (a) of this section through such means as redesign of 
equipment; reassignment of classes or other services to accessible 
buildings; assignment of aides to beneficiaries; home visits; delivery 
of health, welfare, or other social services at alternate accessible 
sites; alteration of existing facilities and construction of new 
facilities in conformance with the requirements of Sec.  1251.302; or 
any other methods that result in making its program or activity 
accessible to individuals with disabilities. A recipient is not required 
to make structural changes in existing facilities where other methods 
are effective in achieving compliance with paragraph (a) of this 
section. In choosing among available methods for meeting the requirement 
of paragraph (a) of this section, a recipient shall give priority to 
those methods that serve to individuals with disabilities in the most 
integrated setting appropriate.
    (c) Time period. A recipient shall comply with the requirement of 
paragraph (a) of this section within 60 days of the effective date of 
this part except that where structural changes in facilities are 
necessary, such changes shall be made within 3 years of the effective 
date of this part, but in any event as expeditiously as possible.
    (d) Transition plan. In the event that structural changes to 
facilities are necessary to meet the requirement of paragraph (a) of 
this section, a recipient shall develop, within 6 months of the 
effective date of this part, a transition plan setting forth the steps 
necessary to complete such changes. The plan shall be developed with the 
assistance of interested persons, including individuals with 
disabilities or organizations representing individuals with 
disabilities. A copy of the transition plan shall be made available for 
public inspection. The plan shall, at a minimum:
    (1) Identify physical obstacles in the recipient's facilities that 
limit the accessibility of its program or activity to individuals with 
disabilities;
    (2) Describe in detail the methods that will be used to make the 
facilities accessible;
    (3) Specify the schedule for taking the steps necessary to achieve 
full accessibility under paragraph (a) of this section and, if the time 
period of the transition plan is longer than 1 year, identify steps that 
will be taken during each year of the transition period; and
    (4) Indicate the person responsible for implementation of the plan.
    (e) Safe harbor. For the purposes of complying with this section, 
elements that have not been altered in existing facilities on or after 
January 23, 2017, and that comply with the corresponding technical and 
scoping specifications for those elements in the Uniform Federal 
Accessibility Standards (UFAS), Appendix A to 41 CFR part 101-19.6, 49 
FR 31528, app. A (Aug. 7, 1984), are not required to be modified to be 
brought into compliance with the

[[Page 180]]

requirements set forth in the 2010 Standards.
    (f) Notice of location of accessible facilities--(1) General. The 
recipient shall adopt and implement procedures to ensure that interested 
individuals, including individuals with vision or hearing disabilities, 
can obtain information as to the existence and location of services, 
activities, and facilities that are accessible to and usable by 
individuals with disabilities.
    (2) Signs at primary entrances. The recipient shall provide signs at 
a primary entrance to each of its inaccessible facilities, directing 
users to an accessible facility or a location at which they can obtain 
information about accessible facilities. The international symbol for 
accessibility shall be used at each accessible entrance to a facility.

[51 FR 26862, July 28, 1986, as amended at 68 FR 51351, Aug. 26, 2003; 
81 FR 3712, Jan. 22, 2016]



Sec.  1251.302  New construction.

    (a) Design and construction. Each facility or part of a facility 
constructed by, on behalf of, or for the use of a recipient shall be 
designed and constructed in such manner that the facility or part of the 
facility is readily accessible to and usable by individuals with 
disabilities.
    (b) Alteration. Each facility or part of a facility which is altered 
by, on behalf of, or for the use of a recipient after the effective date 
of this part in a manner that affects or could affect the usability of 
the facility or part of the facility shall, to the maximum extent 
feasible, be altered in such manner that the altered portion of the 
facility is readily accessible to and usable by individuals with 
disabilities.
    (c) Accessibility standards and compliance dates--(1) Applicable 
accessibility standards. (i) New construction and alterations undertaken 
prior to the compliance dates specified in paragraph (c)(2) of this 
section must comply with either UFAS or the 2010 Standards.
    (ii) New construction and alterations on or after the compliance 
dates specified in paragraph (c)(2) of this section must comply with the 
2010 Standards.
    (iii) New construction and alterations of buildings or facilities 
undertaken in compliance with the 2010 Standards shall comply with the 
requirements for a ``public building or facility'' as defined in the 
2010 Standards regardless of whether the recipient is a public or 
private entity.
    (iv) Departures from particular requirements of either standard by 
the use of other methods shall be permitted when it is clearly evident 
that equivalent access to the facility or part of the facility is 
thereby provided.
    (2) Compliance dates--(i) New Construction and alterations by 
recipients that are private entities. (A) New construction and 
alterations in which the last application for a building permit or 
permit extension for such construction or alterations is certified to be 
complete by a state, county, or local government (or, in those 
jurisdictions where the government does not certify completion of 
applications, if the date when the last application for a building 
permit or permit extension is received by the state, county, or local 
government) is prior to January 23, 2017, or if no permit is required, 
if the start of physical construction or alterations occurs prior to 
January 23, 2017, then such new construction and alterations must comply 
with either the Uniform Federal Accessibility Standards or the 2010 
Standards.
    (B) New construction and alterations in which the last application 
for a building permit or permit extension for such construction or 
alterations is certified to be complete by a state, county, or local 
government (or, in those jurisdictions where the government does not 
certify completion of applications, if the date when the last 
application for a building permit or permit extension is received by the 
state, county, or local government) is on or after January 23, 2017, or 
if no permit is required, if the start of physical construction or 
alterations occurs on or after January 23, 2017, then such new 
construction and alterations shall comply with the 2010 Standards.
    (ii) New construction and alterations by recipients that are public 
entities. (A) If physical construction or alterations commence prior to 
January 23, 2017, then such new construction and alterations must comply 
with either UFAS or the 2010 Standards.

[[Page 181]]

    (C) If physical construction or alterations commence on or after 
January 23, 2017, then such new construction and alterations shall 
comply with the 2010 Standards.
    (3) For the purposes of this section, ceremonial groundbreaking or 
razing of structures prior to site preparation will not be considered to 
commence or start physical construction or alterations.

   Table of Applicable Standards for Complying With 14 CFR 1251.302(c)
------------------------------------------------------------------------
      Compliance dates for new        Applicable standards for complying
    construction and alterations            with 14 CFR 1251.302(c)
------------------------------------------------------------------------
Prior to January 23, 2017...........  UFAS or the scoping and technical
                                       requirements for a ``public
                                       building or facility'' in the
                                       2010 Standards.
On or after January 23, 2017........  Scoping and technical requirements
                                       for a ``public building or
                                       facility'' in the 2010 Standards.
------------------------------------------------------------------------

    (4)[Reserved]
    (5) For purposes of this section, section 4.1.6(1)(g) of UFAS shall 
be interpreted to exempt from the requirements of UFAS only mechanical 
rooms and other spaces that, because of their intended use, will not 
require accessibility to the public or beneficiaries or result in the 
employment or residence therein of persons with physical disabilities.
    (6) This section does not require recipients to make building 
alterations that have little likelihood of being accomplished without 
removing or altering a load-bearing structural member.

[51 FR 26862, July 28, 1986, as amended at 55 FR 52138, 52140, Dec. 19, 
1990; 81 FR 3712, Jan. 22, 2016]



                        Subpart 1251.4_Procedures



Sec.  1251.400  Compliance Procedures.

    (a) The investigative, compliance, and enforcement procedural 
provisions of Title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d) 
are hereby adopted and apply to this section 504 regulation. These 
procedures are found at Sec. Sec.  1250.105 through 1250.110 of this 
chapter.
    (b) The Agency shall ensure that complaints alleging violations of 
section 504 with respect to employment are processed according to the 
procedures established by the EEOC in 29 CFR part 1640 and the United 
States DOJ at 28 CFR part 37.

[81 FR 3713, Jan. 22, 2016]



    Subpart 1251.5_Enforcement of Nondiscrimination on the Basis of 
     Disability in Programs or Activities Conducted by the National 
                  Aeronautics and Space Administration

    Source: 53 FR 25882, 25885, July 8, 1988, unless otherwise noted.



Sec.  1251.501  Purpose.

    The purpose of this regulation is to effectuate section 119 of the 
Rehabilitation, Comprehensive Services, and Developmental Disabilities 
Amendments of 1978, which amended section 504 of the Rehabilitation Act 
of 1973 to prohibit discrimination on the basis of disability in 
programs or activities conducted by Executive agencies or the United 
States Postal Service.



Sec.  1251.502  Application.

    This regulation (Sec. Sec.  1251.501-1251.570) applies to all 
programs or activities conducted by the agency, except for programs or 
activities conducted outside the United States that do not involve 
individuals with disabilities in the United States.



Sec.  1251.503  Definitions.

    As used in this part, the term:
    (a) Assistant Attorney General means the Assistant Attorney General, 
Civil Rights Division, United States Department of Justice.
    (b) Auxiliary aids and services means services or devices that 
enable persons with sensory, manual, or speech disabilities to have an 
equal opportunity

[[Page 182]]

to participate in, and enjoy the benefits of, programs or activities 
conducted by the agency. Auxiliary aids and services include:
    (1) Qualified interpreters onsite or through Video Remote 
Interpreting (VRI) services; notetakers; real-time computer-aided 
transcription services; written materials; exchange of written notes; 
telephone handset amplifiers; assistive listening devices; assistive 
listening systems; telephones compatible with hearing aids; closed 
caption decoders; open and closed captioning, including real-time 
captioning; voice, text, and video-based telecommunications products and 
systems, including text telephones (TTYs), videophones, and captioned 
telephones, or equally effective telecommunications devices; videotext 
displays; accessible electronic and information technology; or other 
effective methods of making aurally delivered information available to 
individuals who are deaf or hard of hearing;
    (2) Qualified readers; taped texts; audio recordings; Brailled 
materials and displays; screen reader software; magnification software; 
optical readers; secondary auditory programs (SAP); large print 
materials; accessible electronic and information technology; or other 
effective methods of making visually delivered materials available to 
individuals who are blind or have low vision;
    (3) Acquisition or modification of equipment or devices; and
    (4) Other similar services and actions.
    (c) Complete complaint means a written statement that contains the 
complainant's name and address and describes the agency's alleged 
discriminatory action in sufficient detail to inform the agency of the 
nature and date of the alleged violation of section 504. It shall be 
signed by the complainant or by someone authorized to do so on his or 
her behalf. Complaints filed on behalf of classes or third parties shall 
describe or identify (by name, if possible) the alleged victims of 
discrimination.
    (d) Direct threat means a significant risk to the health or safety 
of others that cannot be eliminated by a change to policies, practices 
or procedures, or by the provision of auxiliary aids or services as 
provided in Sec.  1251.110 of this part.
    (e) Disability means the definition given that term in the 
Department of Justice's regulation implementing title II of the ADA at 
28 CFR part 35.
    (f) Drug means a controlled substance as defined in schedules I 
through V of section 202 of the Controlled Substances Act (21 U.S.C. 
812).
    (g) Facility means all or any portion of buildings, structures, 
equipment, roads, walks, parking lots, rolling stock or other 
conveyances, or other real or personal property.
    (h) Historic preservation programs means programs conducted by the 
agency that have preservation of historic properties as a primary 
purpose.
    (i) Historic properties means those properties that are listed or 
eligible for listing in the National Register of Historic Places or 
properties designated as historic under a statute of the appropriate 
state or local government body.
    (j) Illegal use of drugs means the use of one or more drugs, the 
possession or distribution of which is unlawful under the Controlled 
Substances Act (21 U.S.C. 812). The term ``illegal use of drugs'' does 
not include the use of a drug taken under supervision by a licensed 
health care professional, or other uses authorized by the Controlled 
Substances Act or other provisions of Federal law.
    (k) Individual with a disability means any person who meets the 
definition of ``disability'' under 28 CFR part 35.
    (l) Qualified individual with a disability means any person who 
meets the definition of ``qualified individual with a disability'' under 
Sec.  1251.102(i) of this part.
    (m) Section 504 means section 504 of the Rehabilitation Act of 1973 
(Pub. L. 93-112, 87 Stat. 394 (29 U.S.C. 794)), as amended.

[81 FR 3713, Jan. 22, 2016]



Sec. Sec.  1251.504-1251.509  [Reserved]



Sec.  1251.510  Self-evaluation.

    (a) The agency shall, by September 6, 1989, evaluate its current 
policies and practices, and the effects thereof, that

[[Page 183]]

do not or may not meet the requirements of this regulation and, to the 
extent modification of any such policies and practices is required, the 
agency shall proceed to make the necessary modifications.
    (b) The agency shall provide an opportunity to interested persons, 
including individuals with disabilities or organizations representing 
individuals with disabilities, to participate in the self-evaluation 
process by submitting comments (both oral and written).
    (c) The agency shall, for at least three years following completion 
of the self-evaluation, maintain on file and make available for public 
inspection:
    (1) A description of areas examined and any problems identified; and
    (2) A description of any modifications made.



Sec.  1251.511  Notice.

    The agency shall make available to employees, applicants, 
participants, beneficiaries, and other interested persons such 
information regarding the provisions of this regulation and its 
applicability to the programs or activities conducted by the agency, and 
make such information available to them in such manner as the head of 
the agency finds necessary to apprise such persons of the protections 
against discrimination assured them by section 504 and this regulation.



Sec. Sec.  1251.512-1251.529  [Reserved]



Sec.  1251.530  General prohibitions against discrimination.

    (a) No qualified individual with disabilities shall, on the basis of 
disability, be excluded from participation in, be denied the benefits 
of, or otherwise be subjected to discrimination under any program or 
activity conducted by the agency.
    (b)(1) The agency, in providing any aid, benefit, or service, may 
not, directly or through contractual, licensing, or other arrangements, 
on the basis of disability--
    (i) Deny a qualified individual with disabilities the opportunity to 
participate in or benefit from the aid, benefit, or service;
    (ii) Afford a qualified individual with disabilities an opportunity 
to participate in or benefit from the aid, benefit, or service that is 
not equal to that afforded others;
    (iii) Provide a qualified individual with disabilities with an aid, 
benefit, or service that is not as effective in affording equal 
opportunity to obtain the same result, to gain the same benefit, or to 
reach the same level of achievement as that provided to others;
    (iv) Provide different or separate aid, benefits, or services to 
individuals with disabilities or to any class of individuals with 
disabilities than is provided to others unless such action is necessary 
to provide qualified individuals with disabilities with aid, benefits, 
or services that are as effective as those provided to others;
    (v) Deny a qualified individual with disabilities the opportunity to 
participate as a member of planning or advisory boards;
    (vi) Otherwise limit a qualified individual with disabilities in the 
enjoyment of any right, privilege, advantage, or opportunity enjoyed by 
others receiving the aid, benefit, or service.
    (2) The agency may not deny a qualified individual with disabilities 
the opportunity to participate in programs or activities that are not 
separate or different, despite the existence of permissibly separate or 
different programs or activities.
    (3) The agency may not, directly or through contractual or other 
arrangements, utilize criteria or methods of administration the purpose 
or effect of which would--
    (i) Subject qualified individuals with disabilities to 
discrimination on the basis of disability; or
    (ii) Defeat or substantially impair accomplishment of the objectives 
of a program or activity with respect to individuals with disabilities.
    (4) The agency may not, in determining the site or location of a 
facility, make selections the purpose or effect of which would--
    (i) Exclude individuals with disabilities from, deny them the 
benefits of, or otherwise subject them to discrimination under any 
program or activity conducted by the agency; or
    (ii) Defeat or substantially impair the accomplishment of the 
objectives

[[Page 184]]

of a program or activity with respect to individuals with disabilities.
    (5) The agency, in the selection of procurement contractors, may not 
use criteria that subject qualified individuals with disabilities to 
discrimination on the basis of disability.
    (6) The agency may not administer a licensing or certification 
program in a manner that subjects qualified individuals with 
disabilities to discrimination on the basis of disability, nor may the 
agency establish requirements for the programs or activities of 
licensees or certified entities that subject qualified individuals with 
disabilities to discrimination on the basis of disability. However, the 
programs or activities of entities that are licensed or certified by the 
agency are not, themselves, covered by this regulation.
    (c) The exclusion of individuals without disabilities from the 
benefits of a program limited by Federal statute or Executive order to 
individuals with disabilities or the exclusion of a specific class of 
individuals with disabilities from a program limited by Federal statute 
or Executive order to a different class of individuals with disabilities 
is not prohibited by this regulation.
    (d) The agency shall administer programs and activities in the most 
integrated setting appropriate to the needs of qualified individuals 
with disabilities.



Sec. Sec.  1251.531-1251.539  [Reserved]



Sec.  1251.540  Employment.

    (a) General. No qualified individual shall, on the basis of 
disability, be subjected to discrimination in employment under any 
program or activity to which this part applies.
    (b) Employment discrimination standards. The standards used to 
determine whether paragraph (a) of this section has been violated shall 
be the standards applied under Title I of the Americans with 
Disabilities Act of 1990 (42 U.S.C. 12,111 et seq.) and, as such 
sections relate to employment, the provisions of sections 501 through 
504 and 510 of the Americans with Disabilities Act of 1990 (42 U.S.C. 
12201-12204 and 12210), as amended by the ADA Amendments Act of 2008 
(Pub. L. 110-325), as such standards are implemented in the Equal 
Employment Opportunity Commission's regulation at 29 CFR part 1630, as 
amended.

[81 FR 3713, Jan. 22, 2016]



Sec. Sec.  1251.541-1251.548  [Reserved]



Sec.  1251.549  Program accessibility: Discrimination prohibited.

    Except as otherwise provided in Sec.  1251.550, no qualified 
individual with disabilities shall, because the agency's facilities are 
inaccessible to or unusable by individuals with disabilities, be denied 
the benefits of, be excluded from participation in, or otherwise be 
subjected to discrimination under any program or activity conducted by 
the agency.



Sec.  1251.550  Program accessibility: Existing facilities.

    (a) General. The agency shall operate each program or activity so 
that the program or activity, when viewed in its entirety, is readily 
accessible to and usable by individuals with disabilities. This 
paragraph does not--
    (1) Necessarily require the agency to make each of its existing 
facilities accessible to and usable by individuals with disabilities;
    (2) In the case of historic preservation programs, require the 
Agency to take any action that would threaten or destroy the historic 
significance of historic properties.
    (3) Require the agency to take any action that it can demonstrate 
would result in a fundamental alteration in the nature of a program or 
activity or in undue financial and administrative burdens. In those 
circumstances where agency personnel believe that the proposed action 
would fundamentally alter the program or activity or would result in 
undue financial and administrative burdens, the agency has the burden of 
proving that compliance with Sec.  1251.550(a) would result in such 
alteration or burdens. The decision that compliance would result in such 
alteration or burdens must be made by the agency head or his or her 
designee after considering all agency resources available for use in the 
funding and operation of the conducted program or activity, and must be 
accompanied by

[[Page 185]]

a written statement of the reasons for reaching that conclusion. If an 
action would result in such an alteration or such burdens, the agency 
shall take any other action that would not result in such an alteration 
or such burdens but would nevertheless ensure that individuals with 
disabilities receive the benefits and services of the program or 
activity.
    (b) Methods--(1) General. The agency may comply with the 
requirements of this section through such means as redesign of 
equipment, reassignment of services to accessible buildings, assignment 
of aides to beneficiaries, home visits, delivery of services at 
alternate accessible sites, alteration of existing facilities and 
construction of new facilities, use of accessible rolling stock, or any 
other methods that result in making its programs or activities readily 
accessible to and usable by individuals with disabilities. The agency is 
not required to make structural changes in existing facilities where 
other methods are effective in achieving compliance with this section. 
The agency, in making alterations to existing buildings, shall meet 
accessibility requirements to the extent compelled by the Architectural 
Barriers Act of 1968, as amended (42 U.S.C. 4151-4157), and any 
regulations implementing it. In choosing among available methods for 
meeting the requirements of this section, the agency shall give priority 
to those methods that offer programs and activities to qualified 
individuals with disabilities in the most integrated setting 
appropriate.
    (2) Historic preservation programs. In meeting the requirements of 
Sec.  1251.550(a) in historic preservation programs, the agency shall 
give priority to methods that provide physical access to individuals 
with disabilities. In cases where a physical alteration to an historic 
property is not required because of Sec.  1251.550(a)(2) or (3), 
alternative methods of achieving program accessibility include--
    (i) Using audio-visual materials and devices to depict those 
portions of an historic property that cannot otherwise be made 
accessible;
    (ii) Assigning persons to guide individuals with disabilities into 
or through portions of historic properties that cannot otherwise be made 
accessible; or
    (iii) Adopting other innovative methods.
    (c) Time period for compliance. The agency shall comply with the 
obligations established under this section by November 7, 1988, except 
that where structural changes in facilities are undertaken, such changes 
shall be made by September 6, 1991, but in any event as expeditiously as 
possible.
    (d) Transition plan. In the event that structural changes to 
facilities will be undertaken to achieve program accessibility, the 
agency shall develop, by March 6, 1989, a transition plan setting forth 
the steps necessary to complete such changes. The agency shall provide 
an opportunity to interested persons, including individuals with 
disabilities or organizations representing individuals with 
disabilities, to participate in the development of the transition plan 
by submitting comments (both oral and written). A copy of the transition 
plan shall be made available for public inspection. The plan shall, at a 
minimum--
    (1) Identify physical obstacles in the agency's facilities that 
limit the accessibility of its programs or activities to individuals 
with disabilities;
    (2) Describe in detail the methods that will be used to make the 
facilities accessible;
    (3) Specify the schedule for taking the steps necessary to achieve 
compliance with this section and, if the time period of the transition 
plan is longer than one year, identify steps that will be taken during 
each year of the transition period; and
    (4) Indicate the official responsible for implementation of the 
plan.

[53 FR 25882, 25885, July 8, 1988, as amended at 81 FR 3713, Jan. 22, 
2016]



Sec.  1251.551  Program accessibility: New construction and alterations.

    Each building or part of a building that is constructed or altered 
by, on behalf of, or for the use of the agency shall be designed, 
constructed, or altered so as to be readily accessible to and usable by 
individuals with disabilities. The definitions, requirements,

[[Page 186]]

and standards of the Architectural Barriers Act (42 U.S.C. 4151-4157), 
as established in 41 CFR part 102-76, subpart C, apply to buildings 
covered by this section.

[81 FR 3714, Jan. 22, 2016]



Sec. Sec.  1251.552-1251.559  [Reserved]



Sec.  1251.560  Communications.

    (a) The agency shall take appropriate steps to ensure effective 
communication with applicants, participants, personnel of other Federal 
entities, and members of the public.
    (1) The agency shall furnish appropriate auxiliary aids where 
necessary to afford an individual with disabilities an equal opportunity 
to participate in, and enjoy the benefits of, a program or activity 
conducted by the agency.
    (i) In determining what type of auxiliary aid is necessary, the 
agency shall give primary consideration to the requests of the 
individual with disabilities.
    (ii) The agency need not provide individually prescribed devices, 
readers for personal use or study, or other devices of a personal 
nature.
    (2) Where the agency communicates with applicants and beneficiaries 
by telephone, telecommunication devices for deaf persons (TDD's) or 
equally effective telecommunication systems shall be used to communicate 
with persons with impaired hearing.
    (b) The agency shall ensure that interested persons, including 
persons with impaired vision or hearing, can obtain information as to 
the existence and location of accessible services, activities, and 
facilities.
    (c) The agency shall provide signage at a primary entrance to each 
of its inaccessible facilities, directing users to a location at which 
they can obtain information about accessible facilities. The 
international symbol for accessibility shall be used at each primary 
entrance of an accessible facility.
    (d) This section does not require the agency to take any action that 
it can demonstrate would result in a fundamental alteration in the 
nature of a program or activity or in undue financial and administrative 
burdens. In those circumstances where agency personnel believe that the 
proposed action would fundamentally alter the program or activity or 
would result in undue financial and administrative burdens, the agency 
has the burden of proving that compliance with Sec.  1251.560 would 
result in such alteration or burdens. The decision that compliance would 
result in such alteration or burdens must be made by the agency head or 
his or her designee after considering all agency resources available for 
use in the funding and operation of the conducted program or activity 
and must be accompanied by a written statement of the reasons for 
reaching that conclusion. If an action required to comply with this 
section would result in such an alteration or such burdens, the agency 
shall take any other action that would not result in such an alteration 
or such burdens but would nevertheless ensure that, to the maximum 
extent possible, individuals with disabilities receive the benefits and 
services of the program or activity.



Sec. Sec.  1251.561-1251.569  [Reserved]



Sec.  1251.570  Compliance procedures.

    (a) Except as provided in paragraph (b) of this section, this 
section applies to all allegations of discrimination on the basis of 
disability in programs and activities conducted by the agency.
    (b) The Agency shall process complaints alleging violations of 
section 504 of the Rehabilitation Act with respect to employment 
according to the procedures established by the Equal Employment 
Opportunity Commission in 29 CFR part 1640 pursuant to section 501 of 
the Rehabilitation Act of 1973 (29 U.S.C. 791).
    (c) The Associate Administrator for Diversity and Equal Opportunity 
shall be responsible for coordinating implementation of this section. 
Complaints may be sent to the Office of Diversity and Equal Opportunity, 
NASA Headquarters, 300 E Street SW., Washington, DC 20546.
    (d) The agency shall accept and investigate all complete complaints 
for which it has jurisdiction. All complete complaints must be filed 
within 180 days of the alleged act of discrimination. The agency may 
extend this time period for good cause.

[[Page 187]]

    (e) If the agency receives a complaint over which it does not have 
jurisdiction, it shall promptly notify the complainant and shall make 
reasonable efforts to refer the complaint to the appropriate Government 
entity.
    (f) The agency shall notify the Architectural and Transportation 
Barriers Compliance Board upon receipt of any complaint alleging that a 
building or facility that is subject to the Architectural Barriers Act 
of 1968, as amended (42 U.S.C. 4151-4157), is not readily accessible to 
and usable by individuals with disabilities.
    (g) Within 180 days of the receipt of a complete complaint for which 
it has jurisdiction, the agency shall notify the complainant of the 
results of the investigation in a letter containing--
    (1) Findings of fact and conclusions of law;
    (2) A description of a remedy for each violation found; and
    (3) A notice of the right to appeal.
    (h) Appeals of the findings of fact and conclusions of law or 
remedies must be filed by the complainant within 90 days of receipt from 
the agency of the letter required by Sec.  1251.570(g). The agency may 
extend this time for good cause.
    (i) Timely appeals shall be accepted and processed by the head of 
the agency.
    (j) The head of the agency shall notify the complainant of the 
results of the appeal within 60 days of the receipt of the request. If 
the head of the agency determines that additional information is needed 
from the complainant, he or she shall have 60 days from the date of 
receipt of the additional information to make his or her determination 
on the appeal.
    (k) The time limits cited in paragraphs (g) and (j) of this section 
may be extended with the permission of the Assistant Attorney General.
    (l) The agency may delegate its authority for conducting complaint 
investigations to other Federal agencies, except that the authority for 
making the final determination may not be delegated to another agency.

[53 FR 25882, 25885, July 8, 1989, as amended at 81 FR 3714, Jan. 22, 
2016]



Sec. Sec.  1251.571-1251.579  [Reserved]



Sec.  1251.580  Direct threat.

    (a) This part does not require the Agency to permit an individual to 
participate in or benefit from the services, programs, or activities of 
that recipient when that individual poses a direct threat to the health 
or safety of others.
    (b) In determining whether an individual poses a direct threat to 
the health or safety of others, the Agency must make an individualized 
assessment, based on reasonable judgment that relies on current medical 
knowledge or on the best available objective evidence, to ascertain: The 
nature, duration, and severity of the risk; the probability that the 
potential injury will actually occur; and whether reasonable 
accommodations in policies, practices, or procedures or the provision of 
auxiliary aids or services will mitigate the risk.

[81 FR 3714, Jan. 22, 2016]



Sec.  1251.581  Reasonable accommodation.

    The Agency shall make reasonable accommodations in policies, 
practices, or procedures when such accommodations are necessary to avoid 
discrimination on the basis of disability, unless the Agency can 
demonstrate that making the accommodations would fundamentally alter the 
nature of the service, program, or activity or result in an undue 
financial and administrative burden.

[81 FR 3714, Jan. 22, 2016]



Sec.  1251.582  Illegal use of drugs

    (a) General. (1) Except as provided in paragraph (b) of this 
section, this part does not prohibit discrimination against an 
individual based on that individual's current illegal use of drugs.
    (2) The Agency shall not discriminate on the basis of illegal use of 
drugs against an individual who is not engaging in current illegal use 
of drugs and who--
    (i) Has successfully completed a supervised drug rehabilitation 
program or has otherwise been rehabilitated successfully;
    (ii) Is participating in a supervised rehabilitation program; or




[[Page 188]]


    (iii) Is erroneously regarded as engaging in such use.
    (b) Health and drug rehabilitation services. (1) The Agency shall 
not deny health services, or services provided in connection with drug 
rehabilitation, to an individual on the basis of that individual's 
current illegal use of drugs, if the individual is otherwise entitled to 
such services.
    (2) A drug rehabilitation or treatment program may deny 
participation to individuals who engage in illegal use of drugs while 
they are in the program.
    (c) Drug testing. (1) This part does not prohibit the Agency from 
adopting or administering reasonable policies or procedures, including 
but not limited to drug testing, designed to ensure that an individual 
who formerly engaged in the illegal use of drugs is not now engaging in 
current illegal use of drugs.
    (2) Nothing in this paragraph (c) shall be construed to encourage, 
prohibit, restrict, or authorize the conducting of testing for the 
illegal use of drugs.
[81 FR 3714, Jan. 22, 2016]



Sec. Sec.  1251.583-1251.999  [Reserved]



PART 1252_NONDISCRIMINATION ON THE BASIS OF AGE IN PROGRAMS OR 
ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE
--Table of Contents



                         Subpart 1252.1_General

Sec.
1252.100 What is the purpose of NASA's age discrimination regulations?
1252.102 To what programs or activities do these regulations apply?
1252.103 Definitions.

       Subpart 1252.2_Standards for Determining Age Discrimination

1252.200 Rules against age discrimination.
1252.201 Exceptions to the rules against age discrimination.
1252.202 Burden of proof.
1252.203 Special benefits for children and the elderly.

              Subpart 1252.3_Responsibilities of Recipients

1252.300 General responsibilities of recipients.
1252.301 Notice to subrecipients.
1252.302 Assurance of compliance and recipient assessment of age 
          distinctions.
1252.303 Information requirements.

 Subpart 1252.4_Investigation, Conciliation, and Enforcement Procedures

1252.400 Compliance reviews.
1252.401 Complaints.
1252.402 Mediation.
1252.403 Investigation.
1252.404 Prohibition against intimidation or retaliation.
1252.405 Compliance procedure.
1252.406 Hearings.
1252.407 Notices, decisions, and post-termination proceedings.
1252.408 Remedial action by recipients.
1252.409 Alternate funds disbursal procedure.
1252.410 Exhaustion of administrative remedies.
1252.411 Age distinctions.

    Authority: Age Discrimination Act of 1975, as amended, 42 U.S.C. 
6101 et seq. (45 CFR part 90).
    Source: 50 FR 13311, Apr. 4, 1985, unless otherwise noted.



                         Subpart 1252.1_General



Sec.  1252.100  What is the purpose of NASA's age discrimination
regulations?

    The purpose of these regulations is to set out NASA's policies and 
to implement agencywide or agency procedures under the Age 
Discrimination Act of 1975 according to the government-wide age 
discrimination regulations at 45 CFR part 90. (Published at 44 FR 33768, 
June 12, 1979.) The Act and the government-wide regulations prohibit 
discrimination on the basis of age in programs or activities receiving 
Federal financial assistance. The Act and the governmentwide regulations 
permit federally assisted programs or activities and recipients of 
Federal funds, to continue to use age distinctions and factors other 
than age which meet the requirements of the Act and the governmentwide 
regulations.
[50 FR 13311, Apr. 4, 1985, as amended at 68 FR 51352, Aug. 26, 2003]



Sec.  1252.102  To what programs or activities do these
regulations apply?

    (a) These regulations apply to each NASA recipient and to each 
program or activity operated by the recipient

[[Page 189]]

which receives Federal financial assistance provided by NASA.
    (b) The Age Discrimination Act of 1975 does not apply to:
    (1) An age distinction contained in that part of a Federal, State, 
or local statute or ordinance adopted by an elected body which:
    (i) Provides any benefits or assistance to persons based on age; or
    (ii) Establishes criteria for participation in age-related terms; or
    (iii) Describes intended beneficiaries or target groups in age-
related terms.
    (2) Any employment practice of any employer, employment agency, 
labor organization, or any labor-management joint apprenticeship 
training program, except for any program or activity receiving Federal 
financial assistance for public service employment under the 
Comprehensive Employment and Training Act of 1974 (CETA) (29 U.S.C. 801 
et seq.).
[50 FR 13311, Apr. 4, 1985, as amended at 68 FR 51352, Aug. 26, 2003]



Sec.  1252.103  Definitions.

    As used in these regulations, the term:
    (a) Act means the Age Discrimination Act of 1975, as amended. (Title 
III of Pub. L. 94-135.)
    (b) Action means any act, activity, policy, rule, standard, or 
method of administration; or the use of any policy, rule, standard, or 
method of administration.
    (c) Age means how old a person is, or the number of elapsed years 
from the date of a person's birth.
    (d) Age distinction means any action using age or an age-related 
term.
    (e) Age-related term means a word or words which necessarily imply a 
particular age or range of ages (for example, ``children,''``adult,'' 
``older persons,'' but not ``student'').
    (f) Discrimination means unlawful treatment based on age.
    (g) NASA means the National Aeronautics and Space Administration.
    (h) Federal financial assistance means any grant, entitlement, loan, 
cooperative agreement contract (other than a procurement contract or a 
contract of insurance or guaranty), or any other arrangement by which 
the agency provides or otherwise makes available assistance in the form 
of:
    (1) Funds;
    (2) Services of Federal personnel; or interest in or use of 
property, including:
    (i) Transfer or lease of property for less than fair market value or 
for reduced consideration; and
    (ii) Proceeds from a subsequent transfer or lease of property if the 
Federal share of its fair market value is not returned to the Federal 
Government.
    (i) FMCS means the Federal Mediation and Conciliation Service.
    (j) Recipient means any State or its political subdivision, any 
instrumentality of a State or its political subdivision, any public or 
private agency, institution, organization, or other entity, or any 
person to which Federal financial assistance is extended, directly or 
through another recipient. Recipient includes any successor, assignee, 
or transferee, but excludes the ultimate beneficiary of the assistance.
    (k) Administrator means the Administrator of the National 
Aeronautics and Space Administration or designee.
    (l) Subrecipient means any of the entities in the definition of 
``recipient'' to which a recipient extents or passes on Federal 
financial assistance. A subrecipient is generally regarded as a 
recipient of Federal financial assistance and has all the duties of a 
recipient in these regulations.
    (m) United States means the 50 States, the District of Columbia, 
Puerto Rico, the Virgin Islands, American Samoa, Guam, Wake Island, the 
Canal Zone, the Trust Territory of the Pacific Islands, the Northern 
Marianas, and the territories and possessions of the United States.
    (n) Program or activity means all of the operations of any entity 
described in paragraphs (n)(1) through (4) of this section, any part of 
which is extended Federal financial assistance:
    (1)(i) A department, agency, special purpose district, or other 
instrumentality of a State or of a local government; or
    (ii) The entity of such State or local government that distributes 
such assistance and each such department or agency (and each other State 
or local

[[Page 190]]

government entity) to which the assistance is extended, in the case of 
assistance to a State or local government;
    (2)(i) A college, university, or other postsecondary institution, or 
a public system of higher education; or
    (ii) A local educational agency (as defined in 20 U.S.C. 7801), 
system of vocational education, or other school system;
    (3)(i) An entire corporation, partnership, or other private 
organization, or an entire sole proprietorship--
    (A) If assistance is extended to such corporation, partnership, 
private organization, or sole proprietorship as a whole; or
    (B) Which is principally engaged in the business of providing 
education, health care, housing, social services, or parks and 
recreation; or
    (ii) The entire plant or other comparable, geographically separate 
facility to which Federal financial assistance is extended, in the case 
of any other corporation, partnership, private organization, or sole 
proprietorship; or
    (4) Any other entity which is established by two or more of the 
entities described in paragraph (n)(1), (2), or (3) of this section.

[50 FR 13311, Apr. 4, 1985, as amended at 68 FR 51351, Aug. 26, 2003]



       Subpart 1252.2_Standards for Determining Age Discrimination



Sec.  1252.200  Rules against age discrimination.

    The rules stated in this section are limited by the exceptions 
contained in Sec.  1252.201.
    (a) General rule: No person in the United States shall, on the basis 
of age be excluded from participation in, be denied the benefits of, or 
be subjected to discrimination under any program or activity receiving 
Federal financial assistance.
    (b) Specific rules: A recipient may not, in any program or activity 
receiving Federal financial assistance, directly or through contractual, 
licensing, or other arrangements use age distinctions or take any other 
actions which have the effect, on the basis of age, of:
    (1) Excluding individuals from, denying them the benefits of, or 
subjecting them to discrimination under a program or activity receiving 
Federal financial assistance; or
    (2) Denying or limiting individuals in their opportunity to 
participate in any program or activity receiving Federal financial 
assistance.
    (c) The specific forms of age discrimination listed in paragraph (b) 
of this section do not necessarily constitute a complete list.



Sec.  1252.201  Exceptions to the rules against age discrimination.

    (a) Definitions. For purposes of this section, the terms normal 
operation and statutory objective shall have the following meaning:
    (1) Normal operation means the operation of a program or activity 
without significant changes that would impair its ability to meet its 
objectives.
    (2) Statutory objective means any purpose of a program or activity 
expressly stated in any Federal statute, state statute or local statute 
or ordinance adopted by any elected, general purpose legislative body.
    (b) Normal operation or statutory objective of any program or 
activity. A recipient is permitted to take an action otherwise 
prohibited by Sec.  1252.200 if the action reasonably takes into account 
age as a factor necessary to the normal operation of the achievement of 
any statutory objective of a program or activity. An action reasonably 
takes into account age as a factor necessary to the normal operation or 
the achievement of any statutory objective of a program or activity, if:
    (1) Age is used as a measure of approximation of one or more other 
characteristics; and
    (2) The other characteristic(s) must be measured or approximated in 
order for the normal operation of the program or activity to continue, 
or to achieve any statutory objective of the program or activity; and
    (3) The other characteristic(s) can be reasonably measured or 
approximated by the use of age; and
    (4) The other characteristic(s) are impractical to measure directly 
on an individual basis.
    (c) Reasonable factors other than age. A recipient is permitted to 
take an action otherwise prohibited by

[[Page 191]]

Sec.  1252.200 which is based on a factor other than age, even though 
that action may have a disproportionate effect on persons of different 
ages. An action may be based on a factor other than age only if the 
factor bears a direct and substantial relationship to the normal 
operation of the program or activity or to the achievement of a 
statutory objective.



Sec.  1252.202  Burden of proof.

    The burden of proving that an age distinction or other action falls 
within the exceptions outlined in Sec.  1252.201 (b) and (c) is on the 
recipient of Federal financial assistance.



Sec.  1252.203  Special benefits for children and the elderly.

    If a recipient operating a program or activity provides special 
benefits to the elderly or to children, such use of age distinctions 
shall be presumed to be necessary to the normal operation of the program 
or activity, notwithstanding the provision of Sec.  1252.10.
[50 FR 13311, Apr. 4, 1985, as amended at 68 FR 51352, Aug. 26, 2003]



              Subpart 1252.3_Responsibilities of Recipients



Sec.  1252.300  General responsibilities of recipients.

    Each NASA recipient must ensure that its programs or activities 
comply with these regulations.
[50 FR 13311, Apr. 4, 1985, as amended at 68 FR 51352, Aug. 26, 2003]



Sec.  1252.301  Notice to subrecipients.

    Where a recipient passes on Federal financial assistance from NASA 
to subrecipients, the recipient shall provide the subrecipient written 
notice of their obligations under these regulations.



Sec.  1252.302  Assurance of compliance and recipient assessment
of age distinctions.

    (a) Each recipient of Federal financial assistance from NASA shall 
sign a written assurance as specified by NASA that it will comply with 
the Act and these regulations.
    (b) Recipient assessment of age distinctions. (1) As part of a 
compliance review under Sec.  91.41, NASA may require a recipient 
employing the equivalent of 15 or more employees to complete a written 
self-evaluation, in a manner specified by the responsible Agency 
official, of any age distinction imposed in its program or activity 
receiving Federal financial assistance from NASA to assess the 
recipient's compliance with the Act.
    (2) Whenever an assessment indicates a violation of the Act and the 
NASA regulations, the recipient shall take corrective action.



Sec.  1252.303  Information requirements.

    (a) Keep records in a form that contains information which NASA 
determines may be necessary to ascertain whether the recipient is 
complying with the Act and these regulations.
    (b) Provide to NASA, upon request, information and reports which 
NASA determines are necessary to ascertain whether the recipient is 
complying with the Act and these regulations.
    (c) Permit reasonable access by NASA to the books, records, 
accounts, and other recipient facilities and sources of information to 
the extent NASA determines is necessary to ascertain whether the 
recipient is complying with the Act and these regulations.



 Subpart 1252.4_Investigation, Conciliation, and Enforcement
 Procedures



Sec.  1252.400  Compliance reviews.

    (a) NASA may conduct compliance reviews and pre-award reviews of 
recipients or use other similar procedures that will permit it to 
investigate and correct violations of the Act and these regulations. 
NASA may conduct these reviews even in the absence of a complaint 
against a recipient. The review may be as comprehensive as necessary to 
determine whether a violation of these regulations has occurred.
    (b) If a compliance review or pre-award review indicates a violation 
of the Act or these regulations, NASA will attempt to secure the 
recipient's voluntary compliance with the Act. If voluntary compliance 
cannot be achieved, NASA will arrange for enforcement as described in 
Sec.  1252.405.

[[Page 192]]



Sec.  1252.401  Complaints.

    (a) Any person, individually or as a member of a class or on behalf 
of others, may file a complaint with NASA, alleging discrimination 
prohibited by the Act or these regulations based on an action occurring 
on or after July 1, 1979. A complaint must be filed within 180 days from 
the date the complainant first had knowledge of the alleged act of 
discrimination. However, for good cause shown, NASA may extend this time 
limit.
    (b) NASA will attempt to facilitate the filing of complaints 
wherever possible, including taking the following measures:
    (1) Accepting as a sufficient complaint, any written statement, 
which identifies the parties involved and the date the complainant first 
had knowledge of the alleged violation, describes generally the action 
or practice complained of, and assigned by the complainant.
    (2) Freely permitting a complainant to add information to the 
complaint to meet the requirements of a sufficient complaint.
    (3) Widely disseminating information regarding the obligations of 
recipients under the Act and these regulations.
    (4) Notifying the complainant and the recipient of their rights and 
obligations under the complaint procedure, including the right to have a 
representative at all stages of the complaint procedure.
    (5) Notifying the complainant and the recipient (or their 
representatives) of their right to contact NASA for information and 
assistance regarding the complaint resolution process.
    (c) NASA will return to the complainant any complaint outside the 
jurisdiction of these regulations, and will state the reason(s) why it 
is outside the jurisdiction of these regulations.



Sec.  1252.402  Mediation.

    (a) Referral of complaints for mediation. NASA will refer to the 
Federal Mediation and Conciliation Service all complaints that:
    (1) Fall within the jurisdiction of the Act and these regulations; 
and
    (2) Contain all information necessary for further processing.
    (b) Both the complainant and the recipient shall participate in the 
mediation process to the extent necessary to reach an agreement or make 
an informed judgment that an agreement is not possible. There must be at 
least one meeting with the mediator before NASA will accept a judgment 
that an agreement is not possible. However, the recipient and the 
complainant need not meet with the mediator at the same time.
    (c) If the complainant and the recipient reach an agreement, the 
mediator shall prepare a written statement of the agreement and have the 
complainant and recipient sign it. The mediator shall send a copy of the 
agreement to NASA. NASA will take no further action on the complaint 
unless the complainant or the recipient fails to comply with the 
agreement. However, NASA retains the right to monitor the recipient's 
compliance with the agreement.
    (d) The mediator shall protect the confidentiality of all 
information obtained in the course of the mediation process. No mediator 
shall testify in any adjudicative proceeding, produce any document, or 
otherwise disclose any information obtained in the course of the 
mediation process without prior approval of the head of the mediation 
agency.
    (e) NASA will use the mediation process for a maximum of 60 days 
after receiving a complaint.
    (f) Mediation ends if:
    (1) 60 days elapse from the time NASA receives the complaint; or
    (2) Prior to the end of that 60-day period, an agreement is reached; 
or
    (3) Prior to the end of that 60-day period, the mediator determines 
that an agreement cannot be reached.
    (g) The mediator shall return unresolved complaints to NASA.



Sec.  1252.403  Investigation.

    (a) Informal inquiry. (1) NASA will investigate complaints that are 
unresolved after mediation or are reopened because of a violation of a 
mediation agreement.
    (2) As part of the initial inquiry, NASA will use informal fact 
finding methods, including joint or separate discussions with the 
complainant and

[[Page 193]]

recipient to establish the facts, and, if possible, settle the complaint 
on terms that are mutually agreeable to the parties. NASA may seek the 
assistance of any involved State agency.
    (3) NASA will put any agreement in writing and have it signed by the 
parties and an authorized official at NASA.
    (4) The settlement shall not affect the operation of any other 
enforcement effort of NASA, including compliance reviews and 
investigation of other complaints which may involve the recipient.
    (5) The settlement is not a finding of discrimination against a 
recipient.
    (b) Formal investigation. If NASA cannot resolve the complaint 
through informal means it will develop formal findings through further 
investigations of the complaint. If the investigation indicates a 
violation of these regulations, NASA will attempt to obtain voluntary 
compliance. If NASA cannot obtain voluntary compliance, it will begin 
enforcement as described in Sec.  1252.405.
[50 FR 13311, Apr. 4, 1985, as amended at 68 FR 51352, Aug. 26, 2003]



Sec.  1252.404  Prohibition against intimidation or retaliation.

    A recipient may not engage in acts of intimidation or retaliation 
against any person who:
    (a) Attempts to assert a right protected by the Act or these 
regulations; or
    (b) Cooperates in any mediation, inquiry, hearing, or other part of 
NASA's investigation, conciliation, and enforcement process.



Sec.  1252.405  Compliance procedure.

    (a) NASA may enforce the Act and these regulations through:
    (1) Termination of a recipient's Federal financial assistance from 
NASA under the program or activity involved where the recipient has 
violated the Act or these regulations. The determination of the 
recipient's violation may be made only after a recipient has had an 
opportunity for a hearing on the record before an administrative law 
judge. Therefore, cases which are settled in mediation, or prior to a 
hearing, will not involve termination of a recipient's Federal financial 
assistance from NASA.
    (2) Any other means authorized by law including but not limited to:
    (i) Referral to the Department of Justice for proceedings to enforce 
any rights of the United States or obligations of the recipient created 
by the Act or these regulations.
    (ii) Use of any requirement of or referral to any Federal, State, or 
local government agency that will have the effect of correcting a 
violation of the Act or these regulations.
    (b) NASA will limit any termination under Sec.  1252.405(a)(1) to 
the particular program or activity NASA finds in violations of these 
regulations. NASA will not base any part of a termination on a finding 
with respect to any program or activity of the recipient which does not 
receive Federal financial assistance from NASA.
    (c) NASA will take no action under paragraph (a) until:
    (1) The Administrator has advised the recipient of its failure to 
comply with the Act and these regulations and has determined that 
voluntary compliance cannot be obtained.
    (2) 30 days have elapsed after the Administrator has sent a written 
report of the circumstances and grounds of the action to the committees 
of Congress having legislative jurisdiction over the program or activity 
involved. The Administrator will file a report whenever any action is 
taken under paragraph (a) of this section.
    (d) NASA also may defer granting new Federal financial assistance 
from NASA to a recipient when a hearing under Sec.  1252.405(a)(1) is 
initiated.
    (1) New Federal financial assistance from NASA includes all 
assistance for which NASA requires an application or approval, including 
renewal or continuation of existing activities during the deferral 
period. New Federal financial assistance from NASA does not include 
assistance approved prior to the beginning of a hearing under Sec.  
1252.405(a)(1).
    (2) NASA will not begin a deferral until the recipient has received 
a notice of an opportunity for a hearing under Sec.  1252.405(a)(1). 
NASA will not continue a deferral for more than 60 days unless a hearing 
has begun within that time or the time for beginning the

[[Page 194]]

hearing has been extended by mutual consent of the recipient and the 
Administrator. NASA will not continue a deferral for more than 30 days 
after the close of the hearing, unless the hearing results in a finding 
against the recipient.
[50 FR 13311, Apr. 4, 1985, as amended at 68 FR 51352, Aug. 26, 2003]



Sec.  1252.406  Hearings.

    The procedural provisions for those hearings required by Sec.  
1252.405 are contained in 14 CFR 1250.108.



Sec.  1252.407  Notices, decisions, and post-termination proceedings.

    All notices, decisions, and post-termination proceedings, insofar as 
NASA is concerned, shall be made in accordance with 14 CFR 1250.109.



Sec.  1252.408  Remedial action by recipients.

    (a) Where NASA finds a recipient has discriminated on the basis of 
age, the recipient shall take any remedial action that NASA may require 
to overcome the effects of the discrimination. If another recipient 
exercises control over the recipient that has discriminated, NASA may 
require both recipients to take remedial action.
    (b) Even in the absence of discrimination, a recipient may take 
affirmative action to overcome the effects of conditions that resulted 
in limited participation in the recipients program or activity on the 
basis of age.



Sec.  1252.409  Alternate funds disbursal procedure.

    (a) When NASA withholds funds from a recipient under these 
regulations, the Administrator may disburse the withheld funds directly 
to an alternate recipient.
    (b) The Administrator will require any alternate recipient to 
demonstrate:
    (1) The ability to comply with these regulations; and
    (2) The ability to achieve the goals of the Federal statute 
authorizing the Federal financial assistance.
[50 FR 13311, Apr. 4, 1985, as amended at 68 FR 51352, Aug. 26, 2003]



Sec.  1252.410  Exhaustion of administrative remedies.

    (a) A complainant may file a civil action following the exhaustion 
of administrative remedies under the Act. Administrative remedies are 
exhausted if:
    (1) 180 days have elapsed since the complainant filed the complaint 
and NASA has made no finding with regard to the complaint; or
    (2) NASA issues any findings in favor of the recipient.
    (b) If NASA fails to make a finding within 180 days or issues a 
finding in favor of the recipient, NASA will:
    (1) Promptly advise the complainant of this fact; and
    (2) Advise the complainant of his or her right to bring a civil 
action for injunctive relief; and
    (3) Inform the complainant:
    (i) That the complainant may bring a civil action only in a United 
States district court for the district in which the recipient is located 
or transacts business;
    (ii) That a complainant prevailing in a civil action has the right 
to be awarded the costs of the action, including reasonable attorney's 
fees, but that the complainant must demand these costs in the complaint.
    (iii) That before commencing the action the complainant shall give 
30 days notice by registered mail to the Administrator, the Attorney 
General of the United States, and
    (iv) That the notice must state: the alleged violation of the act; 
the relief requested; the court in which the complainant is bringing the 
action; and, whether or not attorney's fees are demanded in the event 
the complainant prevails; and
    (v) That the complainant may not bring an action if the same alleged 
violation of the Act by the same recipient is the subject of a pending 
action in any court of the United States.



Sec.  1252.411  Age distinctions.

    There are no Federal statutes or regulations containing age 
distinctions which affect financial assistance administered by the 
agency.

[[Page 195]]



PART 1253_NONDISCRIMINATION ON THE BASIS OF SEX IN EDUCATION
PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE
--Table of Contents



                         Subpart A_Introduction

Sec.
1253.100 Purpose and effective date.
1253.105 Definitions.
1253.110 Remedial and affirmative action and self-evaluation.
1253.115 Assurance required.
1253.120 Transfers of property.
1253.125 Effect of other requirements.
1253.130 Effect of employment opportunities.
1253.135 Designation of responsible employee and adoption of grievance 
          procedures.
1253.140 Dissemination of policy.

                           Subpart B_Coverage

1253.200 Application.
1253.205 Educational institutions and other entities controlled by 
          religious organizations.
1253.210 Military and merchant marine educational institutions.
1253.215 Membership practices of certain organizations.
1253.220 Admissions.
1253.225 Educational institutions eligible to submit transition plans.
1253.230 Transition plans.
1253.235 Statutory amendments.

     Subpart C_Discrimination on the Basis of Sex in Admission and 
                         Recruitment Prohibited

1253.300 Admission.
1253.305 Preference in admission.
1253.310 Recruitment.

 Subpart D_Discrimination on the Basis of Sex in Education Programs or 
                          Activities Prohibited

1253.400 Education programs or activities.
1253.405 Housing.
1253.410 Comparable facilities.
1253.415 Access to course offerings.
1253.420 Access to schools operated by LEAs.
1253.425 Counseling and use of appraisal and counseling materials.
1253.430 Financial assistance.
1253.435 Employment assistance to students.
1253.440 Health and insurance benefits and services.
1253.445 Marital or parental status.
1253.450 Athletics.
1253.455 Textbooks and curricular material.

Subpart E_Discrimination on the Basis of Sex in Employment in Education 
                    Programs or Activities Prohibited

1253.500 Employment.
1253.505 Employment criteria.
1253.510 Recruitment.
1253.515 Compensation.
1253.520 Job classification and structure.
1253.525 Fringe benefits.
1253.530 Marital or parental status.
1253.535 Effect of state or local law or other requirements.
1253.540 Advertising.
1253.545 Pre-employment inquiries.
1253.550 Sex as a bona fide occupational qualification.

                          Subpart F_Procedures

1253.600 Notice of covered programs.
1253.605 Enforcement procedures.
    Authority: 20 U.S.C. 1681, 1682, 1683, 1685, 1686, 1687, 1688.
    Source: 65 FR 52865, 52876, Aug. 30, 2000, unless otherwise noted.



                         Subpart A_Introduction



Sec.  1253.100  Purpose and effective date.

    The purpose of these Title IX regulations is to effectuate Title IX 
of the Education Amendments of 1972, as amended (except sections 904 and 
906 of those Amendments) (20 U.S.C. 1681, 1682, 1683, 1685, 1686, 1687, 
1688), which is designed to eliminate (with certain exceptions) 
discrimination on the basis of sex in any education program or activity 
receiving Federal financial assistance, whether or not such program or 
activity is offered or sponsored by an educational institution as 
defined in these Title IX regulations. The effective date of these Title 
IX regulations shall be September 29, 2000.



Sec.  1253.105  Definitions.

    As used in these Title IX regulations, the term:
    Administratively separate unit means a school, department, or 
college of an educational institution (other than a local educational 
agency) admission to which is independent of admission to any other 
component of such institution.
    Admission means selection for part-time, full-time, special, 
associate,

[[Page 196]]

transfer, exchange, or any other enrollment, membership, or 
matriculation in or at an education program or activity operated by a 
recipient.
    Applicant means one who submits an application, request, or plan 
required to be approved by an official of the Federal agency that awards 
Federal financial assistance, or by a recipient, as a condition to 
becoming a recipient.
    Designated agency official means Associate Administrator for Equal 
Opportunity Programs.
    Educational institution means a local educational agency (LEA) as 
defined by 20 U.S.C. 8801(18), a preschool, a private elementary or 
secondary school, or an applicant or recipient that is an institution of 
graduate higher education, an institution of undergraduate higher 
education, an institution of professional education, or an institution 
of vocational education, as defined in this section.
    Federal financial assistance means any of the following, when 
authorized or extended under a law administered by the Federal agency 
that awards such assistance:
    (1) A grant or loan of Federal financial assistance, including funds 
made available for:
    (i) The acquisition, construction, renovation, restoration, or 
repair of a building or facility or any portion thereof; and
    (ii) Scholarships, loans, grants, wages, or other funds extended to 
any entity for payment to or on behalf of students admitted to that 
entity, or extended directly to such students for payment to that 
entity.
    (2) A grant of Federal real or personal property or any interest 
therein, including surplus property, and the proceeds of the sale or 
transfer of such property, if the Federal share of the fair market value 
of the property is not, upon such sale or transfer, properly accounted 
for to the Federal Government.
    (3) Provision of the services of Federal personnel.
    (4) Sale or lease of Federal property or any interest therein at 
nominal consideration, or at consideration reduced for the purpose of 
assisting the recipient or in recognition of public interest to be 
served thereby, or permission to use Federal property or any interest 
therein without consideration.
    (5) Any other contract, agreement, or arrangement that has as one of 
its purposes the provision of assistance to any education program or 
activity, except a contract of insurance or guaranty.
    Institution of graduate higher education means an institution that:
    (1) Offers academic study beyond the bachelor of arts or bachelor of 
science degree, whether or not leading to a certificate of any higher 
degree in the liberal arts and sciences;
    (2) Awards any degree in a professional field beyond the first 
professional degree (regardless of whether the first professional degree 
in such field is awarded by an institution of undergraduate higher 
education or professional education); or
    (3) Awards no degree and offers no further academic study, but 
operates ordinarily for the purpose of facilitating research by persons 
who have received the highest graduate degree in any field of study.
    Institution of professional education means an institution (except 
any institution of undergraduate higher education) that offers a program 
of academic study that leads to a first professional degree in a field 
for which there is a national specialized accrediting agency recognized 
by the Secretary of Education.
    Institution of undergraduate higher education means:
    (1) An institution offering at least two but less than four years of 
college-level study beyond the high school level, leading to a diploma 
or an associate degree, or wholly or principally creditable toward a 
baccalaureate degree; or
    (2) An institution offering academic study leading to a 
baccalaureate degree; or
    (3) An agency or body that certifies credentials or offers degrees, 
but that may or may not offer academic study.
    Institution of vocational education means a school or institution 
(except an institution of professional or graduate or undergraduate 
higher education) that has as its primary purpose preparation of 
students to pursue a technical, skilled, or semiskilled occupation or 
trade, or to pursue study in a

[[Page 197]]

technical field, whether or not the school or institution offers 
certificates, diplomas, or degrees and whether or not it offers full-
time study.
    Recipient means any State or political subdivision thereof, or any 
instrumentality of a State or political subdivision thereof, any public 
or private agency, institution, or organization, or other entity, or any 
person, to whom Federal financial assistance is extended directly or 
through another recipient and that operates an education program or 
activity that receives such assistance, including any subunit, 
successor, assignee, or transferee thereof.
    Student means a person who has gained admission.
    Title IX means Title IX of the Education Amendments of 1972, Public 
Law 92-318, 86 Stat. 235, 373 (codified as amended at 20 U.S.C. 1681-
1688) (except sections 904 and 906 thereof), as amended by section 3 of 
Public Law 93-568, 88 Stat. 1855, by section 412 of the Education 
Amendments of 1976, Public Law 94-482, 90 Stat. 2234, and by Section 3 
of Public Law 100-259, 102 Stat. 28, 28-29 (20 U.S.C. 1681, 1682, 1683, 
1685, 1686, 1687, 1688).
    Title IX regulations means the provisions set forth at Sec. Sec.  
1253.100 through 1253.605.
    Transition plan means a plan subject to the approval of the 
Secretary of Education pursuant to section 901(a)(2) of the Education 
Amendments of 1972, 20 U.S.C. 1681(a)(2), under which an educational 
institution operates in making the transition from being an educational 
institution that admits only students of one sex to being one that 
admits students of both sexes without discrimination.



Sec.  1253.110  Remedial and affirmative action and self-evaluation.

    (a) Remedial action. If the designated agency official finds that a 
recipient has discriminated against persons on the basis of sex in an 
education program or activity, such recipient shall take such remedial 
action as the designated agency official deems necessary to overcome the 
effects of such discrimination.
    (b) Affirmative action. In the absence of a finding of 
discrimination on the basis of sex in an education program or activity, 
a recipient may take affirmative action consistent with law to overcome 
the effects of conditions that resulted in limited participation therein 
by persons of a particular sex. Nothing in these Title IX regulations 
shall be interpreted to alter any affirmative action obligations that a 
recipient may have under Executive Order 11246, 3 CFR, 1964-1965 Comp., 
p. 339; as amended by Executive Order 11375, 3 CFR, 1966-1970 Comp., p. 
684; as amended by Executive Order 11478, 3 CFR, 1966-1970 Comp., p. 
803; as amended by Executive Order 12086, 3 CFR, 1978 Comp., p. 230; as 
amended by Executive Order 12107, 3 CFR, 1978 Comp., p. 264.
    (c) Self-evaluation. Each recipient education institution shall, 
within one year of September 29, 2000:
    (1) Evaluate, in terms of the requirements of these Title IX 
regulations, its current policies and practices and the effects thereof 
concerning admission of students, treatment of students, and employment 
of both academic and non-academic personnel working in connection with 
the recipient's education program or activity;
    (2) Modify any of these policies and practices that do not or may 
not meet the requirements of these Title IX regulations; and
    (3) Take appropriate remedial steps to eliminate the effects of any 
discrimination that resulted or may have resulted from adherence to 
these policies and practices.
    (d) Availability of self-evaluation and related materials. 
Recipients shall maintain on file for at least three years following 
completion of the evaluation required under paragraph (c) of this 
section, and shall provide to the designated agency official upon 
request, a description of any modifications made pursuant to paragraph 
(c)(2) of this section and of any remedial steps taken pursuant to 
paragraph (c)(3) of this section.



Sec.  1253.115  Assurance required.

    (a) General. Either at the application stage or the award stage, 
Federal agencies must ensure that applications for Federal financial 
assistance or awards of Federal financial assistance contain, be 
accompanied by, or be covered by a specifically identified assurance 
from

[[Page 198]]

the applicant or recipient, satisfactory to the designated agency 
official, that each education program or activity operated by the 
applicant or recipient and to which these Title IX regulations apply 
will be operated in compliance with these Title IX regulations. An 
assurance of compliance with these Title IX regulations shall not be 
satisfactory to the designated agency official if the applicant or 
recipient to whom such assurance applies fails to commit itself to take 
whatever remedial action is necessary in accordance with Sec.  
1253.110(a) to eliminate existing discrimination on the basis of sex or 
to eliminate the effects of past discrimination whether occurring prior 
to or subsequent to the submission to the designated agency official of 
such assurance.
    (b) Duration of obligation. (1) In the case of Federal financial 
assistance extended to provide real property or structures thereon, such 
assurance shall obligate the recipient or, in the case of a subsequent 
transfer, the transferee, for the period during which the real property 
or structures are used to provide an education program or activity.
    (2) In the case of Federal financial assistance extended to provide 
personal property, such assurance shall obligate the recipient for the 
period during which it retains ownership or possession of the property.
    (3) In all other cases such assurance shall obligate the recipient 
for the period during which Federal financial assistance is extended.
    (c) Form. (1) The assurances required by paragraph (a) of this 
section, which may be included as part of a document that addresses 
other assurances or obligations, shall include that the applicant or 
recipient will comply with all applicable Federal statutes relating to 
nondiscrimination. These include but are not limited to: Title IX of the 
Education Amendments of 1972, as amended (20 U.S.C. 1681-1683, 1685-
1688).
    (2) The designated agency official will specify the extent to which 
such assurances will be required of the applicant's or recipient's 
subgrantees, contractors, subcontractors, transferees, or successors in 
interest.



Sec.  1253.120  Transfers of property.

    If a recipient sells or otherwise transfers property financed in 
whole or in part with Federal financial assistance to a transferee that 
operates any education program or activity, and the Federal share of the 
fair market value of the property is not upon such sale or transfer 
properly accounted for to the Federal Government, both the transferor 
and the transferee shall be deemed to be recipients, subject to the 
provisions of Sec. Sec.  1253.205 through 1253.235(a).



Sec.  1253.125  Effect of other requirements.

    (a) Effect of other Federal provisions. The obligations imposed by 
these Title IX regulations are independent of, and do not alter, 
obligations not to discriminate on the basis of sex imposed by Executive 
Order 11246, 3 CFR, 1964-1965 Comp., p. 339; as amended by Executive 
Order 11375, 3 CFR, 1966-1970 Comp., p. 684; as amended by Executive 
Order 11478, 3 CFR, 1966-1970 Comp., p. 803; as amended by Executive 
Order 12087, 3 CFR, 1978 Comp., p. 230; as amended by Executive Order 
12107, 3 CFR, 1978 Comp., p. 264; sections 704 and 855 of the Public 
Health Service Act (42 U.S.C. 295m, 298b-2); Title VII of the Civil 
Rights Act of 1964 (42 U.S.C. 2000e et seq.); the Equal Pay Act of 1963 
(29 U.S.C. 206); and any other Act of Congress or Federal regulation.
    (b) Effect of State or local law or other requirements. The 
obligation to comply with these Title IX regulations is not obviated or 
alleviated by any State or local law or other requirement that would 
render any applicant or student ineligible, or limit the eligibility of 
any applicant or student, on the basis of sex, to practice any 
occupation or profession.
    (c) Effect of rules or regulations of private organizations. The 
obligation to comply with these Title IX regulations is not obviated or 
alleviated by any rule or regulation of any organization, club, athletic 
or other league, or association that would render any applicant or 
student ineligible to participate or limit the eligibility or 
participation of any applicant or student, on

[[Page 199]]

the basis of sex, in any education program or activity operated by a 
recipient and that receives Federal financial assistance.



Sec.  1253.130  Effect of employment opportunities.

    The obligation to comply with these Title IX regulations is not 
obviated or alleviated because employment opportunities in any 
occupation or profession are or may be more limited for members of one 
sex than for members of the other sex.



Sec.  1253.135  Designation of responsible employee and adoption
of grievance procedures.

    (a) Designation of responsible employee. Each recipient shall 
designate at least one employee to coordinate its efforts to comply with 
and carry out its responsibilities under these Title IX regulations, 
including any investigation of any complaint communicated to such 
recipient alleging its noncompliance with these Title IX regulations or 
alleging any actions that would be prohibited by these Title IX 
regulations. The recipient shall notify all its students and employees 
of the name, office address, and telephone number of the employee or 
employees appointed pursuant to this paragraph.
    (b) Complaint procedure of recipient. A recipient shall adopt and 
publish grievance procedures providing for prompt and equitable 
resolution of student and employee complaints alleging any action that 
would be prohibited by these Title IX regulations.



Sec.  1253.140  Dissemination of policy.

    (a) Notification of policy. (1) Each recipient shall implement 
specific and continuing steps to notify applicants for admission and 
employment, students and parents of elementary and secondary school 
students, employees, sources of referral of applicants for admission and 
employment, and all unions or professional organizations holding 
collective bargaining or professional agreements with the recipient, 
that it does not discriminate on the basis of sex in the educational 
programs or activities that it operates, and that it is required by 
Title IX and these Title IX regulations not to discriminate in such a 
manner. Such notification shall contain such information, and be made in 
such manner, as the designated agency official finds necessary to 
apprise such persons of the protections against discrimination assured 
them by Title IX and these Title IX regulations, but shall state at 
least that the requirement not to discriminate in education programs or 
activities extends to employment therein, and to admission thereto 
unless Sec. Sec.  1253.300 through 1253.310 do not apply to the 
recipient, and that inquiries concerning the application of Title IX and 
these Title IX regulations to such recipient may be referred to the 
employee designated pursuant to Sec.  1253.135, or to the designated 
agency official.
    (2) Each recipient shall make the initial notification required by 
paragraph (a)(1) of this section within 90 days of September 29, 2000 or 
of the date these Title IX regulations first apply to such recipient, 
whichever comes later, which notification shall include publication in:
    (i) Newspapers and magazines operated by such recipient or by 
student, alumnae, or alumni groups for or in connection with such 
recipient; and
    (ii) Memoranda or other written communications distributed to every 
student and employee of such recipient.
    (b) Publications. (1) Each recipient shall prominently include a 
statement of the policy described in paragraph (a) of this section in 
each announcement, bulletin, catalog, or application form that it makes 
available to any person of a type, described in paragraph (a) of this 
section, or which is otherwise used in connection with the recruitment 
of students or employees.
    (2) A recipient shall not use or distribute a publication of the 
type described in paragraph (b)(1) of this section that suggests, by 
text or illustration, that such recipient treats applicants, students, 
or employees differently on the basis of sex except as such treatment is 
permitted by these Title IX regulations.
    (c) Distribution. Each recipient shall distribute without 
discrimination on

[[Page 200]]

the basis of sex each publication described in paragraph (b)(1) of this 
section, and shall apprise each of its admission and employment 
recruitment representatives of the policy of nondiscrimination described 
in paragraph (a) of this section, and shall require such representatives 
to adhere to such policy.



                           Subpart B_Coverage



Sec.  1253.200  Application.

    Except as provided in Sec. Sec.  1253.205 through 1253.235(a), these 
Title IX regulations apply to every recipient and to each education 
program or activity operated by such recipient that receives Federal 
financial assistance.



Sec.  1253.205  Educational institutions and other entities
controlled by religious organizations.

    (a) Exemption. These Title IX regulations do not apply to any 
operation of an educational institution or other entity that is 
controlled by a religious organization to the extent that application of 
these Title IX regulations would not be consistent with the religious 
tenets of such organization.
    (b) Exemption claims. An educational institution or other entity 
that wishes to claim the exemption set forth in paragraph (a) of this 
section shall do so by submitting in writing to the designated agency 
official a statement by the highest-ranking official of the institution, 
identifying the provisions of these Title IX regulations that conflict 
with a specific tenet of the religious organization.



Sec.  1253.210  Military and merchant marine educational institutions.

    These Title IX regulations do not apply to an educational 
institution whose primary purpose is the training of individuals for a 
military service of the United States or for the merchant marine.



Sec.  1253.215  Membership practices of certain organizations.

    (a) Social fraternities and sororities. These Title IX regulations 
do not apply to the membership practices of social fraternities and 
sororities that are exempt from taxation under section 501(a) of the 
Internal Revenue Code of 1954, 26 U.S.C. 501(a), the active membership 
of which consists primarily of students in attendance at institutions of 
higher education.
    (b) YMCA, YWCA, Girl Scouts, Boy Scouts, and Camp Fire Girls. These 
Title IX regulations do not apply to the membership practices of the 
Young Men's Christian Association (YMCA), the Young Women's Christian 
Association (YWCA), the Girl Scouts, the Boy Scouts, and Camp Fire 
Girls.
    (c) Voluntary youth service organizations. These Title IX 
regulations do not apply to the membership practices of a voluntary 
youth service organization that is exempt from taxation under section 
501(a) of the Internal Revenue Code of 1954, 26 U.S.C. 501(a), and the 
membership of which has been traditionally limited to members of one sex 
and principally to persons of less than nineteen years of age.



Sec.  1253.220  Admissions.

    (a) Admissions to educational institutions prior to June 24, 1973, 
are not covered by these Title IX regulations.
    (b) Administratively separate units. For the purposes only of this 
section, Sec. Sec.  1253.225 and 1253.230, and Sec. Sec.  1253.300 
through 1253.310, each administratively separate unit shall be deemed to 
be an educational institution.
    (c) Application of Sec. Sec.  1253.300 through 1253.310. Except as 
provided in paragraphs (d) and (e) of this section, Sec. Sec.  1253.300 
through 1253.310 apply to each recipient. A recipient to which 
Sec. Sec.  1253.300 through 1253.310 apply shall not discriminate on the 
basis of sex in admission or recruitment in violation of Sec. Sec.  
1253.300 through 1253.310.
    (d) Educational institutions. Except as provided in paragraph (e) of 
this section as to recipients that are educational institutions, 
Sec. Sec.  1253.300 through 1253.310 apply only to institutions of 
vocational education, professional education, graduate higher education, 
and public institutions of undergraduate higher education.
    (e) Public institutions of undergraduate higher education. 
Sec. Sec.  1253.300 through 1253.310 do not apply to any public 
institution of undergraduate higher education that traditionally and 
continually from its establishment has had a

[[Page 201]]

policy of admitting students of only one sex.



Sec.  1253.225  Educational institutions eligible to submit
transition plans.

    (a) Application. This section applies to each educational 
institution to which Sec. Sec.  1253.300 through 1253.310 apply that:
    (1) Admitted students of only one sex as regular students as of June 
23, 1972; or
    (2) Admitted students of only one sex as regular students as of June 
23, 1965, but thereafter admitted, as regular students, students of the 
sex not admitted prior to June 23, 1965.
    (b) Provision for transition plans. An educational institution to 
which this section applies shall not discriminate on the basis of sex in 
admission or recruitment in violation of Sec. Sec.  1253.300 through 
1253.310.



Sec.  1253.230  Transition plans.

    (a) Submission of plans. An institution to which Sec.  1253.225 
applies and that is composed of more than one administratively separate 
unit may submit either a single transition plan applicable to all such 
units, or a separate transition plan applicable to each such unit.
    (b) Content of plans. In order to be approved by the Secretary of 
Education, a transition plan shall:
    (1) State the name, address, and Federal Interagency Committee on 
Education Code of the educational institution submitting such plan, the 
administratively separate units to which the plan is applicable, and the 
name, address, and telephone number of the person to whom questions 
concerning the plan may be addressed. The person who submits the plan 
shall be the chief administrator or president of the institution, or 
another individual legally authorized to bind the institution to all 
actions set forth in the plan.
    (2) State whether the educational institution or administratively 
separate unit admits students of both sexes as regular students and, if 
so, when it began to do so.
    (3) Identify and describe with respect to the educational 
institution or administratively separate unit any obstacles to admitting 
students without discrimination on the basis of sex.
    (4) Describe in detail the steps necessary to eliminate as soon as 
practicable each obstacle so identified and indicate the schedule for 
taking these steps and the individual directly responsible for their 
implementation.
    (5) Include estimates of the number of students, by sex, expected to 
apply for, be admitted to, and enter each class during the period 
covered by the plan.
    (c) Nondiscrimination. No policy or practice of a recipient to which 
Sec.  1253.225 applies shall result in treatment of applicants to or 
students of such recipient in violation of Sec. Sec.  1253.300 through 
1253.310 unless such treatment is necessitated by an obstacle identified 
in paragraph (b)(3) of this section and a schedule for eliminating that 
obstacle has been provided as required by paragraph (b)(4) of this 
section.
    (d) Effects of past exclusion. To overcome the effects of past 
exclusion of students on the basis of sex, each educational institution 
to which Sec.  1253.225 applies shall include in its transition plan, 
and shall implement, specific steps designed to encourage individuals of 
the previously excluded sex to apply for admission to such institution. 
Such steps shall include instituting recruitment programs that emphasize 
the institution's commitment to enrolling students of the sex previously 
excluded.



Sec.  1253.235  Statutory amendments.

    (a) This section, which applies to all provisions of these Title IX 
regulations, addresses statutory amendments to Title IX.
    (b) These Title IX regulations shall not apply to or preclude:
    (1) Any program or activity of the American Legion undertaken in 
connection with the organization or operation of any Boys State 
conference, Boys Nation conference, Girls State conference, or Girls 
Nation conference;
    (2) Any program or activity of a secondary school or educational 
institution specifically for:
    (i) The promotion of any Boys State conference, Boys Nation 
conference, Girls State conference, or Girls Nation conference; or
    (ii) The selection of students to attend any such conference;

[[Page 202]]

    (3) Father-son or mother-daughter activities at an educational 
institution or in an education program or activity, but if such 
activities are provided for students of one sex, opportunities for 
reasonably comparable activities shall be provided to students of the 
other sex;
    (4) Any scholarship or other financial assistance awarded by an 
institution of higher education to an individual because such individual 
has received such award in a single-sex pageant based upon a combination 
of factors related to the individual's personal appearance, poise, and 
talent. The pageant, however, must comply with other nondiscrimination 
provisions of Federal law.
    (c) Program or activity or program means:
    (1) All of the operations of any entity described in paragraphs 
(c)(1)(i) through (iv) of this section, any part of which is extended 
Federal financial assistance:
    (i)(A) A department, agency, special purpose district, or other 
instrumentality of a State or of a local government; or
    (B) The entity of such State or local government that distributes 
such assistance and each such department or agency (and each other State 
or local government entity) to which the assistance is extended, in the 
case of assistance to a State or local government;
    (ii)(A) A college, university, or other postsecondary institution, 
or a public system of higher education; or
    (B) A local educational agency (as defined in section 8801 of title 
20), system of vocational education, or other school system;
    (iii)(A) An entire corporation, partnership, or other private 
organization, or an entire sole proprietorship--
    (1) If assistance is extended to such corporation, partnership, 
private organization, or sole proprietorship as a whole; or
    (2) Which is principally engaged in the business of providing 
education, health care, housing, social services, or parks and 
recreation; or
    (B) The entire plant or other comparable, geographically separate 
facility to which Federal financial assistance is extended, in the case 
of any other corporation, partnership, private organization, or sole 
proprietorship; or
    (iv) Any other entity that is established by two or more of the 
entities described in paragraphs (c)(1)(i), (ii), or (iii) of this 
section.
    (2)(i) Program or activity does not include any operation of an 
entity that is controlled by a religious organization if the application 
of 20 U.S.C. 1681 to such operation would not be consistent with the 
religious tenets of such organization.
    (ii) For example, all of the operations of a college, university, or 
other postsecondary institution, including but not limited to 
traditional educational operations, faculty and student housing, campus 
shuttle bus service, campus restaurants, the bookstore, and other 
commercial activities are part of a ``program or activity'' subject to 
these Title IX regulations if the college, university, or other 
institution receives Federal financial assistance.
    (d)(1) Nothing in these Title IX regulations shall be construed to 
require or prohibit any person, or public or private entity, to provide 
or pay for any benefit or service, including the use of facilities, 
related to an abortion. Medical procedures, benefits, services, and the 
use of facilities, necessary to save the life of a pregnant woman or to 
address complications related to an abortion are not subject to this 
section.
    (2) Nothing in this section shall be construed to permit a penalty 
to be imposed on any person or individual because such person or 
individual is seeking or has received any benefit or service related to 
a legal abortion. Accordingly, subject to paragraph (d)(1) of this 
section, no person shall be excluded from participation in, be denied 
the benefits of, or be subjected to discrimination under any academic, 
extracurricular, research, occupational training, employment, or other 
educational program or activity operated by a recipient that receives 
Federal financial assistance because such individual has sought or 
received, or is seeking, a legal abortion, or any benefit or service 
related to a legal abortion.

[[Page 203]]



     Subpart C_Discrimination on the Basis of Sex in Admission and 
                         Recruitment Prohibited



Sec.  1253.300  Admission.

    (a) General. No person shall, on the basis of sex, be denied 
admission, or be subjected to discrimination in admission, by any 
recipient to which Sec. Sec.  1253.300 through Sec. Sec.  1253.310 
apply, except as provided in Sec. Sec.  1253.225 and Sec. Sec.  
1253.230.
    (b) Specific prohibitions. (1) In determining whether a person 
satisfies any policy or criterion for admission, or in making any offer 
of admission, a recipient to which Sec. Sec.  1253.300 through 1253.310 
apply shall not:
    (i) Give preference to one person over another on the basis of sex, 
by ranking applicants separately on such basis, or otherwise;
    (ii) Apply numerical limitations upon the number or proportion of 
persons of either sex who may be admitted; or
    (iii) Otherwise treat one individual differently from another on the 
basis of sex.
    (2) A recipient shall not administer or operate any test or other 
criterion for admission that has a disproportionately adverse effect on 
persons on the basis of sex unless the use of such test or criterion is 
shown to predict validly success in the education program or activity in 
question and alternative tests or criteria that do not have such a 
disproportionately adverse effect are shown to be unavailable.
    (c) Prohibitions relating to marital or parental status. In 
determining whether a person satisfies any policy or criterion for 
admission, or in making any offer of admission, a recipient to which 
Sec. Sec.  1253.300 through 1253.310 apply:
    (1) Shall not apply any rule concerning the actual or potential 
parental, family, or marital status of a student or applicant that 
treats persons differently on the basis of sex;
    (2) Shall not discriminate against or exclude any person on the 
basis of pregnancy, childbirth, termination of pregnancy, or recovery 
therefrom, or establish or follow any rule or practice that so 
discriminates or excludes;
    (3) Subject to Sec.  1253.235(d), shall treat disabilities related 
to pregnancy, childbirth, termination of pregnancy, or recovery 
therefrom in the same manner and under the same policies as any other 
temporary disability or physical condition; and
    (4) Shall not make pre-admission inquiry as to the marital status of 
an applicant for admission, including whether such applicant is ``Miss'' 
or ``Mrs.'' A recipient may make pre-admission inquiry as to the sex of 
an applicant for admission, but only if such inquiry is made equally of 
such applicants of both sexes and if the results of such inquiry are not 
used in connection with discrimination prohibited by these Title IX 
regulations.



Sec.  1253.305  Preference in admission.

    A recipient to which Sec. Sec.  1253.300 through 1253.310 apply 
shall not give preference to applicants for admission, on the basis of 
attendance at any educational institution or other school or entity that 
admits as students only or predominantly members of one sex, if the 
giving of such preference has the effect of discriminating on the basis 
of sex in violation of Sec. Sec.  1253.300 through 1253.310.



Sec.  1253.310  Recruitment.

    (a) Nondiscriminatory recruitment. A recipient to which Sec. Sec.  
1253.300 through 1253.310 apply shall not discriminate on the basis of 
sex in the recruitment and admission of students. A recipient may be 
required to undertake additional recruitment efforts for one sex as 
remedial action pursuant to Sec.  1253.110(a), and may choose to 
undertake such efforts as affirmative action pursuant to Sec.  
1253.110(b).
    (b) Recruitment at certain institutions. A recipient to which 
Sec. Sec.  1253.300 through 1253.310 apply shall not recruit primarily 
or exclusively at educational institutions, schools, or entities that 
admit as students only or predominantly members of one sex, if such 
actions have the effect of discriminating on the basis of sex in 
violation of Sec. Sec.  1253.300 through 1253.310.

[[Page 204]]



 Subpart D_Discrimination on the Basis of Sex in Education Programs or 
                          Activities Prohibited



Sec.  1253.400  Education programs or activities.

    (a) General. Except as provided elsewhere in these Title IX 
regulations, no person shall, on the basis of sex, be excluded from 
participation in, be denied the benefits of, or be subjected to 
discrimination under any academic, extracurricular, research, 
occupational training, or other education program or activity operated 
by a recipient that receives Federal financial assistance. Sections 
1253.400 through 1253.455 do not apply to actions of a recipient in 
connection with admission of its students to an education program or 
activity of a recipient to which Sec. Sec.  1253.300 through 1253.310 do 
not apply, or an entity, not a recipient, to which Sec. Sec.  1253.300 
through 1253.310 would not apply if the entity were a recipient.
    (b) Specific prohibitions. Except as provided in Sec. Sec.  1253.400 
through 1253.455, in providing any aid, benefit, or service to a 
student, a recipient shall not, on the basis of sex:
    (1) Treat one person differently from another in determining whether 
such person satisfies any requirement or condition for the provision of 
such aid, benefit, or service;
    (2) Provide different aid, benefits, or services or provide aid, 
benefits, or services in a different manner;
    (3) Deny any person any such aid, benefit, or service;
    (4) Subject any person to separate or different rules of behavior, 
sanctions, or other treatment;
    (5) Apply any rule concerning the domicile or residence of a student 
or applicant, including eligibility for in-state fees and tuition;
    (6) Aid or perpetuate discrimination against any person by providing 
significant assistance to any agency, organization, or person that 
discriminates on the basis of sex in providing any aid, benefit, or 
service to students or employees;
    (7) Otherwise limit any person in the enjoyment of any right, 
privilege, advantage, or opportunity.
    (c) Assistance administered by a recipient educational institution 
to study at a foreign institution. A recipient educational institution 
may administer or assist in the administration of scholarships, 
fellowships, or other awards established by foreign or domestic wills, 
trusts, or similar legal instruments, or by acts of foreign governments 
and restricted to members of one sex, that are designed to provide 
opportunities to study abroad, and that are awarded to students who are 
already matriculating at or who are graduates of the recipient 
institution; Provided, that a recipient educational institution that 
administers or assists in the administration of such scholarships, 
fellowships, or other awards that are restricted to members of one sex 
provides, or otherwise makes available, reasonable opportunities for 
similar studies for members of the other sex. Such opportunities may be 
derived from either domestic or foreign sources.
    (d) Aids, benefits or services not provided by recipient. (1) This 
paragraph (d) applies to any recipient that requires participation by 
any applicant, student, or employee in any education program or activity 
not operated wholly by such recipient, or that facilitates, permits, or 
considers such participation as part of or equivalent to an education 
program or activity operated by such recipient, including participation 
in educational consortia and cooperative employment and student-teaching 
assignments.
    (2) Such recipient:
    (i) Shall develop and implement a procedure designed to assure 
itself that the operator or sponsor of such other education program or 
activity takes no action affecting any applicant, student, or employee 
of such recipient that these Title IX regulations would prohibit such 
recipient from taking; and
    (ii) Shall not facilitate, require, permit, or consider such 
participation if such action occurs.



Sec.  1253.405  Housing.

    (a) Generally. A recipient shall not, on the basis of sex, apply 
different rules or regulations, impose different fees or requirements, 
or offer different services or benefits related to housing,

[[Page 205]]

except as provided in this section (including housing provided only to 
married students).
    (b) Housing provided by recipient. (1) A recipient may provide 
separate housing on the basis of sex.
    (2) Housing provided by a recipient to students of one sex, when 
compared to that provided to students of the other sex, shall be as a 
whole:
    (i) Proportionate in quantity to the number of students of that sex 
applying for such housing; and
    (ii) Comparable in quality and cost to the student.
    (c) Other housing. (1) A recipient shall not, on the basis of sex, 
administer different policies or practices concerning occupancy by its 
students of housing other than that provided by such recipient.
    (2)(i) A recipient which, through solicitation, listing, approval of 
housing, or otherwise, assists any agency, organization, or person in 
making housing available to any of its students, shall take such 
reasonable action as may be necessary to assure itself that such housing 
as is provided to students of one sex, when compared to that provided to 
students of the other sex, is as a whole:
    (A) Proportionate in quantity; and
    (B) Comparable in quality and cost to the student.
    (ii) A recipient may render such assistance to any agency, 
organization, or person that provides all or part of such housing to 
students of only one sex.



Sec.  1253.410  Comparable facilities.

    A recipient may provide separate toilet, locker room, and shower 
facilities on the basis of sex, but such facilities provided for 
students of one sex shall be comparable to such facilities provided for 
students of the other sex.



Sec.  1253.415  Access to course offerings.

    (a) A recipient shall not provide any course or otherwise carry out 
any of its education program or activity separately on the basis of sex, 
or require or refuse participation therein by any of its students on 
such basis, including health, physical education, industrial, business, 
vocational, technical, home economics, music, and adult education 
courses.
    (b)(1) With respect to classes and activities in physical education 
at the elementary school level, the recipient shall comply fully with 
this section as expeditiously as possible but in no event later than one 
year from September 29, 2000. With respect to physical education classes 
and activities at the secondary and post-secondary levels, the recipient 
shall comply fully with this section as expeditiously as possible but in 
no event later than three years from September 29, 2000.
    (2) This section does not prohibit grouping of students in physical 
education classes and activities by ability as assessed by objective 
standards of individual performance developed and applied without regard 
to sex.
    (3) This section does not prohibit separation of students by sex 
within physical education classes or activities during participation in 
wrestling, boxing, rugby, ice hockey, football, basketball, and other 
sports the purpose or major activity of which involves bodily contact.
    (4) Where use of a single standard of measuring skill or progress in 
a physical education class has an adverse effect on members of one sex, 
the recipient shall use appropriate standards that do not have such 
effect.
    (5) Portions of classes in elementary and secondary schools, or 
portions of education programs or activities, that deal exclusively with 
human sexuality may be conducted in separate sessions for boys and 
girls.
    (6) Recipients may make requirements based on vocal range or quality 
that may result in a chorus or choruses of one or predominantly one sex.



Sec.  1253.420  Access to schools operated by LEAs.

    A recipient that is a local educational agency shall not, on the 
basis of sex, exclude any person from admission to:
    (a) Any institution of vocational education operated by such 
recipient; or
    (b) Any other school or educational unit operated by such recipient, 
unless such recipient otherwise makes available to such person, pursuant 
to the same policies and criteria of admission,

[[Page 206]]

courses, services, and facilities comparable to each course, service, 
and facility offered in or through such schools.



Sec.  1253.425  Counseling and use of appraisal and counseling materials.

    (a) Counseling. A recipient shall not discriminate against any 
person on the basis of sex in the counseling or guidance of students or 
applicants for admission.
    (b) Use of appraisal and counseling materials. A recipient that uses 
testing or other materials for appraising or counseling students shall 
not use different materials for students on the basis of their sex or 
use materials that permit or require different treatment of students on 
such basis unless such different materials cover the same occupations 
and interest areas and the use of such different materials is shown to 
be essential to eliminate sex bias. Recipients shall develop and use 
internal procedures for ensuring that such materials do not discriminate 
on the basis of sex. Where the use of a counseling test or other 
instrument results in a substantially disproportionate number of members 
of one sex in any particular course of study or classification, the 
recipient shall take such action as is necessary to assure itself that 
such disproportion is not the result of discrimination in the instrument 
or its application.
    (c) Disproportion in classes. Where a recipient finds that a 
particular class contains a substantially disproportionate number of 
individuals of one sex, the recipient shall take such action as is 
necessary to assure itself that such disproportion is not the result of 
discrimination on the basis of sex in counseling or appraisal materials 
or by counselors.



Sec.  1253.430  Financial assistance.

    (a) General. Except as provided in paragraphs (b) and (c) of this 
section, in providing financial assistance to any of its students, a 
recipient shall not:
    (1) On the basis of sex, provide different amounts or types of such 
assistance, limit eligibility for such assistance that is of any 
particular type or source, apply different criteria, or otherwise 
discriminate;
    (2) Through solicitation, listing, approval, provision of 
facilities, or other services, assist any foundation, trust, agency, 
organization, or person that provides assistance to any of such 
recipient's students in a manner that discriminates on the basis of sex; 
or
    (3) Apply any rule or assist in application of any rule concerning 
eligibility for such assistance that treats persons of one sex 
differently from persons of the other sex with regard to marital or 
parental status.
    (b) Financial aid established by certain legal instruments. (1) A 
recipient may administer or assist in the administration of 
scholarships, fellowships, or other forms of financial assistance 
established pursuant to domestic or foreign wills, trusts, bequests, or 
similar legal instruments or by acts of a foreign government that 
require that awards be made to members of a particular sex specified 
therein; Provided, that the overall effect of the award of such sex-
restricted scholarships, fellowships, and other forms of financial 
assistance does not discriminate on the basis of sex.
    (2) To ensure nondiscriminatory awards of assistance as required in 
paragraph (b)(1) of this section, recipients shall develop and use 
procedures under which:
    (i) Students are selected for award of financial assistance on the 
basis of nondiscriminatory criteria and not on the basis of availability 
of funds restricted to members of a particular sex;
    (ii) An appropriate sex-restricted scholarship, fellowship, or other 
form of financial assistance is allocated to each student selected under 
paragraph (b)(2)(i) of this section; and
    (iii) No student is denied the award for which he or she was 
selected under paragraph (b)(2)(i) of this section because of the 
absence of a scholarship, fellowship, or other form of financial 
assistance designated for a member of that student's sex.
    (c) Athletic scholarships. (1) To the extent that a recipient awards 
athletic scholarships or grants-in-aid, it must provide reasonable 
opportunities for such awards for members of each sex in proportion to 
the number of students of each sex participating in interscholastic or 
intercollegiate athletics.

[[Page 207]]

    (2) A recipient may provide separate athletic scholarships or 
grants-in-aid for members of each sex as part of separate athletic teams 
for members of each sex to the extent consistent with this paragraph (c) 
and Sec.  1253.450.



Sec.  1253.435  Employment assistance to students.

    (a) Assistance by recipient in making available outside employment. 
A recipient that assists any agency, organization, or person in making 
employment available to any of its students:
    (1) Shall assure itself that such employment is made available 
without discrimination on the basis of sex; and
    (2) Shall not render such services to any agency, organization, or 
person that discriminates on the basis of sex in its employment 
practices.
    (b) Employment of students by recipients. A recipient that employs 
any of its students shall not do so in a manner that violates Sec. Sec.  
1253.500 through 1253.550.



Sec.  1253.440  Health and insurance benefits and services.

    Subject to Sec.  1253.235(d), in providing a medical, hospital, 
accident, or life insurance benefit, service, policy, or plan to any of 
its students, a recipient shall not discriminate on the basis of sex, or 
provide such benefit, service, policy, or plan in a manner that would 
violate Sec. Sec.  1253.500 through 1253.550 if it were provided to 
employees of the recipient. This section shall not prohibit a recipient 
from providing any benefit or service that may be used by a different 
proportion of students of one sex than of the other, including family 
planning services. However, any recipient that provides full coverage 
health service shall provide gynecological care.



Sec.  1253.445  Marital or parental status.

    (a) Status generally. A recipient shall not apply any rule 
concerning a student's actual or potential parental, family, or marital 
status that treats students differently on the basis of sex.
    (b) Pregnancy and related conditions. (1) A recipient shall not 
discriminate against any student, or exclude any student from its 
education program or activity, including any class or extracurricular 
activity, on the basis of such student's pregnancy, childbirth, false 
pregnancy, termination of pregnancy, or recovery therefrom, unless the 
student requests voluntarily to participate in a separate portion of the 
program or activity of the recipient.
    (2) A recipient may require such a student to obtain the 
certification of a physician that the student is physically and 
emotionally able to continue participation as long as such a 
certification is required of all students for other physical or 
emotional conditions requiring the attention of a physician.
    (3) A recipient that operates a portion of its education program or 
activity separately for pregnant students, admittance to which is 
completely voluntary on the part of the student as provided in paragraph 
(b)(1) of this section, shall ensure that the separate portion is 
comparable to that offered to non-pregnant students.
    (4) Subject to Sec.  1253.235(d), a recipient shall treat pregnancy, 
childbirth, false pregnancy, termination of pregnancy and recovery 
therefrom in the same manner and under the same policies as any other 
temporary disability with respect to any medical or hospital benefit, 
service, plan, or policy that such recipient administers, operates, 
offers, or participates in with respect to students admitted to the 
recipient's educational program or activity.
    (5) In the case of a recipient that does not maintain a leave policy 
for its students, or in the case of a student who does not otherwise 
qualify for leave under such a policy, a recipient shall treat 
pregnancy, childbirth, false pregnancy, termination of pregnancy, and 
recovery therefrom as a justification for a leave of absence for as long 
a period of time as is deemed medically necessary by the student's 
physician, at the conclusion of which the student shall be reinstated to 
the status that she held when the leave began.



Sec.  1253.450  Athletics.

    (a) General. No person shall, on the basis of sex, be excluded from 
participation in, be denied the benefits of, be treated differently from 
another person, or otherwise be discriminated

[[Page 208]]

against in any interscholastic, intercollegiate, club, or intramural 
athletics offered by a recipient, and no recipient shall provide any 
such athletics separately on such basis.
    (b) Separate teams. Notwithstanding the requirements of paragraph 
(a) of this section, a recipient may operate or sponsor separate teams 
for members of each sex where selection for such teams is based upon 
competitive skill or the activity involved is a contact sport. However, 
where a recipient operates or sponsors a team in a particular sport for 
members of one sex but operates or sponsors no such team for members of 
the other sex, and athletic opportunities for members of that sex have 
previously been limited, members of the excluded sex must be allowed to 
try out for the team offered unless the sport involved is a contact 
sport. For the purposes of these Title IX regulations, contact sports 
include boxing, wrestling, rugby, ice hockey, football, basketball, and 
other sports the purpose or major activity of which involves bodily 
contact.
    (c) Equal opportunity. (1) A recipient that operates or sponsors 
interscholastic, intercollegiate, club, or intramural athletics shall 
provide equal athletic opportunity for members of both sexes. In 
determining whether equal opportunities are available, the designated 
agency official will consider, among other factors:
    (i) Whether the selection of sports and levels of competition 
effectively accommodate the interests and abilities of members of both 
sexes;
    (ii) The provision of equipment and supplies;
    (iii) Scheduling of games and practice time;
    (iv) Travel and per diem allowance;
    (v) Opportunity to receive coaching and academic tutoring;
    (vi) Assignment and compensation of coaches and tutors;
    (vii) Provision of locker rooms, practice, and competitive 
facilities;
    (viii) Provision of medical and training facilities and services;
    (ix) Provision of housing and dining facilities and services;
    (x) Publicity.
    (2) For purposes of paragraph (c)(1) of this section, unequal 
aggregate expenditures for members of each sex or unequal expenditures 
for male and female teams if a recipient operates or sponsors separate 
teams will not constitute noncompliance with this section, but the 
designated agency official may consider the failure to provide necessary 
funds for teams for one sex in assessing equality of opportunity for 
members of each sex.
    (d) Adjustment period. A recipient that operates or sponsors 
interscholastic, intercollegiate, club, or intramural athletics at the 
elementary school level shall comply fully with this section as 
expeditiously as possible but in no event later than one year from 
September 29, 2000. A recipient that operates or sponsors 
interscholastic, intercollegiate, club, or intramural athletics at the 
secondary or postsecondary school level shall comply fully with this 
section as expeditiously as possible but in no event later than three 
years from September 29, 2000.



Sec.  1253.455  Textbooks and curricular material.

    Nothing in these Title IX regulations shall be interpreted as 
requiring or prohibiting or abridging in any way the use of particular 
textbooks or curricular materials.



Subpart E_Discrimination on the Basis of Sex in Employment in Education 
                    Programs or Activities Prohibited



Sec.  1253.500  Employment.

    (a) General. (1) No person shall, on the basis of sex, be excluded 
from participation in, be denied the benefits of, or be subjected to 
discrimination in employment, or recruitment, consideration, or 
selection therefor, whether full-time or part-time, under any education 
program or activity operated by a recipient that receives Federal 
financial assistance.
    (2) A recipient shall make all employment decisions in any education 
program or activity operated by such recipient in a nondiscriminatory 
manner and shall not limit, segregate, or classify applicants or 
employees in any way that could adversely affect any applicant's or 
employee's employment opportunities or status because of sex.

[[Page 209]]

    (3) A recipient shall not enter into any contractual or other 
relationship which directly or indirectly has the effect of subjecting 
employees or students to discrimination prohibited by Sec. Sec.  
1253.500 through 1253.550, including relationships with employment and 
referral agencies, with labor unions, and with organizations providing 
or administering fringe benefits to employees of the recipient.
    (4) A recipient shall not grant preferences to applicants for 
employment on the basis of attendance at any educational institution or 
entity that admits as students only or predominantly members of one sex, 
if the giving of such preferences has the effect of discriminating on 
the basis of sex in violation of these Title IX regulations.
    (b) Application. The provisions of Sec. Sec.  1253.500 through 
1253.550 apply to:
    (1) Recruitment, advertising, and the process of application for 
employment;
    (2) Hiring, upgrading, promotion, consideration for and award of 
tenure, demotion, transfer, layoff, termination, application of nepotism 
policies, right of return from layoff, and rehiring;
    (3) Rates of pay or any other form of compensation, and changes in 
compensation;
    (4) Job assignments, classifications, and structure, including 
position descriptions, lines of progression, and seniority lists;
    (5) The terms of any collective bargaining agreement;
    (6) Granting and return from leaves of absence, leave for pregnancy, 
childbirth, false pregnancy, termination of pregnancy, leave for persons 
of either sex to care for children or dependents, or any other leave;
    (7) Fringe benefits available by virtue of employment, whether or 
not administered by the recipient;
    (8) Selection and financial support for training, including 
apprenticeship, professional meetings, conferences, and other related 
activities, selection for tuition assistance, selection for sabbaticals 
and leaves of absence to pursue training;
    (9) Employer-sponsored activities, including social or recreational 
programs; and
    (10) Any other term, condition, or privilege of employment.



Sec.  1253.505  Employment criteria.

    A recipient shall not administer or operate any test or other 
criterion for any employment opportunity that has a disproportionately 
adverse effect on persons on the basis of sex unless:
    (a) Use of such test or other criterion is shown to predict validly 
successful performance in the position in question; and
    (b) Alternative tests or criteria for such purpose, which do not 
have such disproportionately adverse effect, are shown to be 
unavailable.



Sec.  1253.510  Recruitment.

    (a) Nondiscriminatory recruitment and hiring. A recipient shall not 
discriminate on the basis of sex in the recruitment and hiring of 
employees. Where a recipient has been found to be presently 
discriminating on the basis of sex in the recruitment or hiring of 
employees, or has been found to have so discriminated in the past, the 
recipient shall recruit members of the sex so discriminated against so 
as to overcome the effects of such past or present discrimination.
    (b) Recruitment patterns. A recipient shall not recruit primarily or 
exclusively at entities that furnish as applicants only or predominantly 
members of one sex if such actions have the effect of discriminating on 
the basis of sex in violation of Sec. Sec.  1253.500 through 1253.550.



Sec.  1253.515  Compensation.

    A recipient shall not make or enforce any policy or practice that, 
on the basis of sex:
    (a) Makes distinctions in rates of pay or other compensation;
    (b) Results in the payment of wages to employees of one sex at a 
rate less than that paid to employees of the opposite sex for equal work 
on jobs the performance of which requires equal skill, effort, and 
responsibility, and that are performed under similar working conditions.



Sec.  1253.520  Job classification and structure.

    A recipient shall not:

[[Page 210]]

    (a) Classify a job as being for males or for females;
    (b) Maintain or establish separate lines of progression, seniority 
lists, career ladders, or tenure systems based on sex; or
    (c) Maintain or establish separate lines of progression, seniority 
systems, career ladders, or tenure systems for similar jobs, position 
descriptions, or job requirements that classify persons on the basis of 
sex, unless sex is a bona fide occupational qualification for the 
positions in question as set forth in Sec.  1253.550.



Sec.  1253.525  Fringe benefits.

    (a) ``Fringe benefits'' defined. For purposes of these Title IX 
regulations, fringe benefits means: Any medical, hospital, accident, 
life insurance, or retirement benefit, service, policy or plan, any 
profit-sharing or bonus plan, leave, and any other benefit or service of 
employment not subject to the provision of Sec.  1253.515.
    (b) Prohibitions. A recipient shall not:
    (1) Discriminate on the basis of sex with regard to making fringe 
benefits available to employees or make fringe benefits available to 
spouses, families, or dependents of employees differently upon the basis 
of the employee's sex;
    (2) Administer, operate, offer, or participate in a fringe benefit 
plan that does not provide for equal periodic benefits for members of 
each sex and for equal contributions to the plan by such recipient for 
members of each sex; or
    (3) Administer, operate, offer, or participate in a pension or 
retirement plan that establishes different optional or compulsory 
retirement ages based on sex or that otherwise discriminates in benefits 
on the basis of sex.



Sec.  1253.530  Marital or parental status.

    (a) General. A recipient shall not apply any policy or take any 
employment action:
    (1) Concerning the potential marital, parental, or family status of 
an employee or applicant for employment that treats persons differently 
on the basis of sex; or
    (2) Which is based upon whether an employee or applicant for 
employment is the head of household or principal wage earner in such 
employee's or applicant's family unit.
    (b) Pregnancy. A recipient shall not discriminate against or exclude 
from employment any employee or applicant for employment on the basis of 
pregnancy, childbirth, false pregnancy, termination of pregnancy, or 
recovery therefrom.
    (c) Pregnancy as a temporary disability. Subject to Sec.  
1253.235(d), a recipient shall treat pregnancy, childbirth, false 
pregnancy, termination of pregnancy, recovery therefrom, and any 
temporary disability resulting therefrom as any other temporary 
disability for all job-related purposes, including commencement, 
duration, and extensions of leave, payment of disability income, accrual 
of seniority and any other benefit or service, and reinstatement, and 
under any fringe benefit offered to employees by virtue of employment.
    (d) Pregnancy leave. In the case of a recipient that does not 
maintain a leave policy for its employees, or in the case of an employee 
with insufficient leave or accrued employment time to qualify for leave 
under such a policy, a recipient shall treat pregnancy, childbirth, 
false pregnancy, termination of pregnancy, and recovery therefrom as a 
justification for a leave of absence without pay for a reasonable period 
of time, at the conclusion of which the employee shall be reinstated to 
the status that she held when the leave began or to a comparable 
position, without decrease in rate of compensation or loss of 
promotional opportunities, or any other right or privilege of 
employment.



Sec.  1253.535  Effect of state or local law or other requirements.

    (a) Prohibitory requirements. The obligation to comply with 
Sec. Sec.  1253.500 through 1253.550 is not obviated or alleviated by 
the existence of any State or local law or other requirement that 
imposes prohibitions or limits upon employment of members of one sex 
that are not imposed upon members of the other sex.
    (b) Benefits. A recipient that provides any compensation, service, 
or benefit to members of one sex pursuant to a State or local law or 
other requirement shall provide the same compensation,

[[Page 211]]

service, or benefit to members of the other sex.



Sec.  1253.540  Advertising.

    A recipient shall not in any advertising related to employment 
indicate preference, limitation, specification, or discrimination based 
on sex unless sex is a bona fide occupational qualification for the 
particular job in question.



Sec.  1253.545  Pre-employment inquiries.

    (a) Marital status. A recipient shall not make pre-employment 
inquiry as to the marital status of an applicant for employment, 
including whether such applicant is ``Miss'' or ``Mrs.''
    (b) Sex. A recipient may make pre-employment inquiry as to the sex 
of an applicant for employment, but only if such inquiry is made equally 
of such applicants of both sexes and if the results of such inquiry are 
not used in connection with discrimination prohibited by these Title IX 
regulations.



Sec.  1253.550  Sex as a bona fide occupational qualification.

    A recipient may take action otherwise prohibited by Sec. Sec.  
1253.500 through 1253.550 provided it is shown that sex is a bona fide 
occupational qualification for that action, such that consideration of 
sex with regard to such action is essential to successful operation of 
the employment function concerned. A recipient shall not take action 
pursuant to this section that is based upon alleged comparative 
employment characteristics or stereotyped characterizations of one or 
the other sex, or upon preference based on sex of the recipient, 
employees, students, or other persons, but nothing contained in this 
section shall prevent a recipient from considering an employee's sex in 
relation to employment in a locker room or toilet facility used only by 
members of one sex.



                          Subpart F_Procedures



Sec.  1253.600  Notice of covered programs.

    Within 60 days of September 29, 2000, each Federal agency that 
awards Federal financial assistance shall publish in the Federal 
Register a notice of the programs covered by these Title IX regulations. 
Each such Federal agency shall periodically republish the notice of 
covered programs to reflect changes in covered programs. Copies of this 
notice also shall be made available upon request to the Federal agency's 
office that enforces Title IX.



Sec.  1253.605  Enforcement procedures.

    The investigative, compliance, and enforcement procedural provisions 
of Title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d) (``Title 
VI'') are hereby adopted and applied to these Title IX regulations. 
These procedures may be found at 14 CFR 1250.105 through 1250.110.

[65 FR 52877, Aug. 30, 2000]



PART 1259_NATIONAL SPACE GRANT COLLEGE AND FELLOWSHIP PROGRAM
--Table of Contents



                         Subpart 1_Basic Policy

Sec.
1259.100 Scope of part.
1259.101 Definitions.
1259.102 General policy.
1259.103 Space authorities--regular and special.

            Subpart 2_Space Grant Program and Project Awards

1259.200 Description.
1259.201 Types of Space Grant program and project awards--regular and 
          special.
1259.202 Application procedures.
1259.203 Limitations.

                     Subpart 3_National Needs Grants

1259.300 Description.
1259.301 Identification of national needs.
1259.302 Application procedures.
1259.303 Limitations.

        Subpart 4_Space Grant College and Consortium Designation

1259.400 Description.
1259.401 Responsibilities.
1259.402 Basic criteria and application procedures.
1259.403 Limitations.
1259.404 Suspension or termination of designation.

                    Subpart 5_Space Grant Fellowships

1259.500 Description.
1259.501 Responsibilities.
1259.502 Application procedures.
1259.503 Limitations.

[[Page 212]]

                   Subpart 6_Space Grant Review Panel

1259.600 Panel description.
1259.601 Establishment and composition.
1259.602 Conflict of interest.
1259.603 Responsibilities.

    Authority: Pub. L. 100-147, 101 Stat. 869-875; Sec. 3, Pub. L. 111-
314, 124 Stat. 3382; 51 U.S.C. 40301-40311.
    Source: 54 FR 19880, May 9, 1989, unless otherwise noted.



                         Subpart 1_Basic Policy



Sec.  1259.100  Scope of part.

    (a) This part 1259 establishes the policies, responsibilities, and 
procedures relative to the National Space Grant College and Fellowship 
Program established by Title II of the National Aeronautics and Space 
Administration (NASA) Authorization Act of 1988 (Pub. L. 100-147, 101 
Stat. 869-875, now codified at 51 U.S.C. 40301-40311 as a result of Sec. 
3, Pub. L. 111-314, 124 Stat. 3382). This statute authorizes the 
Administrator of NASA, in order to carry out the purposes of the 
National Space Grant College and Fellowship Act (the Act), to accept 
conditional or unconditional gifts and donations; to accept and use 
funds from other Federal departments, agencies, and instrumentalities; 
to make awards with respect to such needs or problems; and to designate 
Space Grant colleges. It further directs the Administrator to establish 
a graduate fellowship program to provide educational assistance to 
qualified individuals in fields related to space and to establish an 
independent committee known as the Space Grant Review Panel to review 
and advise the Administrator with respect to Space Grant programs.
    (b) The regulations of this part do not apply to awards made by NASA 
under any other authority.

[54 FR 19880, May 9, 1989, as amended at 82 FR 35440, July 31, 2017]



Sec.  1259.101  Definitions.

    For the purposes of this part, the following definitions shall 
apply:
    (a) Field related to space means any academic discipline or field of 
study (including the physical, natural and biological sciences, and 
engineering, space technology, education, economics, sociology, 
communications, planning, law, international affairs and public 
administration) which is concerned with or likely to improve the 
understanding, assessment, development and utilization of space.
    (b) Institution of higher education means any college or university 
in any state that:
    (1) Admits as regular students only individuals who have a 
certificate of graduation or equivalent from a secondary school;
    (2) Is legally authorized within such State to provide a program of 
education beyond secondary education;
    (3) Provides an educational program for which a bachelor's degree or 
other higher degree is awarded;
    (4) Is a public or other nonprofit institution; and
    (5) Is accredited by a nationally recognized accrediting agency or 
association.
    (c) National of the United States means a citizen of the United 
States or a native resident of a possession of the United States. It 
does not refer to or include a citizen of another country who has 
applied for United States citizenship.
    (d) Panel means the Space Grant Review Panel established pursuant to 
section 210 of the Act.
    (e) Person means any individual, public or private corporation, 
partnership or other association or entity (including any Space Grant 
college, Space Grant consortium, institution of higher education, 
institute or laboratory), or any State, political subdivision thereof, 
or agency or officer of a State or political subdivision thereof.
    (f) Space means aeronautical and space activities which has the 
meaning given to such term in section 103(1) of the National Aeronautics 
and Space Act of 1958, as amended (51 U.S.C. 20103).
    (g) Space Grant college means any public or private institution of 
higher education that is designated as such by the Administrator or 
designee pursuant to section 208 of the Act.
    (h) Space Grant regional consortium means any association or other 
alliance that is designated as such by the Administrator or designee 
pursuant to section 208 of the Act.

[[Page 213]]

    (i) Space Grant program means any program which:
    (1) Is administered by any Space Grant college, Space Grant regional 
consortium, institution of higher education, institute, laboratory or 
State or local agency; and
    (2) Includes two or more projects involving education and one or 
more of the following activities in the fields related to space:
    (i) Research;
    (ii) Training; or
    (iii) Advisory services.
    (j) Space Grant program award means any award contemplated under 
section 206(a) of the Act.
    (k) Special Space Grant program award means any award extended under 
section 206(b) of the Act.
    (l) Specific national need grant means any award extended under 
section 207 of the Act.
    (m) State means any State of the United States, the District of 
Columbia, the Commonwealth of Puerto Rico, the Virgin Islands, Guam, 
American Samoa, the Commonwealth of the Northern Mariana Islands and any 
other territory or possession of the United States.
    (n) State Space Grant cooperating institution means any institution 
of higher education in a state that does not have a designated Space 
Grant college, and that is named by the Administrator or designee to 
provide selected Space Grant program functions within that state.
[54 FR 19880, May 9, 1989, as amended at 82 FR 35440, July 31, 2017]



Sec.  1259.102  General policy.

    (a) In compliance with the National Space Grant College and 
Fellowship Act (51 U.S.C. 40301-40311), it shall be NASA's purpose to:
    (1) Increase the understanding, assessment, development, and 
utilization of space resources by promoting a strong educational base, 
responsive research and training activities, and broad and prompt 
dissemination of knowledge and techniques;
    (2) Utilize the abilities and talents of the universities of the 
Nation to support and contribute to the exploration and development of 
the resources and opportunities afforded by the space environment;
    (3) Encourage and support the existence of interdisciplinary and 
multidisciplinary programs of space research to engage in activities of 
training (including teacher education), research, and public service and 
to have cooperative programs with industry;
    (4) Encourage and support the existence of consortia, composed of 
university and industry members, to advance the exploration and 
development of space resources in cases in which national objectives can 
be better fulfilled than through the programs of single universities;
    (5) Encourage and support Federal funding for graduate fellowships 
in fields related to space;
    (6) Support activities in colleges and universities generally for 
the purpose of creating and operating a network of institutional 
programs that will enhance achievements resulting from efforts under 
this Act; and
    (7) Encourage cooperation and coordination among Federal agencies 
and Federal programs concerned with space issues.
    (b) It shall be NASA's policy to designate Space Grant colleges, 
State Space Grant cooperating institutions, and Space Grant regional 
consortia and award fellowships, grants, contracts, and other 
transactions competitively in a merit-based review process.
    (c) It shall be NASA's policy to designate and make awards without 
regard to age, color, disability, national origin, race, religion, or 
sex.
[82 FR 35440, July 31, 2017]



Sec.  1259.103  Space authorities--regular and special.

    (a) Acceptance of gifts:
    (1) In order to carry out the provisions of the Act, the 
Administrator is authorized to accept conditional or unconditional gifts 
or donations of services, money, or property; real, personal, or mixed; 
tangible or intangible. This authority is delegated to the Director, 
NASA Space Grant Program.
    (2) The Administrator or designee may decline any gift or donation 
that the Administrator determines is not in

[[Page 214]]

accord with the purposes of the program. Also, conditional gifts or 
donations that are not in compliance with the Act or the implementing 
regulations shall be declined. NASA may use a reasonable amount from a 
gift or donation to cover any administrative costs associated with such 
gift or donation.
    (b) Acceptance and use of funds from other Federal agencies:
    (1) To carry out the provisions of the Act, the Administrator is 
authorized to accept and use funds from other Federal departments, 
agencies, and instrumentalities to pay for awards under this program. 
This authority is delegated to the Director, NASA Space Grant Program.
    (2) The Administrator or designee may decline any such funds when 
the Administrator determines acceptance would not be in accord with the 
purposes of the program. NASA may use a reasonable amount from 
transferred Federal funds to cover any administrative costs associated 
with such transfer.

[54 FR 19880, May 9, 1989, as amended at 82 FR 35440, July 31, 2017]



            Subpart 2_Space Grant Program and Project Awards



Sec.  1259.200  Description.

    Awards are authorized to establish any Space Grant and/or fellowship 
program or project if such program or project will further the purposes 
of the Act.



Sec.  1259.201  Types of Space Grant program and project awards
--regular and special.

    (a) A regular Space Grant program or project award shall:
    (1) Be funded by NASA in an amount not to exceed 66 percent of the 
total cost of the Space Grant award and/or fellowship program involved; 
or
    (2) Be funded in an amount not to exceed 100 percent of its cost if 
the project award is funded by another Federal entity.
    (b) A special Space Grant program or project award may be funded in 
an amount not to exceed 100 percent of the total cost of the special 
project if the Administrator or designee, the Director, NASA Space Grant 
Program, determines that:
    (1) No reasonable means is available through which the applicant can 
meet the matching requirements for a regular Space Grant award under 
paragraph (a) of this section;
    (2) The probable benefit of such program or project outweighs the 
public interest in such matching requirement; and
    (3) The same or equivalent benefit cannot be obtained through the 
award of a regular Space Grant program or project award under paragraph 
(a) of this section or the award of a specific national need grant under 
section 207 of the Act.

[54 FR 19880, May 9, 1989, as amended at 82 FR 35441, July 31, 2017]



Sec.  1259.202  Application procedures.

    (a) The opportunity to apply shall be announced by the Director, 
NASA Space Grant Program.
    (b) The application procedures and evaluation guidelines for awards 
under this section will be included in the announcements of such 
programs.
    (c) The applications will be reviewed by a peer review merit 
selection panel appointed by the Director, NASA Space Grant Program.

[54 FR 19880, May 9, 1989, as amended at 82 FR 35441, July 31, 2017]



Sec.  1259.203  Limitations.

    The Act at Public Law 100-147, Section 206(d)(2) and (3), states 
that:
    (a) Funds for awards made under this section may not be used to:
    (1) Purchase land;
    (2) Purchase, construct, preserve or repair any building; or
    (3) Purchase or construct any launch facility or launch vehicle.
    (b) However, funds may be used to lease any of the items listed in 
paragraph (a) of this section provided prior written approval is 
obtained from the Administrator or designee.

[54 FR 19880, May 9, 1989, as amended at 82 FR 35441, July 31, 2017]

[[Page 215]]



                     Subpart 3_National Needs Grants



Sec.  1259.300  Description.

    National needs awards may be awarded by the Administrator or 
designee, Director, NASA Space Grant Program, to meet such needs or 
problems relating to aerospace identified by the Space Grant Review 
Panel, by NASA officials, or by any person. NASA may fund such awards in 
an amount not to exceed 100 percent of the total cost of the program or 
project.

[82 FR 35441, July 31, 2017]



Sec.  1259.301  Identification of national needs.

    National needs shall be identified by the Administrator who shall 
consider specific national needs and problems relating to space proposed 
by the Space Grant Review Panel, any NASA official or any person.



Sec.  1259.302  Application procedures.

    (a) The Administrator or designee has the authority to make awards 
to meet identified national needs.
    (b) The Director, NASA Space Grant Program shall establish a 
competitive, merit-based review process to examine unsolicited national 
needs proposals.

[54 FR 19880, May 9, 1989, as amended at 82 FR 35441, July 31, 2017]



Sec.  1259.303  Limitations.

    The same limitations shall apply as are stated in Sec.  1259.203.



        Subpart 4_Space Grant College and Consortium Designation



Sec.  1259.400  Description.

    (a) The Administrator may designate Space Grant colleges, Space 
Grant college consortia, and Space Grant regional consortia in order to 
establish Federal/university partnerships to promote a strong 
educational base in the space and aeronautical sciences. These 
designated colleges and consortia will provide leadership for a network 
of American colleges and universities, industry, and state and local 
governments in space-related fields. The Administrator hereby delegates 
this authority to the Director, NASA Space Grant Program.
    (b) Designation of Space Grant colleges, Space Grant college 
consortia, and Space Grant regional consortia shall be for five years. 
Designation of Space Grant colleges and consortia may be continued for 
more than five years based on the results of a merit review at the 
beginning of the fifth year. A claim arising in the United States should 
be submitted to the Chief Counsel of the NASA installation whose 
activities are believed to have given rise to the claimed injury, loss, 
or death. If the identity of such installation is not known, or if the 
claim arose in a foreign country, the claim should be submitted to the 
General Counsel, Headquarters, National Aeronautics and Space 
Administration, Washington, DC 20546.
    (c) Each designated Space Grant college or consortium will receive:
    (1) A Space Grant award that requires a 100 percent match; and
    (2) Funds for fellowships.
    (d) Each Space Grant college or consortium will be funded annually.

[54 FR 19880, May 9, 1989, as amended at 82 FR 35441, July 31, 2017]



Sec.  1259.401  Responsibilities.

    Each designated Space Grant college or consortium shall:
    (a) Designate a Space Grant Program Director;
    (b) Establish a Space Grant Office;
    (c) Administer a fellowship program;
    (d) Develop and implement programs of public service, 
interdisciplinary space-related programs, advisory activities, and 
cooperation with industry, research laboratories, state and local 
governments, and other colleges and universities, particularly 
institutions in their state and/or region with significantly large 
enrollments of minority students who are under-represented in science 
and technology; and
    (e) Provide non-Federal matching funds (exclusive of in-kind 
contributions) for the Space Grant program equal to those provided by 
NASA.

[54 FR 19880, May 9, 1989, as amended at 82 FR 35441, July 31, 2017]

[[Page 216]]



Sec.  1259.402  Basic criteria and application procedures.

    (a) Any institution of higher education may be designated a Space 
Grant college if the Administrator or designee, Director, NASA Space 
Grant Program, determines that it has a balanced program of research, 
education, training, and advisory services in fields related to space, 
as further defined in the program announcement.
    (b) Any association or other alliance of two or more persons may be 
designated a Space Grant regional consortium, if the Administrator or 
designee, Director, National Space Grant Program, determines that such 
association or alliance:
    (1) Is established for the purpose of sharing expertise, research, 
educational or training facilities and other capabilities in order to 
facilitate research, education, training and advisory services, in any 
field related to space;
    (2) Will encourage and follow a regional approach to solving 
problems or meeting needs relating to space, in cooperation with other 
institutions of higher education, Space Grant program grantees and other 
persons in the region.
    (c) The opportunity to apply for designation shall be announced by 
the Director, NASA Space Grant Program. The application procedures and 
evaluation guidelines for designation shall be included in the 
designation announcement.
    (d) Designation will be decided by a competitive merit review of the 
program proposal measured against the purposes of the Act and including, 
but not limited to, proposed linkages with other colleges and 
universities (particularly institutions with significant enrollments of 
under-represented minority groups), public service and collaboration 
with space-related industry.

[54 FR 19880, May 9, 1989, as amended at 82 FR 35441, July 31, 2017]



Sec.  1259.403  Limitations.

    The same limitations shall apply as stated in Sec.  1259.203.

[82 FR 35441, July 31, 2017]



Sec.  1259.404  Suspension or termination of designation.

    The Administrator or designee, Director, NASA Space Grant Program, 
may, for cause, after an opportunity for a hearing before a Federal 
administrative judge appointed by the Deputy Administrator, suspend or 
terminate the Space Grant designation of any institution or consortium.

[82 FR 35441, July 31, 2017]



                    Subpart 5_Space Grant Fellowships



Sec.  1259.500  Description.

    The Space Grant fellowship program will provide educational and 
training assistance to qualified individuals at the graduate level in 
fields related to space. Awards will be made to institutions of higher 
education for fellowships. The student recipients shall be referred to 
as NASA Space Grant Fellows.

[82 FR 35442, July 31, 2017]



Sec.  1259.501  Responsibilities.

    (a) All institutions that receive Space Grant fellowships shall use 
the awards to increase the pool of graduate students in fields related 
to space.
    (b) The overall fellowship program shall be cognizant of the 
importance of achieving institutional and geographical diversity.

[82 FR 35442, July 31, 2017]



Sec.  1259.502  Application procedures.

    (a) All applicants for designation as Space Grant colleges and 
consortia shall apply for Space Grant fellowships.
    (b) Applicants for Space Grant program or project grants (under 
Sec.  1259.200) and for national needs grants (under Sec.  1259.300) may 
also apply for Space Grant fellowships.
    (c) There shall be a merit review selection for Space Grant 
fellowship awards.

[54 FR 19880, May 9, 1989, as amended at 82 FR 35442, July 31, 2017]

[[Page 217]]



Sec.  1259.503  Limitations.

    (a) Fellowships shall be awarded only to Nationals of the United 
States.
    (b) Any students supported under this fellowship program shall not 
be funded for more than four years unless the Director, NASA Space Grant 
Program, makes an exception in writing.

[54 FR 19880, May 9, 1989, as amended at 82 FR 35442, July 31, 2017]



                   Subpart 6_Space Grant Review Panel



Sec.  1259.600  Panel description.

    An independent committee, the Space Grant Review Panel (Panel), 
which is not subject to the Federal Advisory Committee Act, shall be 
established to advise the Administrator with respect to Space Grant 
program and project awards, the Space Grant fellowship program, and the 
designation and operation of Space Grant colleges and consortia. A 
majority of the voting members shall be individuals who, by reason of 
their knowledge, experience, or training, are especially qualified in 
one or more of the fields related to space. The other voting members 
shall be individuals who, by reason of their knowledge, experience, or 
training, are especially qualified in, or representative of, education, 
extension services, state government, industry, economics, planning, or 
any other activity related to the purposes of the Space Grant program.

[82 FR 35442, July 31, 2017]



Sec.  1259.601  Establishment and composition.

    (a) The Panel, to be located at NASA Headquarters in Washington, DC, 
will be composed of ten (10) voting members who are not current NASA 
employees.
    (b) The Panel shall include four representatives from Federal 
departments, agencies, or entities that have an interest in space 
programs or science and education, as well as six representatives from 
non-Federal entities.
    (c) The non-Federal representatives shall include two persons who 
are directly involved with the Space Grant program at a Space Grant 
college or consortium, one person who is involved with the Space Grant 
program at a university that is not a designated Space Grant college, a 
university president or chancellor, one representative from a space-
related industry, and the last person to be from whatever field the 
Administrator determines to be of greatest concern.
    (d) The Panel members shall be appointed by the Administrator or 
designee.
    (e) The relevant organizations and associations in aerospace and 
science education fields will be asked to provide three names for each 
position on the panel. The Administrator shall consider them, but not be 
limited to them, in the selection process.
    (f) The Administrator or designee, Director, NASA Space Grant 
Program, shall select a Chair and a Vice Chair for the Panel. The Vice 
Chair shall act as Chair in the absence or incapacity of the Chair.
    (g) The Administrator or designee, Director, NASA Space Grant 
Program, may select NASA officials to serve as ex officio, non-voting 
members of the Panel.

[54 FR 19880, May 9, 1989, as amended at 82 FR 35442, July 31, 2017]



Sec.  1259.602  Conflict of interest.

    Any member of the Panel who has a personal or financial interest in 
an issue for consideration before the Panel shall abstain from all 
discussion and voting on such issue.
[82 FR 35442, July 31, 2017]



Sec.  1259.603  Responsibilities.

    (a) The Panel shall advise the Administrator and designee, Director, 
NASA Space Grant Program, with respect to:
    (1) Applications or proposals for, and performance under, awards 
made pursuant to sections 206 and 207 of Title II of the Act;
    (2) The Space Grant fellowship program;
    (3) The designation and operation of Space Grant colleges and Space 
Grant regional consortia, and the operation of Space Grant and 
fellowship programs;

[[Page 218]]

    (4) The formulation and application of the planning guidelines and 
priorities pursuant to section 205 (a) and (b)(1) of Title II of the 
Act; and
    (5) Such other matters as the Administrator refers to the Panel for 
review and advice.
    (b) The Panel shall meet biannually and at any other time at the 
call of the Chair or upon a request from a majority of the voting 
members or at the call of the Administrator.
    (c) The Panel may exercise such powers as reasonably necessary in 
order to carry out the duties enumerated in paragraph (a) of this 
section.
    (d) The Director, NASA Space Grant Program, shall appoint an 
Executive Secretary who shall perform administrative duties for the 
Panel.
    (e) Federal members of the Panel will have their agencies reimbursed 
by NASA for any travel costs and per diem expenses required to attend 
Panel meetings.
    (f) Nonfederal members of the Panel will be reimbursed by NASA for 
travel costs and per diem expenses required to attend Panel meetings.
[54 FR 19880, May 9, 1989, as amended at 82 FR 35442, July 31, 2017]

                          PART 1260 [RESERVED]



PART 1261_PROCESSING OF MONETARY CLAIMS (GENERAL)--Table of Contents



           Subpart 1261.1_Employees' Personal Property Claims

Sec.
1261.100 Scope of subpart.
1261.101 Claimants.
1261.102 Maximum amount.
1261.103 Time limitations.
1261.104 Allowable claims.
1261.105 Unallowable claims.
1261.106 Submission of claims.
1261.107 Evidence in support of claim.
1261.108 Recovery from carriers, insurers, and other third parties.
1261.109 Computation of allowance.
1261.110 Settlement of claims.

Subpart 1261.2 [Reserved]

  Subpart 1261.3_Claims Against NASA or Its Employees for Damage to or 
   Loss of Property or Personal Injury or Death_Accruing On or After 
                            January 18, 1967

1261.300 Scope of subpart.
1261.301 Authority.
1261.302 Claim.
1261.303 Claimant.
1261.304 Place of filing claim.
1261.305 Form of claim.
1261.306 Evidence and information required.
1261.307 Time limitations.
1261.308 NASA officials authorized to act upon claims.
1261.309 Action under the Federal Tort Claims Act.
1261.310 Investigation of claims.
1261.311 Claims requiring Department of Justice approval or 
          consultation.
1261.312 Action on approved claims.
1261.313 Required notification in the event of denial.
1261.314 [Reserved]
1261.315 Procedures for the handling of lawsuits against NASA employees 
          arising within the scope of their office or employment.
1261.316 Policy.
1261.317 Attorney-client privilege.

 Subpart 1261.4_Collection of Civil Claims of the United States Arising 
      Out of the Activities of the National Aeronautics and Space 
                          Administration (NASA)

1261.400 Scope of subpart.
1261.401 Definitions.
1261.402 Delegation of authority.
1261.403 Consultation with appropriate officials; negotiation.
1261.404 Services of the Inspector General.
1261.405 Subdivision of claims not authorized; other administrative 
          proceedings.
1261.406 Aggressive collection action; documentation.
1261.407 Demand for payment; limitation periods.
1261.408 Use of consumer reporting agency.
1261.409 Contracting for collection services.
1261.410 Suspension or revocation of license or eligibility; liquidation 
          of collateral.
1261.411 Collection in installments.
1261.412 Interest, penalties, and administrative costs.
1261.413 Analysis of costs; automation; prevention of overpayments, 
          delinquencies, or defaults.
1261.414 Compromise of claims.
1261.415 Execution of releases.
1261.416 Suspending or terminating collection action.
1261.417 Referral to Department of Justice or Government Accountability 
          Office.

[[Page 219]]

1261.418 Transfer of debts to Treasury for collection.

             Subpart 1261.5_Administrative Offset of Claims

1261.500 Scope of subpart.
1261.501 Definition.
1261.502 Notification procedures.
1261.503 Agency records inspection; hearing or review.
1261.504 Interagency requests.
1261.505 Multiple debts.
1261.506 Limitation periods.
1261.507 Civil Service Retirement and Disability Fund.
1261.508 Offset against a judgment.

 Subpart 1261.6_Collection by Offset From Indebted Government Employees

1261.600 Purpose of subpart.
1261.601 Scope of subpart.
1261.602 Definitions.
1261.603 Procedures for salary offset.
1261.604 Nonwaiver of rights by involuntary setoff.
1261.605 Refunds.
1261.606 Salary offset request by a creditor agency other than NASA (the 
          current paying agency).
1261.607 Obtaining the services of a hearing official.

    Authority: Subparts 1261.4, 1261.5, and 1261.6 issued under 51 
U.S.C. 20113; 31 U.S.C. 3711 et seq.; 5 U.S.C. 5514; 31 CFR parts 900 
through 904; 5 CFR part 550, subpart K, Sec. Sec.  550.1101 through 
550.1107.
    Source: 45 FR 48104, July 18, 1980, unless otherwise noted.



           Subpart 1261.1_Employees' Personal Property Claims

    Authority: 31 U.S.C. 2371, et seq.



Sec.  1261.100  Scope of subpart.

    This subpart prescribes regulations governing the settlement of 
claims against the National Aeronautics and Space Administration (NASA) 
for damage to, or loss of, personal property incident to service with 
NASA.



Sec.  1261.101  Claimants.

    (a) A claim for damage to, or loss of, personal property incident to 
service with NASA may be made only by:
    (1) An officer or employee of the National Aeronautics and Space 
Administration;
    (2) A member of the uniformed services (Army, Navy, Air Force, 
Marine Corps, Coast Guard, Coast and Geodetic Survey and Public Health 
Service) assigned to duty with or under the jurisdiction of NASA;
    (3) The authorized agent or legal representative of a person named 
in paragraph (a)(1) or (2) of this section; or
    (4) The survivors of a person named in paragraph (a)(1) or (2) of 
this section in the following order of precedence: Spouse; children, 
father or mother, or both; or brothers or sisters, or both. Claims by 
survivors may be allowed whether arising before, concurrently with, or 
after the decedent's death, if otherwise covered by this subpart.
    (b) Employees of contractors with the United States and employees of 
nonappropriated fund activities are not included within the meaning of 
paragraph (a)(1) or (2) of this section.
    (c) Claims may not be made by or for the benefit of a subrogee, 
assignee, conditional vendor, or other third party.



Sec.  1261.102  Maximum amount.

    From October 1, 1982, to October 30, 1988, the maximum amount that 
may be paid under the Military Personnel and Civilian Employees' Claim 
Act of 1964, as amended (31 U.S.C. 3721) is $25,000, and on or after 
October 31, 1988, the maximum amount is $40,000 (Pub. L. 100-565, 102 
Stat. 2833, October 31, 1988).
[54 FR 35456, Aug. 28, 1989]



Sec.  1261.103  Time limitations.

    (a) A claim may be allowed only if the claim is presented in writing 
within 2 years after it accrues. For the purposes of this subpart, a 
claim accrues at the time of the accident or incident causing the loss 
or damage, or at such time as the loss or damage is or should have been 
discovered by the claimant through the exercise of due diligence.
    (b) If a claim accrues in time of war or if an armed conflict 
intervenes within 2 years after it accrues, and if good cause is shown, 
the claim may be presented not later than 2 years after that cause 
ceases to exist, or 2 years after the war or armed conflict is 
terminated, whichever is earlier. The dates of beginning and ending of 
such an

[[Page 220]]

armed conflict are the dates established by concurrent resolution of the 
Congress or by a determination of the President.



Sec.  1261.104  Allowable claims.

    (a) A claim may be allowed only if:
    (1) The damage or loss was not caused wholly or partly by the 
negligent or wrongful act of the claimant, the claimant's agent, private 
employee, or family member (the standard to be applied is that of 
reasonable care under the circumstances);
    (2) The possession of the property lost or damaged and the quantity 
is determined to have been reasonable, useful, or proper under the 
circumstances; and
    (3) The claim is substantiated by proper and convincing evidence.
    (b) Claims which are otherwise allowable under this subpart shall 
not be disallowed solely because the property was not in the possession 
of the claimant at the time of the damage or loss, or solely because the 
claimant was not the legal owner of the property for which the claim is 
made. For example, borrowed property may be the subject of a claim.
    (c) Subject to the conditions in paragraph (a) of this section and 
the other provisions of this subpart, any claim for damage to, or loss 
of, personal property incident to service with NASA may be considered 
and allowed. The following are examples of the principal types of claims 
which may be allowed, but these examples are not exclusive and other 
types of claims may be allowed, unless excluded by Sec.  1261.105.
    (1) Property loss or damage in quarters or other authorized places. 
Claims may be allowed for damage to, or loss of, property arising from 
fire, flood, hurricane, other natural disaster, theft, or other unusual 
occurrence, while such property is located at:
    (i) Quarters within the 50 States or the District of Columbia that 
were assigned to the claimant or provided by the United States;
    (ii) Quarters outside the 50 States and the District of Columbia 
that were occupied by the claimant, whether or not they were assigned or 
provided by the United States, except when the claimant is a civilian 
employee who is a local inhabitant; or
    (iii) Any warehouse, office working area, hospital, or other place 
authorized or apparently authorized for the reception or storage of 
property.
    (2) Transportation or travel losses. Claims may be allowed for 
damage to, or loss of, property incident to transportation or storage 
pursuant to orders, or in connection with travel under orders, including 
property in the custody of a carrier, an agent or agency of the 
Government, or the claimant.
    (3) House trailers. Claims may be allowed for damage to, or loss of, 
house trailers and their contents under the provisions of paragraph 
(c)(2) of this section.
    (4) Negligence of the Government. Claims may be allowed for damage 
to, or loss of, property caused by the negligence or wrongful act or 
omission of any employee of the Government while acting within the scope 
of office or employment.
    (5) Enemy action or public service. Claims may be allowed for damage 
to, or loss of, property as a direct consequence of:
    (i) Enemy action or threat of action or combat, guerrilla, 
brigandage, or other belligerent activity, or unjust confiscation by a 
foreign power or its nationals;
    (ii) Action by the claimant to quiet a civil disturbance or to 
alleviate a public disaster; or
    (iii) Efforts by the claimant to save human life or Government 
property.
    (6) Property used for benefit of the Government. Claims may be 
allowed for damage to, or loss of, property when used for the benefit of 
the Government at the request of, or with the knowledge and consent of, 
an authorized official.
    (7) Clothing and accessories. Claims may be allowed for damage to, 
or loss of, clothing or accessories customarily worn on the person, such 
as eyeglasses, hearing aids or dentures.



Sec.  1261.105  Unallowable claims.

    Claims are not allowable for the following:
    (a) Unassigned quarters in United States. Claims may not be allowed 
for

[[Page 221]]

property loss or damage in quarters occupied by the claimant within the 
50 States or the District of Columbia that were not assigned to claimant 
or provided in kind by the United States.
    (b) Money or currency. Claims may not be allowed for loss of money 
or currency, except when lost incident to fire, flood, hurricane, other 
natural disaster, or by theft from quarters (as limited by paragraph 
(a)). Reimbursement for loss of money or currency is limited to an 
amount which is determined reasonable to have been in the claimant's 
possession at the time of the loss.
    (c) Government property. Claims may not be allowed for property 
owned by the United States, except that for which the claimant is 
financially responsible to any agency of the Government other than NASA.
    (d) Business property. Claims may not be allowed for property used 
in a private business enterprise.
    (e) Articles of extraordinary value. Claims may not be allowed for 
valuable articles, such as cameras, watches, jewelry, furs; or other 
articles of extraordinary value, when shipped with household goods or as 
unaccompanied baggage (shipment includes storage). This prohibition does 
not apply to articles in the personal custody of the claimant or 
articles properly checked: Provided, That reasonable protection or 
security measures have been taken by claimant.
    (f) Unserviceable property. Claims may not be allowed for worn-out 
unserviceable property.
    (g) Illegal possession. Claims may not be allowed for property 
acquired, possessed, or transported in violation of law or in violation 
of applicable regulations or directives.
    (h) Estimate fees. Claims may not include fees paid to obtain 
estimates or repair, except when it is clear that an estimate could not 
have been obtained without paying a fee.
    (i) Automobiles and other vehicles. Claims may not be allowed for 
damage to, or loss of, automobiles and other vehicles unless:
    (1) The vehicles were required to be used for official Government 
business (official Government business, as used here, does not include 
travel between quarters and place of duty, parking of vehicles incident 
to such travel, or use of vehicles for the convenience of the owner); or
    (2) Shipment of motor vehicles to, from, or between overseas areas 
was being furnished or provided by the Government; or
    (3) The damage or loss was caused by the negligent or wrongful act 
or omission of any employee of the Government acting within the scope of 
office or employment.



Sec.  1261.106  Submission of claims.

    All claims shall be submitted in duplicate to the Administrator or 
designee on NASA Form 1204, ``Employee's Claim for Damage to, or Loss 
of, Personal Property Incident to Service.''



Sec.  1261.107  Evidence in support of claim.

    (a) General. In addition to the information required on NASA Form 
1204, and any other evidence required by the Administrator or designee, 
the claimant will furnish the following evidence when relevant:
    (1) A corroborating statement from the claimant's supervisor or 
other person or persons having personal knowledge of the facts 
concerning the claim.
    (2) A statement of any property recovered or replaced in kind.
    (3) An itemized bill of repair for property which has been repaired, 
or one or more written estimates of the cost of repairs from competent 
persons if the property is repairable but has not been repaired.
    (b) Specific classes of claims. Claims of the following types shall 
also be accompanied with specific and detailed evidence as indicated:
    (1) Theft, burglary, etc. A statement describing in detail the 
location where the loss occurred and the facts and circumstances 
surrounding the loss, including supporting documentation, e.g., a police 
report.
    (2) Transportation losses. A copy of orders authorizing the travel, 
transportation or shipment, or a certificate explaining the absence of 
such orders and stating their substance; all bills of lading and 
inventories of property shipped; and a statement indicating the 
condition of the property when

[[Page 222]]

turned over to the carrier and when received from the carrier.



Sec.  1261.108  Recovery from carriers, insurers, and other third parties.

    (a) General. NASA is not an insurer and does not underwrite all 
personal property losses that an employee may sustain. Employees are 
encouraged to carry private insurance to the maximum extent practicable 
to avoid large losses or losses which may not be recoverable from NASA. 
The procedures set forth in this section are designed to enable the 
claimant to obtain the maximum amount of compensation for personal 
property loss or damage. Failure of the claimant to comply with these 
procedures may reduce or preclude payment of the claim.
    (b) Demand on carrier, contractor, warehouse owner/operator, or 
insurer. When it appears that property has been damaged or lost under 
circumstances in which a carrier, warehouse owner/operator, contractor 
or insurer may be responsible, the claimant shall make a written demand 
on such party, either before or after submitting a claim against NASA. 
The Administrator or designee, if requested, will assist in making 
demand on the third party. No such demand need be made if, in the 
opinion of the Administrator or designee, it would be impracticable or 
any recovery would be insignificant, or if circumstances preclude the 
claimant from making timely demand.
    (c) Action subsequent to demand. A copy of the demand and of any 
related correspondence shall be submitted to the Administrator or 
designee. If the carrier, insurer, or other third party offers a 
settlement which is less than the amount of the demand, the claimant 
shall consult with the Administrator or designee before accepting the 
amount offered. The claimant shall also notify the Administrator or 
designee promptly of any other action by a third party, including 
settlement, partial settlement, or denial of liability.
    (d) Application of recovery. When the amount recovered from a 
carrier, insurer, or other third party is greater than or equal to the 
claimant's total loss as determined under this subpart, no compensation 
is allowable under this subpart. When the amount recovered is less than 
such total loss, the allowable amount is determined by deducting the 
recovery from the amount of total loss subject to the maximum set forth 
in Sec.  1261.102.
    (e) Transfer of rights. The claimant shall assign to the United 
States, to the extent of any payment accepted on a claim, all rights, 
title, and interest in any claim he/she may have against any carrier, 
insurer, or other party arising out of the accident or incident on which 
the claim against the United States is based. The claimant shall also, 
upon request, furnish such evidence and other cooperation as may be 
required to enable the United States to enforce the claim. After payment 
on the claim by the United States, the claimant shall, upon receipt of 
any payment from a carrier, insurer, or other party, notify the 
Administrator or designee and pay the proceeds to the United States to 
the extent required under the provisions of paragraph (d).



Sec.  1261.109  Computation of allowance.

    (a) The amount allowed for damage to or loss of any item of property 
may not exceed the cost of the item (either the price paid in cash or 
property, or the value at the time of acquisition if not acquired by 
purchase or exchange). There will be no allowance for replacement cost 
or for appreciation in the value of the property. Subject to these 
limitations, the amount allowable is either:
    (1) The depreciated value, immediately prior to the loss or damage 
of property lost or damaged beyond economical repair, less any salvage 
value; or
    (2) The reasonable cost of repairs, when property is economically 
repairable: Provided, That the cost of repairs does not exceed the 
amount allowable under paragraph (a)(1) of this section.
    (b) Depreciation in value is determined by considering the type of 
article involved, its cost, its condition when damaged or lost, and the 
time elapsed between the date of acquisition and the date of damage or 
loss, with appropriate recognition of current replacement value.
    (c) Limitation on agent or attorney fees. No more than 10 per centum 
of the

[[Page 223]]

amount paid in settlement of each individual claim submitted and settled 
shall be paid or delivered to or received by an agent or attorney on 
account of services rendered in connection with that claim, any contract 
to the contrary notwithstanding (31 U.S.C. 243).



Sec.  1261.110  Settlement of claims.

    (a) Settlement officials. (1) Claims in the amount of $5,000 or more 
will be acted upon by the General Counsel. Claims less than $5,000 will 
be acted upon by the Chief Counsel of the NASA Field Installation where 
the employee was assigned at the time of the loss or damage or the 
Assistant General Counsel for Litigation for NASA Headquarters claims.
    (2) Claims arising for $5,000 or more shall be investigated by the 
Chief Counsel or Assistant General Counsel for Litigation, as 
appropriate, and a report and recommendation thereon shall be forwarded 
to the General Counsel.
    (b) Action by settlement official. (1) For each claim, the 
settlement official shall complete a report in duplicate on NASA Form 
1204 and retain a claim file consisting of the original claim, the 
report, and any other relevant evidence or documents.
    (2) When a claim is allowed in an amount acceptable to the claimant, 
the settlement official shall prepare a ``Voucher for Payment of 
Employees' Personal Property Claims'' (NASA Form 1220), have it properly 
executed by the claimant, and forward it with a copy of the approved 
claim (NASA Form 1204) to the appropriate NASA fiscal or financial 
management office for payment.
    (3) When a claim is disallowed or is partially allowed in an amount 
unacceptable to the claimant, the settlement official shall notify the 
claimant in writing of the action taken and the reasons therefor. If not 
satisfied with the action taken, the claimant may, within 60 days after 
receipt of such notice, request reconsideration of the claim and may 
submit any new evidence that he/she feels to be pertinent to the claim. 
If such a claim has been disallowed at the field installation level, the 
claimant may request reconsideration by the field installation, or by 
the General Counsel, or both.
    (c) Final and conclusive. The settlement of a claim under this 
subpart, whether by full or partial allowance or disallowance, is final 
and conclusive.

Subpart 1261.2 [Reserved]



  Subpart 1261.3_Claims Against NASA or Its Employees for Damage to or 
   Loss of Property or Personal Injury or Death_Accruing On or After 
                            January 18, 1967

    Authority: 28 U.S.C. 2671-2680, 51 U.S.C. 20113(m), and 28 CFR part 
14.



Sec.  1261.300  Scope of subpart.

    This subpart sets forth the procedures for:
    (a) The submission of, and action by NASA upon, claims against the 
United States arising out of the activities of NASA for damage to or 
loss of property or personal injury or death, and designates the NASA 
officials authorized to act upon such claims.
    (b) The handling of lawsuits against NASA employee(s) for damage to 
or loss of property or personal injury or death resulting from a NASA 
employee's activities within the scope of his/her office or employment.



Sec.  1261.301  Authority.

    (a) Under the provisions of the Federal Tort Claims Act, as amended 
(see 28 U.S.C. 2671-2680), and subject to its limitations, the 
Administrator or designee is authorized to consider, ascertain, adjust, 
determine, compromise, and settle any claim for money damages against 
the United States for injury or loss of property or personal injury or 
death caused by the negligent or wrongful act or omission of any NASA 
employee while acting within the scope of his/her office or employment, 
under circumstances where the United States, if a private person, would 
be liable to the claimant in accordance with the law of the place where 
the act or omission occurred. In exercising such authority, the 
Administrator or designee is required to act in accordance with 
regulations prescribed by the Attorney General (28 CFR part 14). An 
award, compromise,

[[Page 224]]

or settlement in excess of $25,000 may be effected only with the prior 
written approval of the Attorney General or designee.
    (b) Under 51 U.S.C. 20113(m)(1), NASA is authorized to consider, 
ascertain, adjust, determine, settle, and pay, on behalf of the United 
States, in full satisfaction thereof, any claim for $25,000 or less 
against the United States for bodily injury, death, or damage to or loss 
of real or personal property resulting from the conduct of NASA's 
functions as specified in 51 U.S.C. 20112. At the discretion of NASA, a 
claim may be settled and paid under this authority even though the 
United States could not be held legally liable to the claimant.
    (c) Under 51 U.S.C. 20113(m)(2), if NASA considers that a claim in 
excess of $25,000 is meritorious and would otherwise be covered by 51 
U.S.C. 20113(m)(1), NASA may report the facts and circumstances of the 
claim to the Congress for its consideration or to the Comptroller 
General as provided in the ``Supplemental Appropriations Act, 1978,'' 
Public Law 95-240 (92 Stat. 107), 31 U.S.C. 724a.
    (d) Under 28 U.S.C. 2679, the Attorney General of the United States 
shall defend any civil action or proceeding brought in any court against 
a Government employee for injury or loss of property or personal injury 
or death, resulting from the operation of a motor vehicle by the 
Government employee while acting within the scope of office or 
employment. In effect, this legislation is designed to protect an 
employee driving a motor vehicle on Government business by converting 
such a civil court action or proceeding against the employee into a 
claim against the United States: Provided, That the employee was acting 
within the scope of employment at the time of the accident. The remedy 
against the United States provided by 28 U.S.C. 2672 (administrative 
adjustment of claims) and 28 U.S.C. 1346(b) (civil action against the 
United States) then becomes the plaintiff's exclusive remedy.

[45 FR 48104, July 18, 1980, as amended at 82 FR 29383, June 29, 2017]



Sec.  1261.302  Claim.

    Unless the context otherwise requires, claim means a claim for money 
damages against the United States arising out of the activities of NASA, 
for injury or loss of property, or personal injury or death. A claim 
``arises'' at the place where the injury, loss, or death occurs.



Sec.  1261.303  Claimant.

    (a) A claim for damage to or loss of property may be presented by 
the owner of the property, duly authorized agent or legal 
representative.
    (b) A claim for personal injury may be presented by the injured 
person, duly authorized agent, or legal representative.
    (c) A claim based on death may be presented by the executor(rix) or 
administrator(rix) of the decedent's estate, or by any other person 
legally entitled to assert such a claim in accordance with applicable 
State law.
    (d) A claim for loss wholly compensated by an insurer with the 
rights of a subrogee may be presented by the insurer. A claim for loss 
partially compensated by an insurer with the rights of a subrogee may be 
presented by the parties individually as their respective interests 
appear, or jointly.
    (e) A claim presented by an agent or legal representative shall be 
presented in the name of the claimant, be signed by the agent or legal 
representative, show the title or legal capacity of the person signing 
and be accompanied by evidence of the agent's or legal representative's 
authority to present a claim on behalf of the claimant as agent, 
executor(rix), administrator (rix), parent, guardian, or other 
representative.



Sec.  1261.304  Place of filing claim.

    A claim arising in the United States should be submitted to the 
Chief Counsel of the NASA installation whose activities are believed to 
have given rise to the claimed injury, loss, or death. If the identity 
of such installation is not known, or if the claim arose in a foreign 
country, the claim should be submitted to the General Counsel, 
Headquarters, National Aeronautics and

[[Page 225]]

Space Administration, Washington, DC 20546.
[82 FR 29383, June 29, 2017]



Sec.  1261.305  Form of claim.

    (a) The official designated in Sec.  1261.308 shall, prior to acting 
on a claim, require the claimant to submit a completed Standard Form 
95--``Claim for Damage, Injury or Death.''
    (b) NASA installations will furnish copies of Standard Form 95 upon 
request.



Sec.  1261.306  Evidence and information required.

    (a) The circumstances alleged to have given rise to the claim, and 
the amount claimed, should, so far as possible, be substantiated by 
competent evidence. Supporting statements, estimates, and the like 
should, if possible, be obtained from disinterested parties. For 
specific guidance as to Federal Tort Claims Act claims, see Department 
of Justice regulations on ``Administrative Claims under Federal Tort 
Claims Act'' at 28 CFR part 14.
    (b) In addition to the evidence and information required under 
paragraph (a), any claimant shall be required to submit information as 
to the amount of money or other property received as damages or 
compensation, or which the claimant may be entitled to receive, by 
reason of the claimed injury, loss, or death from persons other than 
NASA or NASA employees. (Such persons include, but are not limited to, 
insurers, employers, and persons whose conduct was a cause of the 
accident or incident.)
    (c) Any document in other than the English language should be 
accompanied by an English translation.



Sec.  1261.307  Time limitations.

    (a) A claim may not be acted upon pursuant to the Federal Tort 
Claims Act unless it is presented to NASA within 2 years after it 
accrued.
    (b) A claim may not be acted upon pursuant to 51 U.S.C. 20113(m)(1) 
or (2) unless it is presented to NASA within two years after the 
occurrence of the accident or incident out of which the claim arose.
    (c) A claim shall be deemed to have been presented to NASA when NASA 
receives from a claimant or duly authorized agent or legal 
representative an executed Standard Form 95 or other written 
notification of an incident or accident, accompanied by a claim in a sum 
certain.

[45 FR 48104, July 18, 1980, as amended at 82 FR 29384, June 29, 2017]



Sec.  1261.308  NASA officials authorized to act upon claims.

    (a) Claims in the amount of $10,000 or more will be acted upon as 
directed by the General Counsel;
    (b) Claims less than $10,000 will be acted upon by the Chief Counsel 
of the NASA Field Installation where the employee was assigned at the 
time of the loss or damage or the Assistant General Counsel for 
Litigation for NASA Headquarters claims.
    (c) Claims of $10,000 or more, pursuant either to the Federal Tort 
Claims Act, or 51 U.S.C. 20113(m), shall be acted upon only with the 
prior approval of the General Counsel. Such claims shall be forwarded to 
the General Counsel for approval, if the Chief Counsel or the Associate 
General Counsel for General Law is of the opinion that the claim may be 
meritorious and otherwise suitable for settlement under any authority. A 
claim so forwarded should be accompanied by a report of the facts of the 
claim, based upon such investigation as may be appropriate, and a 
recommendation as to the action to be taken.
    (d) Claims acted upon by NASA officials pursuant to this section 
shall be acted upon pursuant to the Federal Tort Claims Act, or 51 
U.S.C. 20113(m)(1) or (2), as the NASA official deems appropriate.

[45 FR 48104, July 18, 1980, as amended at 82 FR 29384, June 29, 2017]



Sec.  1261.309  Action under the Federal Tort Claims Act.

    Where a claim is to be acted upon pursuant to the Federal Tort 
Claims Act, action shall be taken in accordance with 28 U.S.C. 2672, 
other provisions of the Federal Tort Claims Act as may be applicable 
(e.g., 28 U.S.C. 2680), and regulations prescribed by the Attorney 
General which appear at 28 CFR part 14.

[[Page 226]]



Sec.  1261.310  Investigation of claims.

    The officials designated in Sec.  1261.308 shall conduct such 
investigation of a claim as deemed appropriate. The officials may 
request any NASA office or other Federal agency to assist in the 
investigation.



Sec.  1261.311  Claims requiring Department of Justice approval
or consultation.

    (a) When in the opinion of the NASA official designated in Sec.  
1261.308, Department of Justice approval or consultation may be 
required, pursuant to 28 CFR part 14, in connection with a claim being 
acted upon under the Federal Tort Claims Act, the following papers shall 
be forwarded to the General Counsel:
    (1) A short and concise statement of the facts of the claim.
    (2) Copies of all relevant portions of the claim file.
    (3) A statement of the recommendations or views of the forwarding 
official.
    (b) A claim forwarded to the General Counsel in accordance with 
paragraph (a) of this section, or upon which the General Counsel is 
acting pursuant to Sec.  1261.308(c), shall be referred to the 
Department of Justice when, in the opinion of the General Counsel, 
Department of Justice approval or consultation is required or may be 
appropriate.



Sec.  1261.312  Action on approved claims.

    (a) Upon settlement of a claim, the official designated in Sec.  
1261.308 will prepare and have executed by the claimant a Voucher for 
Payment of Tort Claims (NASA Form 616) if the claim has been acted upon 
pursuant to 51 U.S.C. 20113(m), or a Voucher for Payment under Federal 
Tort Claims Act (Standard Form 1145) if the claim has been acted upon 
pursuant to the Federal Tort Claims Act. The form will then be referred 
to the cognizant NASA installation fiscal or financial management office 
for appropriate action.
    (b) When a claimant is represented by an attorney, both the claimant 
and attorney will be designated as ``payees'' on the voucher, and the 
check will be delivered to the attorney whose address shall appear on 
the voucher.
    (c) Acceptance by the claimant, agent, or legal representative, of 
any award, compromise, or settlement made pursuant to this subpart shall 
be final and conclusive on the claimant, agent or legal representative 
and any other person on whose behalf or for whose benefit the claim has 
been presented, and shall constitute a complete release of any claim 
against the United States and against any employee of the Government 
whose act or omission gave rise to the claim, by reason of the same 
subject matter.

[45 FR 48104, July 18, 1980, as amended at 82 FR 29384, June 29, 2017]



Sec.  1261.313  Required notification in the event of denial.

    Final denial of a claim shall be in writing and shall be sent to the 
claimant, the attorney, or legal representative by certified or 
registered mail. The notification of final denial may include a 
statement of the reasons for the denial and shall include a statement 
that if the claimant is dissatisfied with NASA's action, the claimant 
may file suit in an appropriate U.S. District Court not later than 6 
months after the date of mailing the notification.



Sec.  1261.314  [Reserved]



Sec.  1261.315  Procedures for the handling of lawsuits against 
NASA employees arising within the scope of their office or
employment.

    The following procedures shall be followed in the event that a civil 
action or proceeding is brought, in any court, against any employee of 
NASA (or against the estate) for injury or loss of property or personal 
injury or death, resulting from the NASA employee's activities while 
acting within the scope of office or employment:
    (a) After being served with process or pleadings in such an action 
or proceeding, the employee (or the executor(rix) or administrator(rix) 
of the estate) shall immediately deliver all such process and pleadings 
or an attested true copy thereof, together with a fully detailed report 
of the circumstances of the accident giving rise to the court action or 
proceeding, to the following officials:

[[Page 227]]

    (1) The Assistant General Counsel for Litigation insofar as actions 
or proceedings against employees of NASA Headquarters are concerned; or
    (2) The Chief Counsel of the NASA Installation at which the employee 
is employed, insofar as actions against other than NASA Headquarters 
employees are concerned.
    (b) Upon receipt of such process and pleadings, the Associate 
General Counsel for General Law or the Chief Counsel of the NASA 
installation receiving the same shall furnish to the U.S. Attorney for 
the district embracing the place where the action or proceeding is 
brought and, if appropriate, the Director, Torts Branch, Civil Division, 
Department of Justice, the following:
    (1) Copies of all such process and pleadings in the action or 
proceeding promptly upon receipt thereof; and
    (2) A report containing a statement of the circumstances of the 
incident giving rise to the action or proceeding, and all data bearing 
upon the question of whether the employee was acting within the scope of 
office or employment with NASA at the time of the incident, at the 
earliest possible date, or within such time as shall be fixed by the 
U.S. Attorney upon request.
    (c) The Associate General Counsel for General Law or a Chief Counsel 
acting pursuant to paragraph (b) of this section shall submit the 
following documents to the General Counsel, who is hereby designated to 
receive such documents on behalf of the Administrator:
    (1) Copies of all process and pleadings submitted to a U.S. Attorney 
in accordance with paragraph (b).
    (2) In addition, where the action or proceeding is for damages in 
excess of $25,000, or where (in the opinion of the Chief Counsel) such 
action or proceeding involves a new precedent, a new point of law, or a 
question of policy, copies of reports and all other papers submitted to 
the U.S. Attorney.

[45 FR 48104, July 18, 1980, as amended at 82 FR 29384, June 29, 2017]



Sec.  1261.316  Policy.

    (a) The National Aeronautics and Space Administration may indemnify 
a present or former NASA employee, who is personally named as a 
defendant in any civil suit in state or Federal court, or in an 
arbitration proceeding or other proceeding seeking damages against that 
employee personally, for any verdict, judgment, appeal bond, or other 
monetary award which is rendered against such employee, provided that 
the conduct giving rise to the verdict, judgment, appeal bond, or award 
was taken within the scope of his or her employment and that such 
indemnification is in the interest of the National Aeronautics and Space 
Administration, as determined by the Administration or designee.
    (b) The National Aeronautics and Space Administration may settle or 
compromise a personal damage claim against a present or former NASA 
employee by the payment of available funds, at any time, provided the 
alleged conduct giving rise to the personal damage claim was taken 
within the employee's scope of employment and that such settlement or 
compromise is in the interest of the National Aeronautics and Space 
Administration, as determined by the Administrator or designee.
    (c) Absent exceptional circumstances as determined by the 
Administrator or designee, the agency will not entertain a request 
either to agree to indemnify or to settle a personal damage claim before 
entry of an adverse verdict, judgment, or award.
    (d) A present or past NASA employee may request indemnification to 
satisfy a verdict, judgment, or award entered against that employee. The 
employee shall submit a written request, with appropriate documentation 
including copies of the verdict, judgment, appeal bond, award, or 
settlement proposal to the General Counsel, who shall make a recommended 
disposition of the request. Where appropriate, the agency shall seek the 
views of the Department of Justice. The General Counsel shall forward 
the request, the accompanying documentation, and the General Counsel's 
recommendation to the Administrator for decision.
    (e) Any payment under this section either to indemnify a National 
Aeronautics and Space Administration employee or to settle a personal 
damage claim shall be contingent upon the availability of appropriated 
funds of

[[Page 228]]

the National Aeronautics and Space Administration.

[53 FR 27482, July 21, 1988]



Sec.  1261.317  Attorney-client privilege.

    (a) Attorneys employed by the National Aeronautics and Space 
Administration participate in the process utilized for the purpose of 
determining whether the agency should request the Department of Justice 
to provide representation to a present or former agency employee sued, 
subpoenaed, or charged in his/her individual capacity, and attorneys 
employed by the National Aeronautics and Space Administration provide 
assistance in obtaining representation of such an agency employee. In 
these roles, agency attorneys undertake a full and traditional attorney-
client relationship with the employee with respect to application of the 
attorney-client privilege. If representation is authorized, National 
Aeronautics and Space Administration attorneys who assist in the 
representation of a present or former employee also undertake a full and 
traditional attorney-client relationship with that employee with respect 
to the attorney-client privilege.
    (b) Any adverse information communicated by the client-employee to 
an Agency attorney during the course of such attorney-client 
relationship shall not be disclosed to anyone, either inside or outside 
NASA, other than attorneys responsible for representation of the 
employee, unless such disclosure is authorized by the employee. Such 
adverse information shall continue to be fully protected whether or not 
representation is provided and even though representation may be denied 
or discontinued.

[53 FR 27483, July 21, 1988, as amended at 82 FR 29384, June 29, 2017]



 Subpart 1261.4_Collection of Civil Claims of the United States Arising 
      Out of the Activities of the National Aeronautics and Space 
                          Administration (NASA)

    Source: 52 FR 19487, May 26, 1987, unless otherwise noted.



Sec.  1261.400  Scope of subpart.

    (a) These regulations do the following:
    (1) Prescribe standards for the administrative collection, 
compromise, suspension or termination of collection, and referral to the 
General Accounting Office (GAO), and/or to the Department of Justice 
(DJ) for litigation, of civil claims as defined by 31 U.S.C. 3701(b), 
arising out of the activities of NASA;
    (2) Designate the responsible NASA officials authorized to effect 
actions hereunder; and
    (3) Require compliance with the GAO/DJ joint regulations at 4 CFR 
parts 101 through 105 and the Office of Personnel Management (OPM) 
regulations at 5 CFR part 550, subpart K.
    (b) Failure to comply with any provision of the GAO/DJ or OPM 
regulations shall not be available as a defense to any debtor (4 CFR 
101.8).
    (c) These regulations do not include any claim based in whole or in 
part on violation of the anti-trust laws; any claim as to which there is 
an indication of fraud, the presentation of a false claim, or 
misrepresentation on the part of the debtor or any party having an 
interest in the claim; tax claims; or Federal interagency claims (4 CFR 
101.3).



Sec.  1261.401  Definitions.

    (a) Claim and debt. The terms denote a civil claim arising from the 
activities of NASA for an amount of money, or return or value of 
property (see 4 CFR 101.5), owing to the United States from any person, 
organization, or entity, except another Federal agency. The words claim 
and debt have been used interchangeably and are considered synonymous.
    (b) Delinquent debt. The debt is delinquent if it has not been paid 
by the date specified in the initial written notification (e.g., Sec.  
1261.407) or applicable contractual agreement, unless other acceptable 
(to NASA) payment arrangements have been made by that date, or if, at 
any time thereafter, the debtor fails to satisfy an obligation under the 
payment agreement.
    (c) Referral for litigation. Referral through the NASA 
installation's legal counsel to the Department of Justice

[[Page 229]]

(Main Justice or the United States Attorney, as appropriate) for legal 
proceedings.



Sec.  1261.402  Delegation of authority.

    The following NASA officials are delegated authority, as qualified 
by Sec.  1261.403, to take such action as is authorized by these 
regulations to collect, compromise, suspend/terminate collection, and 
upon consultation with and through legal counsel, to refer the claim (as 
applicable) to the GAO or Department of Justice:
    (a) For field installations, with regard to subpart 1261.4 and 
subpart 1261.5: The Director of the Installation or a designee who 
reports directly to the Installation Director. A copy of such 
designation, if any, shall be sent to the Director, Financial Management 
Division, NASA Headquarters.
    (b) For Headquarters, with regard to subpart 1261.4 and subpart 
1261.5: The Associate Administrator for Mission Support or a designee 
who reports directly to the Associate Administrator for Mission Support. 
A copy of such designation, if any, shall be sent to the Director, 
Financial Management Division, NASA Headquarters.
    (c) With respect to the analysis required by Sec.  1261.413: The 
NASA Chief Financial Officer or designee.
    (d) NASA-wide, with regard to subpart 1261.6: The NASA Chief 
Financial Officer or designee.
    (e) NASA-wide, for complying with pertinent provisions under these 
regulations for agency hearing or review (see Sec. Sec.  1261.408(b), 
1261.503, and 1261.603(c)): The NASA General Counsel or designee.

[45 FR 48104, July 18, 1980, as amended at 82 FR 29384, June 29, 2017]



Sec.  1261.403  Consultation with appropriate officials; negotiation.

    (a) The authority pursuant to Sec.  1261.402 to determine to forgo 
collection of interest, to accept payment of a claim in installments, 
or, as to claims which do not exceed $100,000, exclusive of interest and 
related charges, to compromise a claim or to refrain from doing so, or 
to refrain from, suspend, or terminate collection action, shall be 
exercised only after consultation with legal counsel for the particular 
installation and the following NASA officials or designees, who may also 
be requested to negotiate the appropriate agreements or arrangements 
with the debtor:
    (1) With respect to claims against contractors or grantees arising 
in connection with contracts or grants--the contracting officer and the 
financial management officer of the installation concerned.
    (2) With respect to claims against commercial carriers for loss of 
or damage to NASA freight shipment--the cognizant transportation 
officers or the official who determined the amount of the claim, as 
appropriate, and the financial management officers of the installation 
concerned.
    (3) With respect to claims against employees of NASA incident to 
their employment--the personnel officer and the financial management 
officer of the installation concerned.
    (b) The appropriate counsel's office shall review and concur in the 
following:
    (1) All communications to and agreements with debtors relating to 
claims collection.
    (2) All determinations to compromise a claim, or to suspend or 
terminate collection action.
    (3) All referrals of claims, other than referrals to the Department 
of Justice pursuant to Sec.  1261.404(b)(1).
    (4) All documents releasing debtors from liability to the United 
States.
    (5) All other actions relating to the collection of a claim which in 
the opinion of the official designated in or pursuant to Sec.  1261.402 
may affect the rights of the United States.

[45 FR 48104, July 18, 1980, as amended at 82 FR 29384, June 29, 2017]



Sec.  1261.404  Services of the Inspector General.

    (a) At the request of an official designated in or pursuant to Sec.  
1261.402, the Office of the Inspector General will, where practicable, 
conduct such investigations as may assist in the collection, compromise, 
or referral of claims of the United States, including investigations to 
determine the location and financial resources of the debtors.
    (b) Any claim which, in the opinion of an official designated in or 
pursuant

[[Page 230]]

to Sec.  1261.402 or Sec.  1261.403, may indicate fraud, presentation of 
a false claim, or misrepresentation, on the part of the debtor or any 
other party having an interest in the claim, shall be referred by the 
designated official to the Inspector General (IG), NASA Headquarters, or 
to the nearest office of the NASA IG. After an investigation as may be 
appropriate, the IG shall:
    (1) Notice the official, from whom the claim was received, of the 
findings and refer the claim to the Department of Justice in accordance 
with the provisions of 4 CFR 101.3; or
    (2) If it were found that there is no such indication of fraud, the 
presentation of a false claim, or misrepresentation, return the claim to 
the official from whom it was received.



Sec.  1261.405  Subdivision of claims not authorized; other
administrative proceedings.

    (a) Subdivision of claims. Claims may not be subdivided to avoid the 
$100,000 ceiling, exclusive of interest, penalties, and administrative 
costs, for purposes of compromise (Sec.  1261.414) or suspension or 
termination of collection (Sec.  1261.416). The debtor's liability 
arising from a particular transaction or contract shall be considered a 
single claim (31 CFR 900.6).
    (b) Required administrative proceedings. Nothing contained in these 
regulations is intended to require NASA to omit, foreclose, or duplicate 
administrative proceedings required by contract or other applicable laws 
and implementing regulations (4 CFR 101.7).
[45 FR 48104, July 18, 1980, as amended at 82 FR 29384, June 29, 2017]



Sec.  1261.406  Aggressive collection action; documentation.

    (a) NASA shall take aggressive action, on a timely basis with 
effective followup, to collect all claims of the United States for money 
or property arising out of NASA activities, and to cooperate with the 
other Federal agencies in debt collection activities.
    (b) All administrative collection action shall be documented and the 
bases for compromise, or for termination or suspension of collection 
action, should be set out in detail. Such documentation, including the 
Claims Collection Litigation Report under Sec.  1261.417(e), should be 
retained in the appropriate claims file.



Sec.  1261.407  Demand for payment; limitation periods.

    (a) Appropriate written demands shall be made promptly upon a debtor 
of the United States in terms which inform the debtor of the 
consequences of failure to cooperate. A total of three progressively 
stronger written demands at not more than 30-day intervals will normally 
be made unless a response to the first or second demand indicates that a 
further demand would be futile and the debtor's response does not 
require rebuttal. In determining the timing of demand letters, NASA will 
give due regard to the need to act promptly so that, as a general rule, 
if necessary to refer the debt to the Department of Justice for 
litigation, such referral can be made within one year of the agency's 
final determination of the fact and the amount of the debt. When 
necessary to protect the Government's interests (for example, to prevent 
the statute of limitations, 28 U.S.C. 2415, from expiring), written 
demand may be preceded by other appropriate actions, including immediate 
referral for litigation.
    (b) The initial demand letter should inform the debtor of:
    (1) The basis for the indebtedness and whatever rights the debtor 
may have to seek review within the agency;
    (2) The applicable standards for assessing interest, penalties, and 
administrative costs (Sec.  1261.412); and
    (3) The date by which payment is to be made, which normally should 
be not more than 30 days from the date that the initial demand letter 
was mailed or hand delivered. The responsible official should exercise 
care to ensure that demand letters are mailed or hand delivered on the 
same day that they are actually dated. Apart from these requirements, 
there is no prescribed format for demand letters. However, as 
appropriate to the circumstances, the responsible official may consider 
including, either in the initial demand letter or in subsequent letters, 
such items the

[[Page 231]]

NASA's willingness to discuss alternative methods of payment, or 
intentions with respect to referral of the debt to the Department of 
Justice for litigation.
    (4) The name, address, and phone number of a contact person or 
office within the Agency.
    (c) NASA should respond promptly to communications from the debtor, 
within 30 days whenever feasible, and should advise debtors who dispute 
the debt to furnish available evidence to support their contentions.
    (d) If either prior to the initiation of, any time during, or after 
completion of the demand cycle, a determination to pursue offset is 
made, then the procedures specified in subparts 1261.5 and 1261.6, as 
applicable, should be followed. The availability of funds for offset and 
NASA's determination to pursue it release the agency from the necessity 
of further compliance with paragraphs (a), (b), and (c) of this section. 
If the agency has not already sent the first demand letter, the agency's 
written notification of its intent to offset must give the debtor the 
opportunity to make voluntary payment, a requirement which will be 
satisfied by compliance with the notice requirements of Sec.  1261.502 
or Sec.  1261.603(a), as applicable.
    (e) NASA should undertake personal interviews with its debtors 
whenever this is feasible, having regard for the amounts involved and 
the proximity of agency representatives to such debtors; and may attempt 
to effect compromise of the claim in accordance with Sec.  1261.414.
    (f) When a debtor is employed by the Federal government or is a 
member of the military establishment or the Coast Guard, and collection 
by offset cannot be accomplished in accordance with subpart 1261.6, the 
employing agency will be contacted for the purpose of arranging with the 
debtor for payment of the indebtedness by allotment or otherwise in 
accordance with section 206 of Executive Order 11222, May 8, 1965, 30 FR 
6469, which provides that: ``An employee is expected to meet all just 
financial obligations, especially those--such as Federal, State, or 
local taxes--which are imposed by law'' (4 CFR 102.81).
[45 FR 48104, July 18, 1980, as amended at 82 FR 29384, June 29, 2017]



Sec.  1261.408  Use of consumer reporting agency.

    (a) The term consumer reporting agency has the meaning provided in 
the Federal Claims Collection Act of 1966, as amended (31 U.S.C. 
3701(a)(3)):
    (1) A consumer reporting agency as that term is defined in section 
603(f) of the Fair Credit Reporting Act (15 U.S.C. 1681a(f); or
    (2) A person that, for money or on a cooperative basis, regularly--
    (i) Gets information on consumers to give the information to a 
consumer reporting agency; or
    (ii) Serves as a marketing agent under an arrangement allowing a 
third party to get the information from a consumer reporting agency.
    (b) NASA Headquarters Financial Management Division, shall be the 
focal contact between NASA and consumer reporting agencies. The 
following procedures shall apply when such agencies are employed by 
NASA:
    (1) After the appropriate notice pursuant to 5 U.S.C. 552a(e)(4) has 
been published, NASA may disclose, in accordance with 5 U.S.C. 
552a(b)(12), information about a debtor to a consumer reporting agency. 
Such information may include:
    (i) That a claim has been determined to be valid and is overdue 
(including violation by debtor of a repayment plan or other claim 
settlement agreement);
    (ii) If a current address is available, notifying the individual by 
certified mail, return receipt requested, that: The designated NASA 
official has reviewed the claim and determined that it is valid and 
overdue; within not less than 60 days after sending this notice, NASA 
intends to disclose to a consumer reporting agency the specific 
information to be disclosed under paragraph (b)(1) of this section; the 
individual may request a complete explanation of the claim, dispute the 
information in the records of NASA about the claim, and file for an 
administrative review or repeal of the claim or for

[[Page 232]]

reconsideration of the initial decision on the claim.
    (iii) Amount, status, and history of the claim;
    (iv) Program or pertinent activity under which the claim arose.
    (2) Before disclosing the information specified in paragraph (b)(1) 
of this section, NASA shall comply with 31 U.S.C. 3711(f) by:
    (i) Taking reasonable action to locate the individual if a current 
address is not available;
    (ii) If a current address is available, noticing the individual by 
certified mail, return receipt requested, that: The designated NASA 
official has reviewed the claim and determined that it is valid and 
overdue; within not less than 60 days after sending this notice, NASA 
intends to disclose to a consumer reporting agency the specific 
information to be disclosed under paragraph (b)(1) of this section; the 
individual may request a complete explanation of the claim, dispute the 
information in the records of NASA about the claim, and file for an 
administrative review or repeal of the claim or for reconsideration of 
the initial decision on the claim.
    (3) If an administrative review or reconsideration is requested, the 
responsible official or designee shall refer the request to the 
appropriate NASA legal counsel for an impartial review and determination 
by counsel or designee based on the entire written record. If the 
reviewer cannot resolve the question of indebtedness based upon the 
available documentary evidence, verified written statements by the 
debtor or the responsible official may be requested on any pertinent 
matter not addressed by the available record.
    (c) If the information is to be submitted to a consumer reporting 
agency, the responsible official shall obtain a verified statement from 
such agency which gives satisfactory assurances that the particular 
agency is complying with all laws of the United States related to 
providing consumer credit information; and thereafter ensure that the 
consumer reporting agency is promptly informed of any substantial change 
in the condition or amount of the claim, or, on request of such agency, 
promptly verify or correct information about the claim.
[45 FR 48104, July 18, 1980, as amended at 82 FR 29384, June 29, 2017]



Sec.  1261.409  Contracting for collection services.

    (a) When NASA determines that there is a need to contract for 
collection services, the following conditions shall apply:
    (1) The authority to resolve disputes, compromise claims, suspend or 
terminate collection action, and refer the matter for litigation must be 
retained by NASA.
    (2) The contractor shall be subject to the Privacy Act of 1974, as 
amended, to the extent specified in 5 U.S.C. 552a(m), and to applicable 
Federal and State laws and regulations pertaining to debt collection 
practices--for example, the Fair Debt Collection Practices Act (15 
U.S.C. 1692), and 26 U.S.C. 6103(p)(4) and applicable regulations of the 
Internal Revenue Service;
    (3) The contractor must be required to account strictly for all 
amounts collected; and
    (4) The contractor must agree to provide any data contained in its 
files relating to collection actions and related reports, current 
address of debtor, and reasonably current credit information upon 
returning an account to NASA for subsequent referral to the Department 
of Justice for litigation.
    (5) The debt must not be subject to mandatory transfer to the 
Department of the Treasury for collection. See 31 CFR 901.5(a) and (b).
    (b) NASA shall use Government-wide debt collection contracts to 
obtain debt collection services provided by private collection 
contractors. See 31 CFR 901.5(b).
    (c) NASA shall fund private collection contractor contracts in 
accordance with 31 U.S.C. 3728(d) or as otherwise permitted by law. See 
31 CFR 901.5(c).

[45 FR 48104, July 18, 1980, as amended at 82 FR 29385, June 29, 2017]



Sec.  1261.410  Suspension or revocation of license or eligibility;
liquidation of collateral.

    (a) In seeking the collection of statutory penalties, forfeitures, 
or debts

[[Page 233]]

provided for as an enforcement aid or for compelling compliance, NASA 
will give serious consideration to the suspension or revocation of 
licenses or other privileges for any inexcusable, prolonged, or repeated 
failure of a debtor to pay such a claim. In the case of a contractor 
under 48 CFR chapter 18, NASA will comply with the debarment, 
suspension, and ineligibility requirements of the NASA Federal 
Acquisition Regulation Supplement (NASA/FAR Supplement) at 48 CFR 
1809.4. Likewise, in making, guaranteeing, insuring, acquiring, or 
participating in loans, NASA will give serious consideration to 
suspending or disqualifying any lender, contractor, broker, borrower, or 
other debtor from doing further business with it or engaging in programs 
sponsored by it if such a debtor fails to pay its debts to the 
Government within a reasonable time. The failure of any surety to honor 
its obligations in accordance with 31 U.S.C. 9305 must be reported to 
the Treasury Department at once. Notification that a surety's 
certificate of authority to do business with the Federal Government has 
been revoked or forfeited by the Treasury Department will be forwarded 
by that Department to all interested agencies.
    (b) If NASA is holding security or collateral which may be 
liquidated and the proceeds applied on debts due it through the exercise 
of a power of sale in the security instrument or a nonjudicial 
foreclosure, it should do so by such procedures if the debtor fails to 
pay the debt within a reasonable time after demand, unless the cost of 
disposing of the collateral will be disproportionate to its value or 
special circumstances require judicial foreclosure. NASA will provide 
the debtor with reasonable notice of the sale, an accounting of any 
surplus proceeds, and any other procedures required by applicable 
contract or law. Collection from other sources, including liquidation of 
security or collateral, is not a prerequisite to requiring payment by a 
surety or insurance concern unless such action is expressly required by 
statute or contract.



Sec.  1261.411  Collection in installments.

    (a) Whenever feasible, and except as otherwise provided by law, 
debts owed to the United States, together with interest penalties, and 
administrative costs as required by Sec.  1261.412, should be collected 
in full in one lump sum. This is true whether the debt is being 
collected by administrative offset or by another method, including 
voluntary payment. However, if the debtor is financially unable to pay 
the indebtedness in one lump sum, payment may be accepted in regular 
installments. Debtors who represent that they are unable to pay the debt 
in one lump sum must submit justification, including financial 
statements. If NASA agrees to accept payment in regular installments, it 
will obtain a legally enforceable written agreement from the debtor 
which specifies all of the terms of the arrangement and which contains a 
provision accelerating the debt in the event the debtor defaults. The 
size and frequency of installment payments should bear a reasonable 
relation to the size of the debt and the debtor's ability to pay. If 
possible, the installment payments should be sufficient in size and 
frequency to liquidate the Government's claim in not more than three 
years. Installment payments of less than $50 per month should be 
accepted only if justifiable on the grounds of financial hardship or 
similar reasonable cause. If the claim is unsecured, an executed 
confess-judgment note should be obtained from a debtor when the total 
amount of the deferred installments will exceed $750. Such notes may be 
sought when an unsecured obligation of a lesser amount is involved. When 
attempting to obtain confess-judgment notes, the debtor should be 
provided with written explanation of the consequences of signing the 
note, and documentation should be maintained sufficient to demonstrate 
that the debtor has signed the note knowingly and voluntarily. Security 
for deferred payments other than a confess-judgment note may be accepted 
in appropriate cases. NASA, at its option, may accept installment 
payments notwithstanding the refusal of a debtor to execute a confess-
judgment note or to give other security.

[[Page 234]]

    (b) If the debtor owes more than one debt and designates how a 
voluntary installment payment is to be applied as among those debts, 
that designation must be followed. If the debtor does not designate the 
application of the payment, agencies should apply payments to the 
various debts in accordance with the best interests of the United 
States, as determined by the facts and circumstances of the particular 
case, paying special attention to applicable statutes of limitations.
[45 FR 48104, July 18, 1980, as amended at 82 FR 29385, June 29, 2017]



Sec.  1261.412  Interest, penalties, and administrative costs.

    (a) Pursuant to 31 U.S.C. 3717, NASA shall assess interest, 
penalties, and administrative costs on debts owed to the United States. 
Before assessing these charges, NASA must mail or hand deliver a written 
notice to the debtor explaining the requirements concerning the charges 
(see Sec.  1261.407(b)).
    (b) Interest shall accrue from the date on which notice of the debt 
and the interest requirements is first mailed or hand delivered to the 
debtor (on or after October 25, 1982), using the most current address 
that is available to the agency. If an ``advance billing'' procedure is 
used--that is, a bill is mailed before the debt is actually owed--it can 
include the required interest notification in the advance billing, but 
interest may not start to accrue before the debt is actually owed. 
Designated officials should exercise care to ensure that the notices 
required by this section are dated and mailed or hand delivered on the 
same day.
    (c) The rate of interest assessed shall be the rate of the current 
value of funds to the United States Treasury (i.e., the Treasury tax and 
loan account rate), as prescribed and published by the Secretary of the 
Treasury in the Federal Register and the Treasury Fiscal Requirements 
Manual Bulletins annually or quarterly, in accordance with 31 U.S.C. 
3717. NASA may assess a higher rate of interest if it reasonably 
determines that a higher rate is necessary to protect the interests of 
the United States. The rate of interest, as initially assessed, shall 
remain fixed for the duration of the indebtedness, except that where a 
debtor has defaulted on a repayment agreement and seeks to enter into a 
new agreement, NASA may set a new interest rate which reflects the 
current value of funds to the Treasury Department at the time the new 
agreement is executed. Interest should not be assessed on interest, 
penalties, or administrative costs required by this section. However, if 
the debtor defaults on a previous repayment agreement, charges which 
accrued but were not collected under the defaulted agreement shall be 
added to the principal to be paid under a new repayment agreement.
    (d) NASA shall assess against a debtor charges to cover 
administrative costs incurred as a result of a delinquent debt--that is, 
the additional costs incurred in processing and handling the debt 
because it became delinquent as defined in Sec.  1261.401(b). 
Calculations of administrative costs should be based upon actual costs 
incurred or upon cost analyses establishing an average of actual 
additional costs incurred by the agency in processing and handling 
claims against other debtors in similar stages of delinquency. 
Administrative costs may include costs incurred in obtaining a credit 
report or in using a private debt collector, to the extent they are 
attributable to delinquency.
    (e) NASA shall assess a penalty charge, not to exceed 6 percent a 
year, on any portion of a debt that is delinquent as defined in Sec.  
1261.401(b) for more than 90 days. This charge need not be calculated 
until the 91st day of delinquency, but shall accrue from the date that 
the debt became delinquent.
    (f) When a debt is paid in partial or installment payments, amounts 
received by the agency shall be applied first to outstanding penalty and 
administrative cost charges, second to accrued interest, and third to 
outstanding principal.
    (g) NASA must waive the collection of interest on the debt or any 
portion of the debt which is paid within 30 days after the date on which 
interest began to accrue. NASA may extend this 30-day period, on a case-
by-case basis, if it reasonably determines that such action

[[Page 235]]

is appropriate. Also, NASA may waive, in whole or in part, the 
collection of interest, penalties, and/or administrative costs (assessed 
under this section) under the criteria specified in Sec.  1261.414 
relating to the compromise of claims (without regard to the amount of 
the debt), or if NASA determines that collection of these charges would 
be against equity and good conscience or not in the best interests of 
the United States. See 4 CFR 101.13(g). Such optional waivers should be 
handled on a case-by-case basis, in consultation with officials 
designated under Sec.  1261.403. Examples of situations in which NASA 
may consider waiving interest and other related charges are:
    (1) Pending consideration of a request for reconsideration or 
administrative review;
    (2) Acceptance of an installment plan or other compromise agreement, 
where there is no indication of lack of good faith on the part of the 
debtor in not repaying the debt, and the debtor has provided 
substantiating information of inability to pay or other unavoidable 
hardship which reasonably prevented the debt from being repaid.
    (h) Where a mandatory waiver or review statute applies, interest and 
related charges may not be assessed for those periods during which 
collection action must be suspended under Sec.  1261.416(c)(3).
    (i) Exemptions. (1) The provisions of 31 U.S.C. 3717 do not apply:
    (i) To debts owed by any State or local government;
    (ii) To debts arising under contracts which were executed prior to, 
and were in effect on (i.e., were not completed as of) October 25, 1982;
    (iii) To debts where an applicable statute, regulation required by 
statute, loan agreement, or contract either prohibits such charges or 
explicitly fixes the charges that apply to the debts involved; or
    (iv) To debts arising under the Social Security Act, the Internal 
Revenue Code, or the tariff laws of the United States.
    (2) NASA may, however, assess interest and related charges on debts 
which are not subject to 31 U.S.C. 3717 to the extent authorized under 
the common law or applicable statutory authority.
[45 FR 48104, July 18, 1980, as amended at 82 FR 29385, June 29, 2017]



Sec.  1261.413  Analysis of costs; automation; prevention of 
overpayments, delinquencies, or defaults.

    The Office of the NASA Chief Financial Officer will:
    (a) Issue internal procedures to provide for periodic comparison of 
costs incurred and amounts collected. Data on costs and corresponding 
recovery rates for debts of different types and in various dollar ranges 
should be used to compare the cost effectiveness of alternative 
collection techniques, establish guidelines with respect to points at 
which costs of further collection efforts are likely to exceed 
recoveries, and assist in evaluating offers in compromise.
    (b) Consider the need, feasibility, and cost effectiveness of 
automated debt collection operation.
    (c) Establish internal controls to identify causes, if any, of 
overpayments, delinquencies, and defaults, and establish procedures for 
corrective actions as needs dictate.
[45 FR 48104, July 18, 1980, as amended at 82 FR 29385, June 29, 2017]



Sec.  1261.414  Compromise of claims.

    (a) Designated NASA officials (see Sec. Sec.  1261.402 and 1261.403) 
may compromise claims for money or property arising out of the 
activities of the Agency where the claim, exclusive of interest, 
penalties, and administrative costs, does not exceed $100,000, prior to 
the referral of such claims to the Government Accountability Office, or 
to the Department of Justice for litigation. The Comptroller General may 
exercise such compromise authority with respect to claims referred to 
the Government Accountability Office prior to their further referral for 
litigation. Only the Comptroller General may effect the compromise of a 
claim that arises out of an exception made by the Government 
Accountability Office in the account of an accountable officer, 
including a claim against the payee, prior to its referral by the 
Government Accountability Office for litigation.

[[Page 236]]

    (b) When the claim, exclusive of interest, penalties, and 
administrative costs, exceeds $100,000, the authority to accept the 
compromise rests solely with the Department of Justice. NASA should 
evaluate the offer, using the factors set forth in paragraphs (c) 
through (f) of this section, and may recommend compromise for reasons 
under one, or more than one, of those paragraphs. If NASA then wishes to 
accept the compromise, it must refer the matter to the Department of 
Justice, using the Claims Collection Litigation Report. See Sec.  
1261.417(e) or 31 CFR 904.2(c). Claims for which the gross amount is 
over $200,000 shall be referred to the Commercial Litigation Branch, 
Civil Division, Department of Justice, Washington, DC 20530. Claims for 
which the gross original amount is $200,000 or less shall be referred to 
the United States Attorney in whose judicial district the debtor can be 
found. The referral should specify the reasons for the Agency's 
recommendation. If NASA has a debtor's firm written offer of compromise 
which is substantial in amount and the Agency is uncertain as to whether 
the offer should be accepted, it may refer the offer, the supporting 
data, and particulars concerning the claim to the Government 
Accountability Office or to the Department of Justice. The Government 
Accountability Office or the Department of Justice may act upon such an 
offer or return it to the agency with instructions or advice. If NASA 
wishes to reject the compromise, Government Accountability Office or 
Department of Justice approval is not required.
    (c) A claim may be compromised pursuant to this section if NASA 
cannot collect the full amount because of the debtor's inability to pay 
the full amount within a reasonable time, or the refusal of the debtor 
to pay the claim in full and the Government's inability to enforce 
collection in full within a reasonable time by enforced collection 
proceedings. In determining the debtor's inability or refusal to pay, 
the following factors, among others, may be considered:
    (1) Age and health of the debtor;
    (2) Present and potential income;
    (3) Inheritance prospects;
    (4) The possibility that assets have been concealed or improperly 
transferred by the debtor;
    (5) The availability of assets or income which may be realized by 
enforced collection proceedings; and
    (6) The applicable exemptions available to the debtor under State 
and Federal law in determining the Government's ability to enforce 
collection. Uncertainty as to the price which collateral or other 
property will bring at forced sale may properly be considered in 
determining the Government's ability to enforce collection. The 
compromise should be for an amount which bears a reasonable relation to 
the amount which can be recovered by enforced collection procedures, 
having regard for the exemptions available to the debtor and the time 
which collection will take.
    (d) A claim may be compromised if there is a real doubt concerning 
the Government's ability to prove its case in court for the full amount 
claimed, either because of the legal issues involved or a bona fide 
dispute as to the facts. The amount accepted in compromise in such cases 
should fairly reflect the probability of prevailing on the legal 
question involved, the probabilities with respect to full or partial 
recovery of a judgment, paying due regard to the availability of 
witnesses and other evidentiary support for the Government claim, and 
related pragmatic considerations. In determining the litigative risks 
involved, proportionate weight should be given to the probable amount of 
court costs and attorney fees pursuant to the Equal Access to Justice 
Act which may be assessed against the Government if it is unsuccessful 
in litigation. See 28 U.S.C. 2412.
    (e) A claim may be compromised if the cost of collecting the claim 
does not justify the enforced collection of the full amount. The amount 
accepted in compromise in such cases may reflect an appropriate discount 
for the administrative and litigative costs of collection, paying heed 
to the time which it will take to effect collection. Costs of collecting 
may be a substantial factor in the settlement of small claims, but 
normally will not carry great weight in the settlement of large

[[Page 237]]

claims. In determining whether the cost of collecting justifies enforced 
collection of the full amount, it is legitimate to consider the positive 
effect that enforced collection of some claims may have on the 
collection of other claims. Since debtors are more likely to pay when 
first requested to do so if an agency has a policy of vigorous 
collection of all claims, the fact that the cost of collection of any 
one claim may exceed the amount of the claim does not necessarily mean 
that the claim should be compromised. The practical benefits of vigorous 
collection of a small claim may include a demonstration to other debtors 
that resistance to payment is not likely to succeed.
    (f) Enforcement policy. Statutory penalties, forfeitures, or debts 
established as an aid to enforcement and to compel compliance may be 
compromised pursuant to this part if the agency's enforcement policy in 
terms of deterrence and securing compliance, both present and future, 
will be adequately served by acceptance of the sum to be agreed upon. 
Mere accidental or technical violations may be dealt with less severely 
than willful and substantial violations.
    (g) Compromises payable in installments are to be discouraged. 
However, if payment of a compromise by installments is necessary, a 
legally enforceable agreement for the reinstatement of the prior 
indebtedness less sums paid thereon and acceleration of the balance due 
upon default in the payment of any installment should be obtained, 
together with security in the manner set forth in Sec.  1261.411, in 
every case in which this is possible.
    (h) If the agency's files do not contain reasonably up-to-date 
credit information as a basis for assessing a compromise proposal, such 
information may be obtained from the individual debtor by obtaining a 
statement executed under penalty of perjury showing the debtor's assets 
and liabilities, income, and expenses. Forms such as Department of 
Justice Form OBD-500 or OBD-500B may be used for this purpose. Similar 
data may be obtained from corporate debtors using a form such as 
Department of Justice Form OBD-500C or by resort to balance sheets and 
such additional data as seems required. Samples of the Department of 
Justice forms are available from the Office of the NASA General Counsel. 
Neither a percentage of a debtor's profits nor stock in a debtor 
corporation will be accepted in compromise of a claim. In negotiating a 
compromise with a business concern, consideration should be given to 
requiring a waiver of the tax-loss-carry-back rights of the debtor.
    (i) Joint and several liability. When two or more debtors are 
jointly and severally liable, collection action will not be withheld 
against one such debtor until the other or others pay their 
proportionate shares. NASA will not attempt to allocate the burden of 
paying such claims as between the debtors but will proceed to liquidate 
the indebtedness as quickly as possible. Care should be taken that a 
compromise agreement with one such debtor does not release the agency's 
claim against the remaining debtors. The amount of a compromise with one 
such debtor shall not be considered a precedent or as morally binding in 
determining the amount which will be required from other debtors jointly 
and severally liable on the claim.

[45 FR 48104, July 18, 1980, as amended at 82 FR 29385, June 29, 2017]



Sec.  1261.415  Execution of releases.

    Upon receipt of full payment of a claim, or the amount in compromise 
of a claim as determined pursuant to Sec.  1261.414, the official 
designated in Sec.  1261.402 will prepare and execute, on behalf of the 
United States, an appropriate release, which shall include the provision 
that it shall be void if procured by fraud, misrepresentation, the 
presentation of a false claim, or mutual mistake of fact.



Sec.  1261.416  Suspending or terminating collection action.

    (a) The standards set forth in this section apply to the suspension 
or termination of collection action pursuant to 31 U.S.C. 3711(a)(3) on 
claims which do not exceed $100,000, exclusive of interest, penalties, 
and administrative costs, after deducting the amount of partial payments 
or collections, if any. NASA may suspend or terminate collection action 
under this part with respect to claims for money or property

[[Page 238]]

arising out of activities of the Agency, prior to the referral of such 
claims to the Government Accountability Office or to the Department of 
Justice for litigation. The Comptroller General (or designee) may 
exercise such authority with respect to claims referred to the 
Government Accountability Office prior to their further referral for 
litigation.
    (b) If, after deducting the amount of partial payments or 
collections, if any, a claim exceeds $100,000, exclusive of interest, 
penalties, and administrative costs, the authority to suspend or 
terminate rests solely with the Department of Justice. If the designated 
official believes suspension or termination may be appropriate, the 
matter should be evaluated using the factors set forth in paragraphs (c) 
and (d) of this section. If the Agency concludes that suspension or 
termination is appropriate, it must refer the matter, with its reasons 
for the recommendation, to the Department of Justice, using the Claims 
Collection Litigation Report. See Sec.  1261.417(e) or 31 CFR 904.2(c). 
If NASA decides not to suspend or terminate collection action on the 
claim, Department of Justice approval is not required; or if it 
determines that its claim is plainly erroneous or clearly without legal 
merit, it may terminate collection action regardless of the amount 
involved, without the need for Department of Justice concurrence.
    (c) Suspension of collection activity--(1) Inability to locate 
debtor. Collection action may be suspended temporarily on a claim when 
the debtor cannot be located after diligent effort and there is reason 
to believe that future collection action may be sufficiently productive 
to justify periodic review and action on the claim, with due 
consideration for the size and amount which may be realized thereon. The 
following sources may be of assistance in locating missing debtors: 
Telephone directories; city directories; postmasters; drivers' license 
records; automobile title and registration records; state and local 
government agencies; the Internal Revenue Service (see 4 CFR 102.18); 
other Federal agencies; employers, relatives, friends; credit agency 
skip locate reports, and credit bureaus. Suspension as to a particular 
debtor should not defer the early liquidation cf security for the debt. 
Every reasonable effort should be made to locate missing debtors 
sufficiently in advance of the bar of the applicable statute of 
limitations, such as 28 U.S.C. 2415, to permit the timely filing of suit 
if such action is warranted. If the missing debtor has signed a confess-
judgment note and is in default, referral of the note for the entry of 
judgment should not be delayed because of the debtor's missing status.
    (2) Financial condition of debtor. Collection action may also be 
suspended temporarily on a claim when the debtor owns no substantial 
equity in realty or personal property and is unable to make payments on 
the Government's claim or effect a compromise at the time, but the 
debtor's future prospects justify retention of the claim for periodic 
review and action, and:
    (i) The applicable statute of limitations has been tolled or started 
running anew; or
    (ii) Future collection can be effected by offset, notwithstanding 
the statute of limitations, with due regard to the 10-year limitation 
prescribed by 31 U.S.C. 3716(c)(1); or
    (iii) The debtor agrees to pay interest on the amount of the debt on 
which collection action will be temporarily suspended, and such 
temporary suspension is likely to enhance the debtor's ability to fully 
pay the principle amount of the debt with interest at a later date.
    (3) Request for waiver or administrative review. If the statute 
under which waiver or administrative review is sought is ``mandatory,'' 
that is, if it prohibits the agency from collecting the debt prior to 
the agency's consideration of the request for waiver or review (see 
Califano v. Yamasaki, 422 U.S. 682 (1979)), then collection action must 
be suspended until either: The agency has considered the request for 
waiver/review; or the applicable time limit for making the waiver/review 
request, as prescribed in a written notice, has expired and the debtor, 
upon notice, has not made such a request. If the applicable waiver/
review statute is ``permissive,'' that is, if it does not require all

[[Page 239]]

requests for waiver/review to be considered, and if it does not prohibit 
collection action pending consideration of a waiver/request (for 
example, 5 U.S.C. 5584), collection action may be suspended pending 
agency action on a waiver/review request based upon appropriate 
consideration, on a case-by-case basis, as to whether:
    (i) There is a reasonable possibility that waiver will be granted or 
that the debt (in whole or in part) will be found not owing from the 
debtor;
    (ii) The Government's interests would be protected, if suspension 
were granted, by reasonable assurance that the debt could be recovered 
if the debtor does not prevail; and
    (iii) Collection of the debt will cause undue hardship on the 
debtor.
    (4) If the applicable statutes and regulations would not authorize 
refund by the agency to the debtor of amounts collected prior to agency 
consideration of the debtor's waiver/review request (in the event the 
agency acts favorably on it), collection action should ordinarily be 
suspended, without regard to the factors specified for permissive 
waivers, unless it appears clear, based on the request and the 
surrounding circumstances, that the request is frivolous and was made 
primarily to delay collection. See 4 CFR 104.2.
    (d) Termination of collection activity. Collection activity may be 
terminated and NASA may close its file on the claim based on the 
following:
    (1) Inability to collect any substantial amount. Collection action 
may be terminated on a claim when it becomes clear that the Government 
cannot collect or enforce collection of any significant sum from the 
debtor, having due regard for the judicial remedies available to the 
Government, the debtor's future financial prospects, and the exemptions 
available to the debtor under State and Federal law. In determining the 
debtor's inability to pay, the following factors, among others, may be 
considered: Age and health of the debtor; present and potential income; 
inheritance prospects; the possibility that assets have been concealed 
or improperly transferred by the debtor; the availability of assets or 
income which may be realized by enforced collection proceedings.
    (2) Inability to locate debtor. Collection action may be terminated 
on a claim when the debtor cannot be located, and either:
    (i) There is no security remaining to be liquidated; or
    (ii) The applicable statute of limitations has run and the prospects 
of collecting by offset, notwithstanding the bar of the statute of 
limitations, are too remote to justify retention of the claim.
    (3) Cost will exceed recovery. Collection action may be terminated 
on a claim when it is likely that the cost of further collection action 
will exceed the amount recoverable thereby.
    (4) Claim legally without merit. Collection action should be 
terminated immediately on a claim whenever it is determined that the 
claim is legally without merit.
    (5) Claim cannot be substantiated by evidence. Collection action 
should be terminated when it is determined that the evidence necessary 
to prove the claim cannot be produced or the necessary witnesses are 
unavailable and efforts to reduce voluntary payment are unavailing.
    (e) Transfer of claim. When NASA has doubt as to whether collection 
action should be suspended or terminated on a claim, it may refer the 
claim to the Government Accountability Office for advice. When a 
significant enforcement policy is involved in reducing a statutory 
penalty or forfeiture to judgment, or recovery of a judgment is a 
prerequisite to the imposition of administrative sanctions, such as the 
suspension or revocation of a license or the privilege of participating 
in a Government-sponsored program, NASA may refer such a claim for 
litigation even though termination of collection activity might 
otherwise be given consideration under paragraphs (d)(1) and (2) of this 
section. Claims on which NASA holds a judgment by assignment or 
otherwise will be referred to the Department of Justice for further 
action if renewal of the judgment lien or enforced collection 
proceedings are justified under the criteria discussed in this section.
[45 FR 48104, July 18, 1980, as amended at 82 FR 29386, June 29, 2017]

[[Page 240]]



Sec.  1261.417  Referral to Department of Justice or Government
Accountability Office.

    (a) Prompt referral. Except as provided in paragraphs (b) and (c) of 
this section, claims on which aggressive collection action has been 
taken in accordance with Sec.  1261.406 and which cannot be compromised, 
or on which collection action cannot be suspended or terminated, in 
accordance with Sec. Sec.  1261.414 and 1261.416, shall be promptly 
referred to the Department of Justice for litigation.
    (1) Claims for which the gross original amount is over $200,000 
shall be referred to the Commercial Litigation Branch, Civil Division, 
Department of Justice, Washington, DC 20530.
    (2) Claims for which the gross original amount is $200,000 or less 
shall be referred to the United States Attorney in whose judicial 
district the debtor can be found. Referrals should be made as early as 
possible, consistent with aggressive agency collection action and the 
observance of the regulations contained in this subpart, and in any 
event, well within the period for bringing a timely suit against the 
debtor. Ordinarily, referrals should be made within l year of the 
agency's final determination of the fact and the amount of the debt.
    (3) Minimum amount. NASA is not to refer claims of less than $600, 
exclusive of interest, penalties, and administrative costs, for 
litigation unless:
    (i) Referral is important to a significant enforcement policy; or
    (ii) The debtor not only has the clear ability to pay the claim but 
the Government can effectively enforce payment, having due regard for 
the exemptions available to the debtor under State and Federal law and 
the judicial remedies available to the Government.
    (b) Claims arising from audit exceptions taken by the GAO to 
payments made by agencies must be referred to the GAO for review and 
approval prior to referral to the Department of Justice for litigation, 
unless NASA has been granted an exception by the GAO. Referrals shall 
comply with instructions, including monetary limitations, contained in 
the GAO Policy and Procedures Manual for Guidance to Federal Agencies 
and paragraphs (e) and (f) of this section.
    (c) When the merits of the claim, the amount owed on the claim, or 
the propriety of acceptance of a proposed compromise, suspension, or 
termination are in doubt, the designated official should refer the 
matter to the Government Accountability Office for resolution and 
instructions prior to proceeding with collection action and/or referral 
to the Department of Justice for litigation.
    (d) Once a claim has been referred to the Government Accountability 
Office or to the Department of Justice pursuant to this section, NASA 
shall refrain from having any contact with the debtor about the pending 
claim and shall direct the debtor to the Government Accountability 
Office or to the Department of Justice, as appropriate, when questions 
concerning the claim are raised by the debtor. The Government 
Accountability Office or the Department of Justice, as appropriate, 
shall be immediately notified by NASA of any payments which are received 
from the debtor subsequent to referral of a claim under this section.
    (e) Claims Collection Litigation Report (CCLR). Unless an exception 
has been granted by the Department of Justice in consultation with the 
General Accounting Office, the Claims Collection Litigation Report 
(CCLR), which was officially implemented by NASA, effective March 1, 
1983, shall be used with all referrals of administratively uncollectible 
claims. As required by the CCLR, the following information must be 
included:
    (1) Report of prior collection actions. A checklist or brief summary 
of the actions previously taken to collect or compromise the claim. If 
any of the administrative collection actions have been omitted, the 
reason for their omission must be provided. GAO, the United States 
Attorney, or the Civil Division of the Department of Justice may return 
claims at their option when there is insufficient justification for the 
omission of one or more of the administrative collection actions 
enumerated in this subpart (see 4 CFR part 102).
    (2) Current address of debtor. The current address of the debtor, or 
the name

[[Page 241]]

and address of the agent for a corporation upon whom service may be 
made. Reasonable and appropriate steps will be taken to locate missing 
parties in all cases. Referrals to the Department of Justice for the 
commencement of foreclosure of other proceedings, in which the current 
address of any party is unknown, will be accompanied by a listing of the 
prior known addresses of such party and a statement of the steps taken 
to locate that party.
    (3) Credit data. Reasonably current credit data which indicates that 
there is a reasonable prospect of effecting enforced collection from the 
debtor, having due regard for the exemptions available to the debtor 
under State and Federal law and the judicial remedies available to the 
Government. Such credit data may take the form of:
    (i) A commercial credit report;
    (ii) An agency investigative report showing the debtor's assets, 
liabilities, income, and expenses;
    (iii) The individual debtor's own financial statement executed under 
penalty of perjury reflecting the debtor's assets, liabilities, income, 
and expenses; or
    (iv) An audited balance sheet of a corporate debtor.
    (4) Reasons for credit data omissions. The credit data may be 
omitted if:
    (i) A surety bond is available in an amount sufficient to satisfy 
the claim in full;
    (ii) The forced sale value of the security available for application 
to the Government's claim is sufficient to satisfy the claim in full;
    (iii) NASA wishes to liquidate loan collateral through judicial 
foreclosure but does not desire a deficiency judgment;
    (iv) The debtor is in bankruptcy or receivership;
    (v) The debtor's liability to the Government is fully covered by 
insurance, in which case NASA will furnish such information as it can 
develop concerning the identity and address of the insurer and the type 
and amount of insurance coverage; or
    (vi) The status of the debtor is such that credit data is not 
normally available or cannot reasonably be obtained, for example, a unit 
of State or local government.
    (f) Preservation of evidence. Care will be taken to preserve all 
files, records, and exhibits on claims referred or to be referred to the 
Department of Justice for litigation. Under no circumstances should 
original documents be sent to the Department of Justice or the United 
States Attorney without specific prior approval to do so. Copies of 
relevant documents should be sent whenever necessary.

[45 FR 48104, July 18, 1980, as amended at 82 FR 29386, June 29, 2017]



Sec.  1261.418  Transfer of debts to Treasury for collection.

    Unless subject to an exception identified in 31 CFR 285.12(d), NASA 
shall transfer any debt that is more than 180 days delinquent to the 
Financial Management Service for debt collection services in accordance 
with the procedures described in 31 CFR 285.12.

[82 FR 29386, June 29, 2017]



             Subpart 1261.5_Administrative Offset of Claims

    Source: 52 FR 19487, May 26, 1987, unless otherwise noted.



Sec.  1261.500  Scope of subpart.

    (a) This subpart applies to collection of claims by administrative 
offset under section 5 of the Federal Claims Collection Act of 1966 as 
amended by the Debt Collection Act of 1982 and the Debt Collection 
Improvement Act of 1996 (31 U.S.C. 3716), other statutory authority, or 
the common law; it does not include ``Salary Offset,'' which is governed 
by subpart 1261.6, infra.
    (b) NASA shall refer past due, legally enforceable nontax debts 
which are over 180 days delinquent to the Secretary of the Treasury for 
collection by centralized administrative offset. For purposes of debts 
governed by this provision, NASA adopts and will follow the procedures 
established by the Department of the Treasury in 31 CFR 901.3.
    (c) For claims not subject to mandatory transfer to the Department 
of the Treasury pursuant to paragraph (b), NASA may consider ad hoc non-
centralized administrative offset of claims at its sole discretion. Any 
ad hoc non-

[[Page 242]]

centralized administrative offset of claims will be conducted consistent 
with the requirements of 31 CFR 901.3(c).
    (1) Debts owed by any State or local Government;
    (2) Debts arising under or payments made under the Social Security 
Act, the Internal Revenue Code of 1954, or the tariff laws of the United 
States; or
    (3) Any case in which collection of the type of debt involved by 
administrative offset is explicitly provided for or prohibited by 
another statute. However, unless otherwise provided by contract or law, 
debts or payments which are not subject to administrative offset under 
31 U.S.C. 3716 may be collected by administrative offset under the 
common law or other applicable statutory authority.

[52 FR 19487, May 26, 1987, as amended at 82 FR 29386, June 29, 2017]



Sec.  1261.501  Definition.

    Administrative offset--the term, as defined in 31 U.S.C. 3701(a)(1), 
means ``withholding money payable by the United States Government to, or 
held by the Government for, a person to satisfy a debt the person owes 
the Government.''



Sec.  1261.502  Notification procedures.

    (a) Before collecting any claims through administrative offset, a 
30-day written notice must be sent to the debtor by certified mail, 
return receipt requested. The notice must include:
    (1) The nature and amount of the debt;
    (2) NASA's intention to collect by administrative offset; and
    (3) An explanation of the debtor's rights under 31 U.S.C. 3716(a), 
or other relied upon statutory authority, which must include a statement 
that the debtor has the opportunity, within the 30-day notice period, 
to:
    (i) Inspect and copy records of NASA with respect to the debt;
    (ii) Request a review by NASA of its decision related to the claim; 
and
    (iii) Enter into a written agreement with the designated official 
(see Sec.  1261.402) to repay the amount of the claim. However, sound 
judgment should be exercised in determining whether to accept a 
repayment agreement in lieu of offset. The determination should balance 
the Government's interest in collecting the debt against fairness to the 
debtor. If the debt is delinquent and the debtor has not disputed its 
existence or amount, NASA should accept a repayment agreement in lieu of 
offset only if the debtor is able to establish that offset would result 
in undue financial hardship or would be against equity and good 
conscience.
    (b) NASA may effect administrative offset against a payment to be 
made to a debtor prior to the completion of the procedures required by 
paragraph (a) of this section if:
    (1) Failure to take the offset would substantially prejudice the 
Government's ability to collect the debt; and
    (2) The time before the payment is to be made does not reasonably 
permit the completion of those procedures. Such prior offset must be 
promptly followed by the completion of those procedures. Amounts 
recovered by offset but later found not to be owed to the Government 
shall be promptly refunded.
    (3) In cases where the procedural requirements of paragraph (a) of 
this section had previously been provided to the debtor in connection 
with the same debt under some other statutory or regulatory authority, 
such as pursuant to a notice of audit disallowance or salary offset 
under Sec.  1261.603, the agency is not required to duplicate those 
requirements before taking administrative offset.



Sec.  1261.503  Agency records inspection; hearing or review.

    (a) NASA shall provide the debtor with a reasonable opportunity for 
a live, telephonic, or video-teleconference hearing when:
    (1) An applicable statute authorizes or requires the agency to 
consider waiver of the indebtedness involved, the debtor requests waiver 
of the indebtedness, and the waiver determination turns on an issue of 
credibility or veracity; or
    (2) Unless otherwise required by law, a hearing under this section 
is not required to be a formal evidentiary-type hearing, although 
significant matters

[[Page 243]]

discussed at the hearing should be documented. See 31 CFR 901.3(e)(1). 
Such hearing may be an informal discussion/interview with the debtor, 
face-to-face meeting between debtor and cognizant NASA personnel, or 
written formal submission by the debtor and response by the NASA 
cognizant personnel with an opportunity for oral presentation. The 
hearing will be conducted before or in the presence of an official as 
designated by the NASA General Counsel on a case-by-case basis. The 
hearing is not an adversarial adjudication and need not take the form of 
an evidentiary hearing. However, depending on the particular facts and 
circumstances, the hearing may be analogous to a fact-finding proceeding 
with oral presentations; or an informal meeting with or interview of the 
employee; or formal written submissions, with an opportunity for oral 
presentation, and decision based on the available written record. 
Ordinarily, hearings may consist of informal conferences before the 
hearing official in which the employee and Agency officials will be 
given full opportunity to present evidence, witnesses, and argument. The 
employee may represent himself or herself or be represented by an 
individual of his or her choice at no cost to the United States. The 
hearing official must maintain or provide for a summary record of the 
hearing provided under this subpart. The decision of the reviewing/
hearing official should be communicated in writing (no particular form 
is required) to the affected parties and will constitute the final 
administrative decision of the Agency.
    (b) Paragraph (a) of this section does not require a hearing with 
respect to debt collection systems, as determinations of indebtedness or 
waiver from these rarely involve issues of credibility or veracity since 
NASA has determined that review of the written record is ordinarily an 
adequate means to correct prior mistakes. See 31 CFR 901.3(e)(3).
    (c) In those cases where a live, telephonic, or video-teleconference 
hearing is not required or granted, NASA will nevertheless accord the 
debtor an opportunity to submit any position regarding the matter by 
documentation and/or written presentation--that is, the Agency will make 
its determination on the request for waiver or reconsideration based 
upon a review of the available written record. See 31 CFR 901.3(e)(4). 
In such case, the responsible official or designee shall refer the 
request to the appropriate NASA Office of General Counsel or Chief 
Counsel for review and recommendation.
    (d) A request to inspect and/or copy the debtor's own debt records 
or related files, and/or for a hearing or review accompanied by a 
statement of the basis or grounds for such hearing or review, must be 
submitted within 30 calendar days of the receipt of the written notice 
under Sec.  1261.502(a). A reasonable time to inspect and copy records 
will be provided during official working hours, but not to exceed 5 
business days, unless a verified statement showing good cause requires a 
longer period. Any suspension of collection or other charges during the 
period of the inspection, or hearing or review, shall comply with 
Sec. Sec.  1261.412 and 1261.416. Requests for or consideration of 
compromising the debt must comply with Sec.  1261.414.

[52 FR 19487, May 26, 1987, as amended at 82 FR 29386, June 29, 2017]



Sec.  1261.504  Interagency requests.

    (a) Requests to NASA by other Federal agencies for administrative 
offset should be in writing and forwarded to the Office of the NASA 
Comptroller, NASA Headquarters, Washington, DC 20546.
    (b) Requests by NASA to other Federal agencies holding funds payable 
to the debtor should be in writing and forwarded, certified return 
receipt, as specified by that agency in its regulations; however, if 
such rule is not readily available or identifiable, the request should 
be submitted to that agency's office of legal counsel with a request 
that it be processed in accordance with their internal procedures.
    (c) Requests to and from NASA should be processed within 30 calendar 
days of receipt. If such processing is impractical or not feasible, 
notice to extend the time period for another 30 calendar days should be 
forwarded 10 calendar days prior to the expiration of the first 30-day 
period.

[[Page 244]]

    (d) Requests from or to NASA must be accompanied by a certification 
that the debtor owes the debt (including the amount) and that the 
provisions of (or comparable to) subpart 1261.5 or subpart 1261.6, as 
applicable, have been fully complied with. NASA will cooperate with 
other agencies in effecting collection.



Sec.  1261.505  Multiple debts.

    When collecting multiple debts by administrative offset, NASA will 
apply the recovered amounts to those debts in accordance with the best 
interests of the United States, as determined by the facts and 
circumstances of the particular case, paying special attention to 
applicable statutes of limitations.



Sec.  1261.506  Limitation periods.

    NASA may not initiate administrative offset to collect a debt under 
31 U.S.C. 3716 more than 10 years after the Government's right to 
collect the debt first accrued, unless facts material to the 
Government's right to collect the debt were not known and could not 
reasonably have been known by the official or officials of the 
Government who were charged with the responsibility to discover and 
collect such debts. Determination of when the debt first accrued is to 
be made in accordance with existing law regarding the accrual of debts, 
such as under 28 U.S.C. 2415. See 4 CFR 102.3(b)(3).



Sec.  1261.507  Civil Service Retirement and Disability Fund.

    (a) Unless otherwise prohibited by law, NASA may request that moneys 
which are due and payable to a debtor from the Civil Service Retirement 
and Disability Fund be administratively offset in reasonable amounts in 
order to collect in one full payment or a minimal number of payments 
debts owed to the United States by the debtor. Such requests shall be 
made to the appropriate officials of the Office of Personnel Management 
(OPM) in accordance with the OPM regulations (see 5 CFR 831.1801, et 
seq.).
    (b) When making a request for administrative offset under paragraph 
(a) of this section, NASA shall include a written certification that:
    (1) The debtor owes the United States a debt, including the amount 
of the debt;
    (2) NASA has complied with the applicable statutes, regulations, and 
procedures of the Office of Personnel Management; and
    (3) NASA has complied with the requirements of this subpart 1261.5 
which implements 4 CFR 102.3, including any required hearing or review.
    (c) Once NASA has decided to request administrative offset under 
this section, the request should be made as soon as practical after 
completion of the applicable procedures in order that the Office of 
Personnel Management may identify and ``flag'' the debtor's account in 
anticipation of the time when the debtor requests or becomes eligible to 
receive payments from the Fund. This will satisfy any requirement that 
offset be initiated prior to expiration of the applicable statute of 
limitations. At such time as the debtor makes a claim for payments from 
the Fund, if at least a year has elapsed since the offset request was 
originally made, the debtor should be permitted to offer a satisfactory 
repayment plan in lieu of offset upon establishing that changed 
financial circumstances would render the offset unjust.
    (d) If NASA collects part or all of the debt by other means before 
deductions are made or completed pursuant to paragraph (a) of this 
section, the designated official should act promptly to modify or 
terminate the agency's request to OPM for offset.
    (e) OPM is not required or authorized by 4 CFR 102.4 to review the 
merits of NASA's determination with respect to:
    (1) The amount and validity of the debt;
    (2) Waiver under an applicable statute; or
    (3) Provide or not provide a live, telephonic, or video-
teleconference hearing.

[52 FR 19487, May 26, 1987, as amended at 82 FR 29387, June 29, 2017]



Sec.  1261.508  Offset against a judgment.

    Collection by offset against a judgment obtained by a debtor against 
the United States shall be accomplished in accordance with 31 U.S.C. 
3728.

[[Page 245]]



 Subpart 1261.6_Collection by Offset From Indebted Government Employees

    Source: 52 FR 19487, May 26, 1987, unless otherwise noted.



Sec.  1261.600  Purpose of subpart.

    This subpart implements 5 U.S.C. 5514 in accordance with the OPM 
regulation and establishes the procedural requirements for recovering 
pre-judgment debts from the current pay account of an employee through 
what is commonly called salary offset, including a situation where NASA 
(the current paying agency) is not the employee's creditor agency. 
Salary offset to satisfy a judgment or a court determined debt is 
governed by section 124 of Pub. L. 97-276 (October 2, 1982), 5 U.S.C. 
5514 note.



Sec.  1261.601  Scope of subpart.

    (a) Coverage. This subpart applies to agencies and employees as 
defined in Sec.  1261.602.
    (b) Applicability. This subpart and 5 U.S.C. 5514 apply in 
recovering certain prejudgment debts by administrative offset except 
where the employee consents to the recovery, from the current pay 
account of an employee. Because it is an administrative offset, debt 
collection procedures for salary offset which are not specified in 5 
U.S.C. 5514 and this subpart should be consistent with subpart 1261.5.
    (1) Excluded debts or claims. The procedures contained in this 
subpart do not apply to debts or claims arising under the Internal 
Revenue Code of 1954 as amended (26 U.S.C. 1 et seq.), the Social 
Security Act (42 U.S.C. 301 et seq.), or the tariff laws of the United 
States; or to any case where collection of a debt by salary offset is 
explicitly provided for or prohibited by another statute (e.g., travel 
advances in 5 U.S.C. 5705, employee training expenses in 5 U.S.C. 4108, 
and debts determined by a court as provided in 5 U.S.C. 5514 note).
    (2) Waiver requests and claims to the Government Accountability 
Office. This subpart does not preclude an employee from requesting 
waiver of a salary overpayment under 5 U.S.C. 5584, 10 U.S.C. 2774, or 
32 U.S.C. 716, or in any way questioning the amount or validity of a 
debt by submitting a subsequent claim to the Government Accountability 
Office in accordance with procedures prescribed by the Government 
Accountability Office. Similarly, in the case of other types of debts, 
it does not preclude an employee from requesting waiver, if waiver is 
available under any statutory provision pertaining to the particular 
debt being collected.

[52 FR 19487, May 26, 1987, as amended at 82 FR 29387, June 29, 2017]



Sec.  1261.602  Definitions.

    For purposes of this subpart:
    (a) Agency means:
    (1) An Executive agency as defined in section 105 of title 5, United 
States Code, including U.S. Postal Service and the U.S. Postal Rate 
Commission;
    (2) A military department as defined in section 102 of Title 5, 
United States Code;
    (3) An agency or court in the judicial branch, including a court as 
defined in section 610 of Title 28, United States Code, the District 
Court for the Northern Mariana Islands, and the Judicial Panel on 
Multidistrict Litigation;
    (4) An agency of the legislative branch, including the U.S. Senate 
and the U.S. House of Representatives; and
    (5) Other independent establishments that are entities of the 
Federal Government.
    (b) Creditor agency means the agency to which the debt is owed.
    (c) Debt means an amount owed to the United States from sources 
which include loans insured or guaranteed by the United States and all 
other amounts due the United States from fees, leases, rents, royalties, 
services, sales of real or personal property, overpayments, penalties, 
damages, interest, fines and forfeitures (except those arising under the 
Uniform Code of Military Justice), and all other similar sources.
    (d) Disposable pay means that part of current basic pay, special 
pay, incentive pay, retired pay, retainer pay, or in the case of an 
employee not entitled to basic pay, other authorized pay remaining after 
the deduction of any amount required by law to be withheld. NASA must 
exclude deductions listed in OPM's garnishment regulations at 5

[[Page 246]]

CFR 581.105 (b) through (f) to determine disposable pay subject to 
salary offset.
    (e) Employee means a current employee of an agency, including a 
current member of the Armed Forces or a Reserve of the Armed Forces 
(Reserves).
    (f) Paying agency means the agency employing the individual and 
authorizing the payment of his or her current pay.
    (g) Salary offset means an administrative offset to collect a debt 
under 5 U.S.C. 5514 by deduction(s) at one or more officially 
established pay intervals from the current pay account of an employee 
without his or her consent.
    (h) Waiver means the cancellation, remission, forgiveness, or 
nonrecovery of a debt allegedly owed by an employee to an agency as 
permitted or required by 5 U.S.C. 8346(b), or any other law.



Sec.  1261.603  Procedures for salary offset.

    If NASA determines that a Federal employee is indebted to the United 
States or is notified of such by the head of another agency (or 
delegee), the amount of indebtedness may be collected in monthly 
installments, or regularly established pay intervals, by deduction from 
the affected employee's pay account. The deductions may be made from 
basic pay, special pay, incentive pay, retired pay, retainer pay, or in 
the case of an employee not entitled to basic pay, from other authorized 
pay. The requirements in paragraphs (a) through (h) of this section must 
be met before a deduction is made from the current pay account of an 
employee.
    (a) Written notice. The employee must be sent a minimum of 30 days 
written notice prior to further offset action, which specifies:
    (1) The origin, nature and amount of the indebtedness, and the 
official to contact within the agency (ordinarily, the designated 
financial management official for the particular installation);
    (2) The intention of the agency to initiate collection of the debt 
through salary offset by deductions from the employee's current 
disposable pay, stating the amount, frequency, proposed beginning date, 
and duration of intended deductions (the amount to be deducted for any 
period, without the consent of the employee, may not exceed 15 percent 
of disposable pay);
    (3) An explanation of any interest, penalties, or administrative 
costs included in the amount, and that such assessment must be made 
unless excused in accordance with 14 CFR 1261.412;
    (4) The right for an opportunity (which does not toll the running of 
the 30-day period) to inspect and copy NASA records relating to the debt 
or to request and receive (if reasonable) a copy of such records, 
provided that such opportunity must be exercised on or before the 15th 
day following receipt of the notice and can be conducted only during 
official working hours for a reasonable period of time not to exceed 5 
working days;
    (5) If not previously provided, the opportunity (under terms 
agreeable to NASA) to establish a schedule for the voluntary repayment 
of the debt or to enter into a written agreement to establish a schedule 
for repayment of the debt in lieu of offset. The agreement must be in 
writing, signed by both the employee and the authorized agency official 
(see 14 CFR 1261.402) and documented in NASA's files (see 14 CFR 
1261.407(d));
    (6) An opportunity for a hearing, as provided in paragraph (c) of 
this section, on the agency's determination concerning the existence and 
amount of the debt, and the terms of the repayment schedule (in the case 
of an employee whose repayment schedule is established other than by 
written agreement);
    (7) The hearing request should be addressed to the Office of the 
NASA General Counsel or to the Office of Chief Counsel of the NASA 
installation involved, as appropriate; counsel's name and address will 
be as stated in the notice.
    (8) Any other rights and remedies available to the employee under 
statutes or regulations governing the program for which the collection 
is being made; and
    (9) Unless there are applicable contractual or statutory provisions 
to the contrary, that amounts paid on or deducted for the debt which are 
later

[[Page 247]]

waived or found not owed to the United States will be promptly refunded 
to the employee.
    (b) Exception to entitlement to written notice. NASA is not required 
to comply with paragraph (a) of this section for any adjustment to pay 
arising out of an employee's election of coverage or a change in 
coverage under a Federal benefits program requiring periodic deductions 
from pay, if the amount to be recovered was accumulated over four pay 
periods or less.
    (c) Petition filing; hearing; decision and review. The notice 
described in paragraph (a) of this section should include the following 
provisions, which may be copied and attached to the notice.
    (1) The employee may petition for a hearing, but such petition must 
be in writing and received by NASA on or before the 15th day following 
receipt of the notice, and include a statement of the reasons for such 
hearing. No particular form is required, and a timely, legible letter 
request (with the stated reasons) will suffice; however, the employee 
must sign the petition and include with it, with reasonable specificity, 
all the supporting facts and evidence, including a list of the 
witnesses, if any.
    (2) The petition should be addressed to the Agency counsel 
designated in the notice, but the hearing will be conducted by an 
official not under the supervision or control of the NASA Administrator. 
The Agency Chief Financial Officer is authorized to appoint an 
administrative law judge or other Federal executive branch employee or 
official on a reimbursable or other basis. Notice of the name and 
address of the hearing official will be sent to the employee within 10 
days of receipt of petition.
    (3) The timely filing of the petition will stay the commencement of 
collection; and the final decision on the hearing will be issued at the 
earliest practicable date, but not later than 60 days after the filing 
of the petition requesting the hearing unless the employee requests and 
the hearing official grants a delay in the proceedings.
    (4) Any knowingly false or frivolous statements, representations, or 
evidence may subject the employee to:
    (i) Disciplinary procedures appropriate under Chapter 75 of Title 5, 
United States Code, 5 CFR part 752, or any other applicable statutes or 
regulations;
    (ii) Penalties under the False Claims Act, sections 3729 through 
3731 of Title 31, United States Code, or any other applicable statutory 
authority; or
    (iii) Criminal penalties under sections 286, 287, 1001, and 1002 of 
Title 18, United States Code, or any other applicable statutory 
authority.
    (5) As for the conduct of any live, telephonic, or video 
teleconference hearing, for additional guidance see 14 CFR 1261.503.
    (d) Petition after time expiration. No petition for a hearing is to 
be granted if made after the 15-day period prescribed in paragraph 
(c)(1) of this section, unless the employee can show to the satisfaction 
of the agency official indicated on the notice that the delay was caused 
by circumstances beyond his or her control (for example, proven 
incapacity, illness, or hospitalization), or that the agency did not 
give notice of the time limit and the employee was otherwise unaware of 
such limit.
    (e) Limitation on amount and duration of deductions. Ordinarily, 
debts are to be collected in one lump-sum payment. However, if the 
employee is financially unable to pay in one lump sum or if the amount 
of the debt exceeds 15 percent of disposable pay for an officially 
established pay interval, collection must be made in installments. The 
size of installment deductions must bear a reasonable relationship to 
the size of the debt and the employee's ability to pay (see 14 CFR 
1261.411), but the amount deducted for any period must not exceed 15 
percent of the disposable pay from which the deduction is made (unless 
the employee has agreed in writing to the deduction of a greater 
amount). Deduction must commence with the next full pay interval 
(ordinarily, the next biweekly pay period). Such installment deductions 
must be made over a period not greater than the anticipated period of 
active duty or employment, as the case may be, except as provided in 
paragraph (f) of this section.
    (f) Determining ability to pay. An offset may produce an extreme 
financial

[[Page 248]]

hardship for an employee if it prevents the employee from meeting costs 
necessarily incurred for essential subsistence expenses for food, 
reasonable housing, clothing, transportation, and medical care. In 
determining whether an offset would prevent the employee from meeting 
the essential subsistence expenses, the employee may be required to show 
income from all sources (including spouse and dependents, if 
applicable), list all known assets, explain exceptional expenses, and 
produce any other relevant factors.
    (g) Liquidation from final check; other recovery. If the employee 
retires or resigns from Federal service, or if his or her employment or 
period of active duty ends before collection of the debt is completed, 
the balance may be deducted from the final salary payment and any 
remaining balance from the lump-sum leave, if applicable. If the debt is 
not fully paid by offset from any final payment due the former employee 
as of the date of separation, offset may be made from later payments of 
any kind due the former employee from the United States (as provided in 
14 CFR part 1261 subpart 1261.5, including offset from the Civil Service 
Retirement and Disability Fund under 14 CFR 1261.507).
    (h) Interest, penalties, and administrative costs. Assessment of 
interest, penalties, and administrative costs, on debts being collected 
under this subpart, shall be in accordance with 14 CFR 1261.412 which 
implements 4 CFR 102.13.
[52 FR 19487, May 26, 1987, as amended at 82 FR 29387, June 29, 2017]



Sec.  1261.604  Nonwaiver of rights by involuntary setoff.

    The employee's involuntary payment of all or any portion of the 
debt, being collected under this subpart, must not be construed as a 
waiver of any rights which the employee may have under an existing 
written contract applicable to the specific debt or under any other 
pertinent statutory authority for the collection of claims of the United 
States or the agency.



Sec.  1261.605  Refunds.

    (a) NASA will promptly refund to the employee amounts paid or 
deducted under this subpart when:
    (1) A debt is waived or otherwise found not owing the United States 
(unless expressly prohibited by statute or regulation); or
    (2) The employee's paying agency is directed by an administrative or 
judicial order to refund amounts deducted from his or her current pay.
    (b) Refunds are not to bear any interest unless the law applicable 
to that particular debt specifically requires or permits a stated 
interest amount on refunds.



Sec.  1261.606  Salary offset request by a creditor agency other
than NASA (the current paying agency).

    (a) Format of the request. Upon completion of the procedures 
established by the creditor agency under 5 U.S.C. 5514, the creditor 
agency must:
    (1) Certify, in writing, that the employee owes the debt, the amount 
and basis of the debt, the date on which payment(s) is/are due, the date 
the Government's right to collect the debt first accrued, and that the 
creditor agency's regulations implementing 5 U.S.C. 5514 have been 
approved by OPM;
    (2) If the collection must be made in installments, the creditor 
agency must also advise NASA of the number of installments to be 
collected, the amount of each installment, and the commencing date of 
the first installment, if a date other than the next officially 
established pay period is required; and
    (3) Unless the employee has consented to the salary offset in 
writing or signed a statement acknowledging receipt of the required 
procedures and the writing or statement is attached to the debt claim 
request, the creditor agency must also indicate the action(s) taken 
under 5 U.S.C. 5514(a)(2) and give the date(s) the action(s) was/were 
taken.
    (b) Limitation period. The creditor agency may not initiate offset 
to collect a debt more than 10 years after the Government's right to 
collect the debt first accrued, except as provided in 14 CFR 1261.506, 
which implements 4 CFR 102.3(b)(3).

[[Page 249]]

    (c) Employees who are separating or have separated--(1) Employees 
who are in the process of separating. If the employee is in the process 
of separating, the creditor agency must submit its debt claim to the 
employee's paying agency for collection as provided in 5 CFR 550.1104(1) 
of the OPM regulations (14 CFR 1261.603(f)) for ``liquidation from final 
check.'' NASA must then certify the total amount of its collection and 
notify the creditor agency and the employee as provided in paragraph 
(c)(3) of this section. If NASA is aware that the employee is entitled 
to payments from the Civil Service Retirement and Disability Fund, or 
other similar payments, it should notify the creditor agency and forward 
the copy of the debt claim and certification to the agency responsible 
for making such payments as notice that a debt is outstanding. However, 
the creditor agency, not NASA, must submit a properly certified claim to 
the agency responsible for making such payments before collection can be 
made.
    (2) Employees who have already separated. If the employee is already 
separated and all payments due from NASA have been paid, NASA must 
return the claim to the creditor agency for any further collection, 
indicating the employee's date of separation and the current employment 
and mailing address(es), if known.
    (3) Employee who transfers from NASA to another Federal agency.
    (i) Certification of amount collected. If, after the creditor agency 
has submitted the debt claim to NASA, the employee transfers to another 
Federal agency before the debt is collected in full, NASA must then 
certify the total amount of the collection made on the debt. A copy of 
the certification should be furnished the employee, and another copy 
furnished to the creditor agency along with notice of the employee's 
transfer.
    (ii) Official personnel folder insertion; new paying agency. 
Information on the debt claim must be inserted in the employee's 
official personnel folder along with a copy of the certification of the 
amount which has been collected. Upon receiving the official personnel 
folder, the new paying agency must resume the collection from the 
employee's current pay account and notify the employee and the creditor 
agency of the resumption. It will not be necessary for the creditor 
agency to repeat the due process procedures described by 5 U.S.C. 5514 
of this subpart in order to resume the collection. However, it will be 
the responsibility of the creditor agency to review the debt upon 
receiving NASA's notice of the employee's transfer to make sure the 
collection is resumed by the new paying agency.
    (d) Processing the debt claim upon receipt--(1) Incomplete claim. If 
NASA receives incomplete debt claim information, it must return the 
request with a notice that procedures under 5 U.S.C. 5514 and this 
subpart must be provided and complete debt claim information received 
before action will be taken to collect from the employee's current pay 
account.
    (2) Complete claim. If NASA receives a properly documented debt 
claim, deductions should be scheduled to begin prospectively at the next 
officially established pay interval. A copy of the debt claim request 
must be given to the debtor, along with notice of the date deductions 
will commence if different from that stated on the debt claim request.
    (3) NASA is not required or authorized to review the merits of the 
creditor agency's determination with respect to the amount or validity 
of the debt as stated in the debt claim request.



Sec.  1261.607  Obtaining the services of a hearing official.

    (a) When the debtor does not work for the creditor agency and the 
creditor agency cannot provide a prompt and appropriate hearing before 
an administrative law judge or before a hearing official furnished 
pursuant to another lawful arrangement, the creditor agency may contact 
an agent of the paying agency designated in appendix A of 5 CFR part 581 
to arrange for a hearing official, and the paying agency must then 
cooperate as provided by 4 CFR 102.1 and provide a hearing official.
    (b) When the debtor works for the creditor agency, the creditor 
agency may contact any agent (of another agency) designated in appendix 
A of 5

[[Page 250]]

CFR part 581 to arrange for a hearing official. Agencies must then 
cooperate as required by 4 CFR 102.1 and provide a hearing official.



PART 1262_EQUAL ACCESS TO JUSTICE ACT IN AGENCY PROCEEDINGS
--Table of Contents



                    Subpart 1262.1_General Provisions

Sec.
1262.101 Purpose of these rules.
1262.102 When the Act applies.
1262.103 Proceedings covered.
1262.104 Eligibility of applicants.
1262.105 Standards for awards.
1262.106 Allowable fees and expenses.
1262.107 Rulemaking on maximum rates for attorney fees.
1262.108 Awards against other agencies.
1262.109 Delegations of authority.

           Subpart 1262.2_Information Required From Applicants

1262.201 Contents of application.
1262.202 Net worth exhibit.
1262.203 Documentation of fees and expenses.
1262.204 When an application may be filed.

         Subpart 1262.3_Procedures for Considering Applications

1262.301 Filing and service of documents.
1262.302 Answer to application.
1262.303 Reply.
1262.304 Comments by other parties.
1262.305 Settlement.
1262.306 Further proceedings.
1262.307 Decision.
1262.308 Agency review.
1262.309 Judicial review.
1262.310 Payment of award.

    Authority: 5 U.S.C. 504; 51 U.S.C. 20113(a).

    Source: 51 FR 15311, Apr. 23, 1986, unless otherwise noted.



                    Subpart 1262.1_General Provisions



Sec.  1262.101  Purpose of these rules.

    (a) The pertinent provisions of the Equal Access to Justice Act at 5 
U.S.C. 504 (hereinafter ``the Act'') provide for the award of attorney 
fees and other expenses to eligible individuals and entities who are 
parties to certain administrative proceedings (called ``adversary 
adjudications''). An eligible party may receive an award when it 
prevails, unless it has unreasonably protracted the proceedings, or the 
Agency's position in the proceeding was substantially justified, or 
special circumstances make an award unjust. The rules in this part 
describe the parties eligible for awards and the proceedings that are 
covered. They also explain how to apply for awards, and the procedures 
and standards that the National Aeronautics and Space Administration 
(NASA) will use in determining awards.
    (b) As used in this part:
    (1) Adversary adjudication means:
    (i) An adjudication under 5 U.S.C. 554 in which the position of the 
United States is represented by counsel or otherwise, but excludes an 
adjudication for the purpose of establishing or fixing a rate or for the 
purpose of granting or renewing a license;
    (ii) Any appeal of a decision made pursuant to section 6 of the 
Contract Disputes Act (CDA) of 1978, as amended (41 U.S.C. 605) before 
an agency board of contract appeals as provided in section 8 of the CDA 
(41 U.S.C. 607);
    (iii) Any hearing conducted under Chapter 38 of Title 31 (added by 
section 6104 of the Program Fraud Civil Remedies Act of 1986 (Pub. L. 
99-509, 100 Stat. 1948, Oct. 21, 1986), 31 U.S.C. 3801, et seq., as 
amended); and
    (iv) The Religious Freedom Restoration Act (RFRA) of 1993 (added by 
section 4(b), of RFRA (Pub. L. 103-141, 107 Stat. 1489, Nov. 16, 1993), 
42 U.S.C. 2000bb).
    (2) Adjudicative officer means the deciding official, without regard 
to whether the official is designated an administrative law judge, a 
hearing officer or examiner, or otherwise, who presided at the adversary 
adjudication;
    (3) Position of the agency means, in addition to the position taken 
by the agency in the adversary adjudication, the action or failure to 
act by the agency upon which the adversary adjudication is based;
    (4) Party, as defined in 5 U.S.C. 551(3), includes a person or 
agency named or admitted as a party, or properly seeking and entitled as 
of right to be admitted as a party, in an agency proceeding, and a 
person or agency admitted by an agency as a party for limited purposes, 
and who meets the eligibility requirements of Sec.  1262.104; and

[[Page 251]]

    (5) Agency with a capital A denotes the NASA.
    (c) Determination of Substantially justified. Whether or not the 
position of the agency was substantially justified shall be determined 
on the basis of the administrative record, as a whole, which is made in 
the adversary adjudication for which fees and other expenses are sought.

[51 FR 15311, Apr. 23, 1986, as amended at 60 FR 12668, Mar. 8, 1995]



Sec.  1262.102  When the Act applies.

    The Act applies to any adversary adjudication pending or commenced 
before NASA on or after August 5, 1985. It also applies to any adversary 
adjudication commenced on or after October 1, 1984, and finally disposed 
of before August 5, 1985, provided that an application for fees and 
expenses, as described in subpart 1262.2, had been filed with the Agency 
within 30 days after August 5, 1985, and to any adversary adjudication 
pending on or commenced on or after October 1, 1981, in which an 
application for fees and other expenses was timely filed and was 
dismissed for lack of jurisdiction.



Sec.  1262.103  Proceedings covered.

    (a) The Act applies to the following adversary adjudications 
conducted by the Agency:
    (1) Adjudications under 5 U.S.C. 554 in which the position of NASA 
or any other agency of the United States, or any component of an agency, 
is presented by an attorney or other representative who enters an 
appearance and participates in the proceedings;
    (2) Appeals of decisions made pursuant to section 6 of the Contract 
Disputes Act of 1978 (41 U.S.C. 605) before the Board of Contract 
Appeals (BCA) as provided in Section 8 of that Act (41 U.S.C. 607);
    (3) Any hearing conducted under Chapter 38 of Title 31 (31 U.S.C. 
3801, et seq., as amended); and
    (4) Adjudications under the Religious Freedom Restoration Act of 
1993 (42 U.S.C. 2000bb).
    (b) The Act does not apply to:
    (1) Any proceeding in which this Agency may prescribe a lawful 
present or future rate;
    (2) Proceedings to grant or renew licenses (note, however, that 
proceedings to modify, suspend, or revoke licenses are covered if they 
are otherwise adversary adjudications); and
    (3) Proceedings which are covered by a compromise or settlement 
agreement, unless specifically consented to in such agreement.
    (c) NASA may also designate a proceeding as an adversary 
adjudication for purposes of the Act by so stating in an order 
initiating the proceeding or designating the matter for hearing. The 
Agency's failure to designate a proceeding as an adversary adjudication 
shall not preclude the filling of an application by a party who believes 
the proceeding is covered by the Act; whether the proceeding is covered 
will then be an issue for resolution in proceedings on the application.
    (d) If a proceeding includes both matters covered by the Act and 
matters specifically excluded from coverage, any award made will include 
only fees and expenses related to covered issues.

[60 FR 12668, Mar. 8, 1995]



Sec.  1262.104  Eligibility of applicants.

    (a) To be eligible for an award of attorney fees and other expenses, 
the applicant must be a ``party'' to the adversary adjudication for 
which an award is sought. The applicant must show that it meets all 
conditions of eligibility set out in this subpart and in subpart 1262.2.
    (b) The types of eligible applicants are as follows:
    (1) An individual with a net worth of not more than $2 million;
    (2) Any owner of an unincorporated business who has a net worth of 
not more than $7 million, including both personal and business 
interests, and not more than 500 employees;
    (3) A charitable or other tax-exempt organization described in 
section 501(c)(3) of the Internal Revenue Code (26 U.S.C. 501(c)(3)) 
with not more than 500 employees;
    (4) A cooperative association as defined in section 15(a) of the 
Agricultural Marketing Act (12 U.S.C. 1141j(a)) with not more than 500 
employees; and
    (5) Any other partnership, corporation, association, unit of local 
government, or organization with a net worth

[[Page 252]]

of not more than $7 million and not more than 500 employees.
    (c) For the purpose of eligibility, the net worth and number of 
employees of an applicant shall be determined as of the date the 
proceeding was initiated.
    (d) An applicant who owns an unincorporated business will be 
considered as an ``individual'' rather than as a ``sole owner of an 
unincorporated business'' if the issues on which the applicant prevails 
are related primarily to personal interests rather then to business 
interests.
    (e) The employees of an applicant include all persons who regularly 
perform services for remuneration for the applicant, under the 
applicant's direction and control. Part-time employees shall be included 
on a proportional basis.
    (f) The net worth and number of employees of the applicant and all 
of its affiliates shall be aggregated to determine eligibility. Any 
individual, corporation, or other entity that directly or indirectly 
controls or owns a majority of the voting shares or other interest of 
the applicant, or any corporation or other entity of which the applicant 
directly or indirectly owns or controls a majority of the voting shares 
or other interest, will be considered an affiliate for purposes of this 
part, unless the adjudicative officer determines that such treatment 
would be unjust and contrary to the purposes of the Act in light of the 
actual relationship between the affiliated entities. In addition, the 
adjudicative officer may determine that financial relationships of the 
applicant other than those described in this paragraph constitute 
special circumstances that would make an award unjust.
    (g) An applicant that participates in a proceeding primarily on 
behalf of one or more other persons or entities that would be ineligible 
is not itself eligible for an award.

[51 FR 15311, Apr. 23, 1986, as amended at 60 FR 12668, Mar. 8, 1995]



Sec.  1262.105  Standards for awards.

    (a) A prevailing applicant may receive an award subject to paragraph 
(b) of this section, for fees and expenses incurred in connection with a 
proceeding, or in a significant and discrete substantive portion of the 
proceeding, unless the position of the agency over which the applicant 
has prevailed was substantially justified. No presumption arises that 
the agency's position was not substantially justified simply because the 
agency did not prevail. The burden of proof that an award should not be 
made to an eligible prevailing applicant is on the agency.
    (b) An award, for any portion of the adversary adjudication, will be 
denied if the applicant has unreasonably protracted the proceedings, or 
denied or reduced if special circumstances make the award sought unjust.



Sec.  1262.106  Allowable fees and expenses.

    (a) Awards will be based on rates customarily charged by persons 
engaged in the business of acting as attorneys, agents, and expert 
witnesses, even if the services were made available without charge or at 
a reduced rate to the applicant.
    (b) No award for the fee of an attorney or agent under these rules 
may exceed $75 per hour. No award to compensate an expert witness may 
exceed the highest rate at which this Agency pays expert witnesses, 
which is $20 an hour (5 hours maximum) or maximum daily rate of $100 (3 
days maximum). However, an award may also include the reasonable 
expenses of the attorney, agent, or witness as a separate item, if the 
attorney, agent, or witness ordinarily charges clients separately for 
such expenses.
    (c) In determining the reasonableness of the fee sought for an 
attorney, agent, or expert witness, the adjudicative officer shall 
consider the following:
    (1) If the attorney, agent, or witness is in private practice, his 
or her customary fee for similar service, or, if an employee of the 
applicant, the fully allocated cost of the services;
    (2) The prevailing rate for similar services in the community in 
which the attorney, agent, or witness ordinarily performs services;
    (3) The time actually spent in the representation of the 
application;
    (4) The time reasonably spent in light of the difficulty or 
complexity of the issues in the proceeding; and

[[Page 253]]

    (5) Such other factors as may bear on the value of the services 
provided.
    (d) The reasonable cost of any study, analysis, engineering report, 
test, project, or similar matter prepared on behalf of a party may be 
awarded, to the extent that the charge for the service does not exceed 
the prevailing rate for similar services, and the study or other matter 
was necessary for preparation of the applicant's case.



Sec.  1262.107  Rulemaking on maximum rates for attorney fees.

    (a) If warranted by an increase in the cost of living or by special 
circumstances (such as limited availability of attorneys qualified to 
handle certain types of proceedings), the Agency may adopt regulations 
providing that attorney fees may be awarded at a rate higher then $75 
per hour in some or all of the types of proceedings covered by this 
part. This Agency will conduct any rulemaking proceedings for this 
purpose under the informal rulemaking procedures of the Administrative 
Procedure Act (5 U.S.C. 553).
    (b) Any person may file with the Agency a petition for rulemaking to 
increase the maximum rate for attorney fees. The petition should be 
addressed to the General Counsel, NASA Headquarters, Washington, DC 
20546; should identify the rate the petitioner believes the Agency 
should establish and the types of proceedings in which the rate should 
be used; and should also explain fully the reasons why the higher rate 
is warranted. The Agency will respond to the petition within 60 days 
after it is filed, by initiating a rulemaking proceeding or denying the 
petition, or taking other appropriate action.



Sec.  1262.108  Awards against other agencies.

    If an applicant is entitled to an award because it prevails over 
another agency of the United States that participates in a proceeding 
before NASA, the award or an appropriate portion of the award shall be 
made against that agency, subject to Sec.  1262.105(b), if it had taken 
a position that is not substantially justified.



Sec.  1262.109  Delegations of authority.

    (a) The NASA Administrator hereby delegates authority to the General 
Counsel or designee to take final action on matters pertaining to the 
Act, other than the authority for final fee determination after Agency 
review pursuant to Sec.  1262.308.
    (b) The NASA Administrator may, in particularly specified matters 
under the Act, delegate authority to officials other than those 
designated in paragraph (a) of this section.



           Subpart 1262.2_Information Required From Applicants



Sec.  1262.201  Contents of application.

    (a) An application for an award of fees and expenses under the Act 
shall identify the applicant and the proceeding for which an award is 
sought. The application shall show that the applicant has prevailed and 
identify the position of an agency or agencies in the proceeding that 
the applicant alleges was not substantially justified. Unless the 
applicant is an individual, the application shall also state the number 
of employees of the applicant and describe briefly the type and purpose 
of its organization or business.
    (b) The application shall also include a statement that the 
applicant's net worth does not exceed $2 million (if an individual) or 
$7 million (for all other applicants, including their affiliates). 
However, an applicant may omit this statement if the applicant:
    (1) Attaches a copy of a ruling by the Internal Revenue Service that 
it qualifies as an organization described in section 501(c)(3) of the 
Internal Revenue Code (26 U.S.C. 501(c)(3)), or, in the case of a tax-
exempt organization not required to obtain a ruling from the Internal 
Revenue Service on its exempt status, a statement that describes the 
basis for the applicant's belief that it qualifies under such section; 
or
    (2) States that it is a cooperative association as defined in 
section 15(a) of the Agricultural Marketing Act (12 U.S.C. 1141j(a)).
    (c) The application shall state the amount of fees and expense for 
which an award is sought.

[[Page 254]]

    (d) The application may also include any other matters that the 
applicant wishes this Agency to consider in determining whether and in 
what amount an award should be made.
    (e) The application shall be signed by the applicant or an 
authorized officer or attorney of the applicant. It shall also contain 
or be accompanied by a written verification under oath or under penalty 
of perjury that the information provided in the application is true and 
correct.

[51 FR 15311, Apr. 23, 1986, as amended at 80 FR 42029, July 16, 2015]



Sec.  1262.202  Net worth exhibit.

    (a) Each applicant except a qualified tax-exempt organization or 
cooperative association must provide with its application a detailed 
exhibit showing the net worth of the applicant and any affiliates (as 
defined in Sec.  1262.104(f) when the proceeding was initiated. The 
exhibit may be in any form convenient to the applicant that provides 
full disclosure of the applicant's and its affiliates' assets and 
liabilities and is sufficient to determine whether the applicant 
qualifies under the standards in this part. The adjudicative officer may 
require an applicant to file additional information to determine its 
eligibility for an award.
    (b) Ordinarily, the net worth exhibit will be included in the public 
records of the proceeding. However, an applicant that objects to public 
disclosure of information in any portion of the exhibit and believes 
there are legal grounds for withholding it from disclosure may submit 
that portion of the exhibit directly to the adjudicative officer in a 
sealed envelope labeled ``Confidential Financial Information,'' 
accompanied by a motion to withhold the information from public 
disclosure. The motion shall describe the information sought to be 
withheld and explain, in detail, why it falls within one or more of the 
specific exemptions from mandatory disclosure under the Freedom of 
Information Act, 5 U.S.C. 552(b)(1)-(9), why public disclosure of the 
information would adversely affect the applicant, and why disclosure is 
not required in the public interest. The materials in question shall be 
served on counsel representing the agency against which the applicant 
seeks an award, but need not be served on any other party to the 
proceeding. If the adjudicative officer finds that the information 
should not be withheld from disclosure, it shall be placed in the public 
record of the proceeding. Otherwise, any request to inspect or copy the 
exhibit shall be disposed of in accordance with the Agency's regulations 
under the Freedom of Information Act, at 14 CFR part 1206.

[51 FR 15311, Apr. 23, 1986, as amended at 80 FR 42029, July 16, 2015]



Sec.  1262.203  Documentation of fees and expenses.

    The application shall be accompanied by full documentation of the 
fees and expenses, including the cost of any study, analysis, 
engineering report, test, project, or similar matter for which an award 
is sought. A separate itemized statement, accompanied by an oath of 
affirmation under penalty of perjury (28 U.S.C. 1746), shall be 
submitted for each professional firm or individual whose services are 
covered by the application, showing the hours spent in connection with 
the proceeding by each individual, a description of the specific 
services performed, the rate at which each fee has been computed, any 
expenses for which reimbursement is sought, the total amount paid or 
payable by the applicant or by any other person or entity for the 
services provided. The adjudicative officer may, in addition, require 
the applicant to provide vouchers, receipts, or other substantiation for 
any expenses claimed.



Sec.  1262.204  When an application may be filed.

    (a) An application may be filed whenever the applicant has prevailed 
in the proceeding or in a significant and discrete substantive portion 
of the proceeding, but in no case later than 30 days after the Agency's 
final disposition of the proceeding.
    (b) If review or reconsideration is sought or taken of a decision as 
to which an applicant believes it has prevailed, proceedings for the 
award of fees shall be stayed pending final disposition of the 
underlying controversy.

[[Page 255]]

    (c) For purposes of this rule, final disposition means the latter 
of:
    (1) The date on which the last ``initial decision'', in a bifurcated 
proceeding, or other recommended disposition of the merits (both as to 
liability and amount, if applicable) of the proceeding, by an 
adjudicative officer or intermediate reviewer, becomes administratively 
final;
    (2) The date on which an order is issued disposing of any petitions 
for reconsideration;
    (3) If no petition for reconsideration is filed, the last date on 
which such a petition could have been filed; or
    (4) The date of a final order or any other final resolution of the 
proceeding, such as a settlement or a voluntary dismissal, which is not 
subject to a petition for reconsideration.



         Subpart 1262.3_Procedures for Considering Applications



Sec.  1262.301  Filing and service of documents.

    Any application for an award or other pleading or document related 
to an application shall be filed and served on all parties to the 
proceeding in the same manner as other pleadings in the proceeding, 
except as provided in Sec.  1262.202(b) for confidential financial 
information.



Sec.  1262.302  Answer to application.

    (a) Within 30 calendar days after service of an application, counsel 
representing the agency against which an award is sought may file an 
answer to the application. Unless agency counsel requests an extension 
of time for filing or files a statement of intent to negotiate under 
paragraph (b) of this section, failure to file an answer within the 30-
day period may be treated as a consent to the award requested.
    (b) If agency counsel and the applicant believe that the issues in 
the fee application can be settled, they may jointly file a statement of 
their intent to negotiate a settlement. The filing of this statement 
shall extend the time for filing an answer for an additional 30 calendar 
days, and further extensions may be granted by the adjudicative officer 
upon request by agency counsel and the applicant.
    (c) The answer shall explain in detail any objections to the award 
requested and identify the facts relied on in support of agency 
counsel's position. If the answer is based on any alleged facts not 
already in the record of the proceeding, agency counsel shall include 
with the answer either supporting affidavits or a request for further 
proceedings under Sec.  1262.306.



Sec.  1262.303  Reply.

    Within 15 calendar days after service of an answer, the applicant 
may file a reply. If the reply is based on any alleged facts not already 
in the record of the proceeding, the applicant shall include with the 
reply either supporting affidavits or a request for further proceedings 
under Sec.  1262.306.



Sec.  1262.304  Comments by other parties.

    Any party to a proceeding other than the applicant and agency 
counsel may file comments about an application within 30 calendar days 
after it is served, or about an answer within 15 calendar days after it 
is served. A commenting party may not participate further in proceedings 
on the application unless the adjudicative officer determines that the 
public interest requires such participation in order to permit full 
exploration of matters raised in the comments.



Sec.  1262.305  Settlement.

    The applicant and agency counsel may agree on a proposed settlement 
of the award before final action on the application, either in 
connection with a settlement of the underlying proceeding, or after the 
underlying proceeding has been concluded. If a prevailing party and 
agency counsel agree on a proposed settlement of an award before an 
application has been filed, the application shall be filed with the 
proposed settlement.



Sec.  1262.306  Further proceedings.

    (a) Ordinarily, the determination of an award will be made on the 
basis of the written record. However, on request of either the applicant 
or agency counsel, or on his or her own initiative, the adjudicative 
officer may order further proceedings, such as an informal conference, 
oral argument, additional

[[Page 256]]

written submissions, or, as to issues other than substantial 
justification (such as the applicant's eligibility or substantiation of 
fees and expenses), pertinent discovery or an evidentiary hearing. Such 
further proceedings shall be held only when necessary for full and fair 
resolution of the issues arising from the application, and shall be 
conducted as promptly as possible.
    (b) A request that the adjudicative officer order further 
proceedings under this section shall specifically identify the 
information sought or the disputed issues and shall explain why the 
additional proceedings are necessary to resolve the issues.



Sec.  1262.307  Decision.

    (a) The adjudicative officer shall issue an initial decision on the 
application with 90 calendar days after completion of proceedings on the 
application. The decision shall include written findings and conclusions 
on such of the following as are relevant to the decision:
    (1) The applicant's eligibility and status as a prevailing party;
    (2) Whether the Agency's position was substantially justified;
    (3) Whether the applicant unreasonably protracted the proceedings, 
or whether special circumstances make an award unjust; and
    (4) The amounts, if any, awarded for fees and expenses with an 
explanation of the reasons for any difference between the amount 
requested and the amount awarded. Further, if the applicant has sought 
an award against more than one agency, the decision shall allocate 
responsibility for payment of any award made among the agencies, and 
shall explain the reasons for the allocation made.
    (b) When the Agency appeals the underlying merits of an adversary 
adjudication, no decision on an application for fees and other expenses 
in connection with that adversary adjudication shall be made until a 
final and unreviewable decision is rendered by the court on the appeal 
or until the underlying merits of the case have been finally determined 
pursuant to the appeal.

[51 FR 15311, Apr. 23, 1986, as amended at 60 FR 12669, Mar. 8, 1995]



Sec.  1262.308  Agency review.

    (a) Within 30 calendar days of the receipt of the adjudicative 
officer's initial decision on the fee application, either the applicant 
or agency counsel may seek Agency review of the decision; or, the NASA 
Administrator, upon the recommendation of the General Counsel or other 
designee, may decide to review the decision based on the record. Whether 
to review a decision is solely a matter within the discretion of the 
NASA Administrator. A 15-day notice of such review will be given the 
applicant and agency counsel, and a determination made not later than 45 
days from the date of notice. The Administrator may make a final 
determination concerning the application or remand the application to 
the adjudicative officer for further proceedings.
    (b) If neither the applicant nor agency counsel seek review, and the 
NASA Administrator does not on own initiative take a review, the 
adjudicative officer's initial decision on the fee application shall be 
the final administrative decision of the Agency 45 days after it is 
issued.



Sec.  1262.309  Judicial review.

    Judicial review of final Agency decisions on awards may be sought 
under 5 U.S.C. 504(c)(2), which provides: If a party other than the 
United States is dissatisfied with a determination of fees and other 
expenses made under [this part], that party may, within 30 days after 
the [final administrative] determination is made, appeal the 
determination to the court of the United States having jurisdiction to 
review the merits of the underlying decision of the agency adversary 
adjudication. The court's determination of any appeal heard under this 
[authority] shall be based solely on the factual record made before the 
agency. The court may modify the determination of fees and other 
expenses only if the court finds that the failure to make an award of 
fees and other expenses, or the calculation of the amount of the award, 
was unsupported by the substantial evidence.

[51 FR 15311, Apr. 23, 1986, as amended at 60 FR 12669, Mar. 8, 1995]

[[Page 257]]



Sec.  1262.310  Payment of award.

    (a) An applicant seeking payment of an award shall submit to the 
paying agency a copy of the Agency's final decision granting the award, 
accompanied by a statement that the applicant will not seek review of 
the decision in the United States courts. The submission to NASA should 
be addressed as follows:

Director, Financial Management Division, NASA Headquarters, Washington, 
DC 20546.

    (b) The Agency will pay the amount awarded to the applicant within 
60 days, if feasible, unless judicial review of the award or of the 
underlying decision of the adversary adjudication has been sought by the 
applicant or any other party to the proceeding.



PART 1263_DEMAND FOR INFORMATION OR TESTIMONY SERVED ON AGENCY
EMPLOYEES; PROCEDURES--Table of Contents



Sec.
1263.100 Purpose and scope.
1263.101 Definitions.
1263.102 Procedure when a demand is issued in a legal proceeding 
          involving the United States.
1263.103 Procedure when a demand is issued in a legal proceeding not 
          involving the United States.
1263.104 Production, disclosure, or testimony prohibited unless 
          approved.
1263.105 Considerations in determining whether production or disclosure 
          should be made.
1263.106 Final decision of the General Counsel as to production, 
          disclosure, or appearance.
1263.107 Procedure to be followed when response to a demand is required 
          before the General Counsel or designate has reached a final 
          decision.
1263.108 Procedure in the event of an adverse ruling.
1263.109 Considerations in determining whether these procedures should 
          be waived.
1263.110 Intention to provide guidance.

    Authority: 44 U.S.C. 3102, 51 U.S.C. 20113(a).

    Source: 55 FR 28370, July 11, 1990, unless otherwise noted.



Sec.  1263.100  Purpose and scope.

    (a) This part sets forth procedures to be followed with respect to 
the production or disclosure of official information or records and/or 
the testimony of present or former employees of the National Aeronautics 
and Space Administration relating to any official information acquired 
by any employee of NASA as part of the performance of that employee's 
official duties or by virtue of that employee's official status, where a 
demand for such production, disclosure, or testimony is issued in a 
federal, state, or other legal proceeding.
    (b) This part does not apply to any legal proceeding in which an 
employee is to testify, while in leave status, as to facts or events 
that are in no way related to the official duties of that employee or to 
the functions of the NASA.



Sec.  1263.101  Definitions.

    (a) Agency--As referred to in this regulation, Agency means the 
National Aeronautics and Space Administration.
    (b) Demand--A subpoena, order, or authorized request for official 
information, or for the appearance and testimony of NASA personnel, 
issued as the result of a legal proceeding.
    (c) Employee--Includes all present and former officers and employees 
of the National Aeronautics and Space Administration who are or have 
been appointed by, or subject to the supervision, jurisdiction, or 
control of the Administrator of the agency.
    (d) Legal proceeding--Includes any proceeding before a court of law 
or equity, administrative board or commission, hearing officer, or other 
body conducting a legal or administrative proceeding.
    (e) Legal proceeding involving the United States--Any proceeding 
before a court of law or equity brought on behalf of, or against the 
United States, NASA or NASA employees, and resulting from alleged NASA 
operations.
    (f) Official information--All information of any kind, however 
stored, that is in the custody and control of NASA or was acquired by 
NASA personnel as part of official duties or because of official status 
while such personnel were employed by or on behalf of the NASA.

[[Page 258]]



Sec.  1263.102  Procedure when a demand is issued in a legal proceeding
involving the United States.

    Whenever an employee or former employee of NASA receives a demand 
for production of materials or the disclosure of information, or for 
appearance and testimony as a witness in a legal proceeding in which 
NASA or the United States is a party, the employee shall immediately 
notify in writing the Installation Chief Counsel for Installation 
employees, the General Counsel for Headquarters employees, or the 
Attorney-Adviser to the Inspector General (IG) for IG employees. This 
notice must include copies of all pertinent legal documents and a 
summary of the employee's knowledge concerning the legal proceeding in 
question. When necessary, this information may be reported orally, 
followed by a written confirmation.



Sec.  1263.103  Procedure when a demand is issued in a legal
proceeding not involving the United States.

    Whenever an employee or former employee of the Agency receives a 
demand for production or disclosure of official information in a legal 
proceeding not involving the United States, the employee shall 
immediately notify the General Counsel or designate. In addition, the 
party causing the demand to be issued shall furnish the Office of 
General Counsel a written, detailed statement of the information sought 
and its relevance to the proceeding in connection with which it is 
requested. The General Counsel or designate may waive the requirement 
that a written summary be furnished where he/she deems it unnecessary. 
The election to waive the requirement of a written summary in no way 
constitutes a waiver of any other requirements set forth in this 
section.



Sec.  1263.104  Production, disclosure, or testimony prohibited
unless approved.

    If an employee or former employee receives a demand to produce or 
disclose official information, that employee may not disclose such 
materials or information or testify regarding same without the prior 
approval of the General Counsel or designate.



Sec.  1263.105  Considerations in determining whether production or
disclosure should be made.

    The General Counsel or designate shall direct employees to honor all 
valid demands. In deciding whether a particular demand is valid, the 
General Counsel or designate may consider:
    (a) Whether such disclosure or appearance is appropriate under the 
rules of procedure governing the legal proceeding in which the demand 
arose.
    (b) Whether disclosure is appropriate under the relevant substantive 
law concerning privilege.
    (c) Whether disclosure might improperly reveal trade secrets, or 
commercial or financial information that is confidential or privileged.
    (d) Whether disclosure might reveal classified information.
    (e) Whether disclosure would violate a specific applicable 
constitutional provision, federal statute or regulation, or executive 
order.
    (f) Whether appearance of the requested employee would seriously 
implicate an interest of the Agency such as conservation of employee 
time for conducting official business, avoidance of expending 
appropriated monies for non-federal purposes, or avoidance of involving 
the agency in controversial issues not related to its mission.



Sec.  1263.106  Final decision of the General Counsel as to production,
disclosure, or appearance.

    After consideration of the factors enumerated in Sec.  1263.105 (a) 
through (f), the General Counsel or designate may authorize the 
testimony, disclosure, or production as demanded; limit the subject 
matter or extent of any testimony, disclosure, or production through 
written instruction to the employee; or deny permission for any 
testimony, disclosure, or production. Where appropriate, the General 
Counsel or designate may seek withdrawal of the demand by the 
authorizing party. Any decision of the General Counsel or designate 
shall be final and shall be communicated to the employee and the party 
causing the demand to be issued.

[[Page 259]]



Sec.  1263.107  Procedure to be followed when response to a demand
is required before the General Counsel or designate has reached a 
final decision.

    If a response to a demand is required before the General Counsel or 
designate can render a decision, the employee subpoenaed, or an agency 
attorney or other government attorney designated for that purpose, shall 
appear on behalf of the employee and shall furnish the authority which 
issued the demand a copy of these regulations, and inform the authority 
that the demand has been referred for the prompt consideration of the 
General Counsel, and shall respectfully request the authority to stay 
the demand until the General Counsel or designate has rendered a final 
decision.



Sec.  1263.108  Procedure in the event of an adverse ruling.

    If the court or other authority which caused the demand to be issued 
declines to stay the effect of the demand pending a final decision by 
the General Counsel or designate; or if the General Counsel or designate 
directs that the employee may not comply with the demand, and a court or 
other authority rules that the demand must be complied with irrespective 
of that decision, the employee upon whom the demand has been made, or an 
agency or other governmental attorney, shall respectfully decline to 
comply with the demand and shall cite, ``United States ex rel. Touhy v. 
Ragen, et al., 340 U.S. 462 (1951).''



Sec.  1263.109  Considerations in determining whether these procedures
should be waived.

    The General Counsel or designate may grant permission to deviate 
from the policy or procedure established in these regulations. 
Permission to deviate will be granted when the deviation will not 
interfere with matters of operational necessity and when:
    (a) It is necessary to prevent a miscarriage of justice; or
    (b) The deviation is in the best interests of NASA or the United 
States.



Sec.  1263.110  Intention to provide guidance.

    This part is intended to provide guidance for the internal operation 
of NASA and is not intended to, does not, and may not be relied upon to 
create any right of benefit--substantive or procedural--enforceable at 
law against the United States or NASA.



PART 1264_IMPLEMENTATION OF THE PROGRAM FRAUD CIVIL PENALTIES ACT OF
1986--Table of Contents



Sec.
1264.100 Basis and purpose.
1264.101 Definitions.
1264.102 Basis for civil penalties and assessments.
1264.103 Investigation.
1264.104 Review by the reviewing official.
1264.105 Prerequisites for issuing a complaint.
1264.106 Complaint.
1264.107 Service of complaint.
1264.108 Answer.
1264.109 Default upon failure to file an answer.
1264.110 Referral of complaint and answer to the presiding officer.
1264.111 Notice of hearing.
1264.112 Parties to the hearing.
1264.113 Separation of functions.
1264.114 Ex parte contacts.
1264.115 Disqualification of reviewing official or presiding officer.
1264.116 Rights of parties.
1264.117 Authority of the presiding officer.
1264.118 Prehearing conferences.
1264.119 Disclosure of documents.
1264.120 Discovery.
1264.121 Exchange of witness lists, statements, and exhibits.
1264.122 Subpoena for attendance at hearing.
1264.123 Protective order.
1264.124 Fees.
1264.125 Form, filing, and service of papers.
1264.126 Computation of time.
1264.127 Motions.
1264.128 Sanctions.
1264.129 The hearing and burden of proof.
1264.130 Determining the amount of penalties and assessments.
1264.131 Location of hearing.
1264.132 Witnesses.
1264.133 Evidence.
1264.134 The record.
1264.135 Post-hearing briefs.
1264.136 Initial decision.
1264.137 Reconsideration of initial decision.
1264.138 Appeal to authority head.
1264.139 Stays ordered by the Department of Justice.

[[Page 260]]

1264.140 Stay pending appeal.
1264.141 Judicial review.
1264.142 Collection of civil penalties and assessments.
1264.143 Right to administrative offset.
1264.144 Deposit in Treasury of United States.
1264.145 Compromise or settlement.
1264.146 Limitations.

Appendix A to Part 1264--Notice To Consent to the Chairperson, NASA 
          Board of Contract Appeals (BCA), or Designee, as Presiding 
          Officer

    Authority: 31 U.S.C. 3809, 51 U.S.C. 20113(a).

    Source: 52 FR 39498, Oct. 22, 1987, unless otherwise noted.



Sec.  1264.100  Basis and purpose.

    (a) Basis. This part implements the Program Fraud Civil Remedies Act 
of 1986, Pub. L. 99-509, sections 6101-6104, 100 Stat. 1874 (October 21, 
1986), to be codified at 31 U.S.C. 3801-3812. 31 U.S.C. 3809 of the 
statute requires each authority head to promulgate regulations necessary 
to implement the provisions of the statute.
    (b) Purpose. This part does the following:
    (1) Establishes administrative procedures for imposing civil 
penalties and assessments against persons who make, submit, or present, 
or cause to be made, submitted, or presented, false, fictitious, or 
fraudulent claims or written statements to authorities or to their 
agents; and
    (2) Specifies the hearing and appeal rights of persons subject to 
allegations of liability for such penalties and assessments.



Sec.  1264.101  Definitions.

    (a) ALJ means an Administrative Law Judge in the authority appointed 
pursuant to 5 U.S.C. 3105 or detailed to the authority pursuant to 5 
U.S.C. 3344. For purposes of this part, the ALJ shall be referred to as 
the presiding officer.
    (b) Authority means the National Aeronautics and Space 
Administration (NASA).
    (c) Authority head means the NASA Administrator or Deputy 
Administrator or designee. For purposes of this regulation, the NASA 
General Counsel or Deputy General Counsel is designated legal counsel to 
the Authority head.
    (d) Benefit means, in the context of statement, anything of value, 
including but not limited to any advantage, preference, privilege, 
license, permit, favorable decision, ruling, status, or loan guarantee.
    (e) Claim means any request, demand, or submission--
    (1) Made to the authority for property, services, or money 
(including money representing grants, loans, insurance, or benefits);
    (2) Made to a recipient of property, services, or money from the 
authority or to a party to a contract with the authority--
    (i) For property or services if the United States--
    (A) Provided such property or services;
    (B) Provided any portion of the funds for the purchase of such 
property or services; or
    (C) Will reimburse such recipient or party for the purchase of such 
property or services; or
    (ii) For the payment of money (including money representing grants, 
loans, insurance, or benefits) if the United States--
    (A) Provided any portion of the money requested or demanded; or
    (B) Will reimburse such recipient or party for any portion of the 
money paid on such request or demand; or
    (iii) Made to the authority which has the effect of decreasing an 
obligation to pay or account for property, services, or money.
    (f) Complaint means the administrative complaint served by the 
reviewing official on the defendant under Sec.  1264.106.
    (g) Consent hearing means that the authority and the defendant 
consent, as provided in Sec.  1264.106(c), that the presiding officer be 
the Chairperson of the NASA Board of Contract Appeals (BCA). The 
Chairperson may designate another administrative judge of the NASA BCA 
as presiding officer in a consent hearing.
    (h) Defendant means any person alleged in a complaint under Sec.  
1264.106 to be liable for a civil penalty or assessment under Sec.  
1264.102.
    (i) Government means the United States Government.
    (j) Individual means a natural person.

[[Page 261]]

    (k) Initial decision means the written decision of the ALJ or 
presiding officer required by Sec.  1264.109 or Sec.  1264.136, and 
includes a revised initial decision issued following a remand or a 
motion for reconsideration.
    (l) Investigating official means the NASA Inspector General, or 
designee who is serving in a position for which the rate of basic pay is 
not less than the minimum rate of basic pay for grade GS-16 under the 
General Schedule.
    (m) Knows or has reason to know, means that a person with respect to 
a claim or statement--
    (1) Has actual knowledge that the claim or statement is false, 
fictitious, or fraudulent;
    (2) Acts in deliberate ignorance of the truth or falsity of the 
claim or statement; or
    (3) Acts in reckless disregard of the truth or falsity of the claim 
or statement.
    (n) Makes, wherever it appears, shall include the terms presents, 
submits, and causes to be made, presented, or submitted. As the context 
requires, making or made shall likewise include the corresponding forms 
of such terms.
    (o) Person means any individual, partnership, corporation, 
association, or private organization, and includes the plural of that 
term.
    (p) Presiding officer, except as provided for pursuant to consent 
trial notice, means (if the authority is not subject to the provisions 
of Subchapter II of Chapter 5, Title 5, U.S.C.) an officer or employee 
of the authority who--
    (1) Is selected under Chapter 33 of Title 5 pursuant to the 
competitive examination process applicable to administrative law judges;
    (2) Is appointed by the authority head to conduct hearings under 
this part;
    (3) Is assigned to cases in rotation so far as practicable;
    (4) May not perform duties inconsistent with the duties and 
responsibilities of a presiding officer;
    (5) Is entitled to pay prescribed by the Office of Personnel 
Management independently of ratings and recommendations made by the 
authority and in accordance with Chapter 51 of such Title and Subchapter 
III of Chapter 53 of such Title;
    (6) Is not subject to performance appraisal pursuant to Chapter 43 
of such Title; and
    (7) May be removed, suspended, furloughed, or reduced in grade or 
pay only for good cause established and determined by the Merit Systems 
Protection Board on the record after opportunity for hearing by such 
Board.
    (q) Representative means an attorney who is in good standing of the 
bar of any State, Territory, or possession of the United States, or of 
the District of Columbia, or of the Commonwealth of Puerto Rico.
    (r) Reviewing official means the NASA Associate Administrator for 
Management. For purposes of this regulation, the Associate General 
Counsel (General) or designee is designated legal counsel to the 
Reviewing official.
    (s) Statement means any representation, certification, affirmation, 
document, record, or accounting or bookkeeping entry made--
    (1) With respect to a claim or to obtain the approval or payment of 
a claim (including relating to eligibility to make a claim); or
    (2) With respect to (including relating to eligibility for)--
    (i) A contract with, or a bid or proposal for a contract with; or
    (ii) A grant, loan, or benefit from the authority, or any State, 
political subdivision of a State, or other party, if the United States 
Government provides any portion of the money or property under such 
contract or for such grant, loan, or benefit, or if the Government will 
reimburse such State, political subdivision, or party for any portion of 
the money or property under such contract or for such grant, loan, or 
benefit.

[52 FR 39498, Oct. 22, 1987, as amended at 54 FR 599, Jan. 9, 1989]



Sec.  1264.102  Basis for civil penalties and assessments.

    (a) Claims. (1) Any person who makes a claim that the person knows 
or has reason to know--
    (i) Is false, fictitious, or fraudulent;

[[Page 262]]

    (ii) Includes or is supported by any written statement which asserts 
a material fact which is false, fictitious, or fraudulent;
    (iii) Includes or is supported by any written statement that--
    (A) Omits a material fact;
    (B) Is false, fictitious, or fraudulent as a result of such 
omission; and
    (C) Is a statement in which the person making such statement has a 
duty to include such material fact; or
    (iv) Is for payment for the provision of property or services which 
the person has not provided as claimed--

Shall be subject, in addition to any other remedy that may be prescribed 
by law, to a civil penalty of not more than $11,181 for each such claim.
    (2) Each voucher, invoice, claim form, or other individual request 
or demand for property, services, or money constitutes a separate claim.
    (3) A claim shall be considered made to the authority, recipient, or 
party when such claim is actually made to an agent, fiscal intermediary, 
or other entity, including any State or political subdivision thereof, 
acting for or on behalf of the authority, recipient, or party.
    (4) Each claim for property, services, or money is subject to a 
civil penalty regardless of whether such property, services, or money is 
actually delivered or paid.
    (5) If the Government has made any payment (including transferred 
property or provided services) on a claim, a person subject to a civil 
penalty under paragraph (a)(1) of this section shall also be subject to 
an assessment of not more than twice the amount of such claim or that 
portion thereof that is determined to be in violation. Such assessment 
shall be in lieu of damages sustained by the Government because of such 
claim.
    (b) Statements. (1) Any person who makes a written statement that--
    (i) The person knows or has reason to know--
    (A) Asserts a material fact which is false, fictitious, or 
fraudulent; or
    (B) Is false, fictitious, or fraudulent because it omits a material 
fact that the person making the statement has a duty to include in such 
statement; and
    (ii) Contains or is accompanied by an express certification or 
affirmation of the truthfulness and accuracy of the contents of the 
statement--

Shall be subject, in addition to any other remedy that may be prescribed 
by law, to a civil penalty of not more than $11,181 for each such 
statement.
    (2) Each written representation, certification, or affirmation 
constitutes a separate statement.
    (3) A statement shall be considered made to the authority when such 
statement is actually made to an agent, fiscal intermediary, or other 
entity, including any State or political subdivision thereof, acting for 
or on behalf of the authority.
    (c) No proof of specific intent to defraud is required to establish 
liability under this section.
    (d) In any case in which it is determined that more than one person 
is liable for making a claim or statement under this section, each such 
person may be held liable for a civil penalty under this section.
    (e) In any case in which it is determined that more than one person 
is liable for making a claim under this section on which the Government 
has made payment (including transferred property or provided services), 
an assessment may be imposed against any such person or jointly and 
severally against any combination of such persons.

[52 FR 39498, Oct. 22, 1987, as amended at 54 FR 599, Jan. 9, 1989; 82 
FR 28763, June 26, 2017; 82 FR 48762, Oct. 20, 2017; 83 FR 2046, Jan. 
16, 2018]



Sec.  1264.103  Investigation.

    (a) If an investigating official concludes that a subpoena pursuant 
to the authority conferred by 31 U.S.C. 3804(a) is warranted--
    (1) The subpoena so issued shall notify the person to whom it is 
addressed of the authority under which the subpoena is issued and shall 
identify the records or documents sought;
    (2) The subpoena may designate the person, to act on the 
investigating official's behalf, to receive the documents sought; and
    (3) The person receiving such subpoena shall be required to tender 
to the

[[Page 263]]

investigating official or the person designated to receive the documents 
a certification that the documents sought have been produced, or that 
such documents are not available and the reasons therefor, or that such 
documents, suitably identified, have been withheld based upon the 
assertion of an identified privilege.
    (b) If the investigating official concludes that an action under the 
Program Fraud Civil Remedies Act may be warranted, the investigating 
official shall submit a report containing the findings and conclusions 
of such investigation to the reviewing official.
    (c) Nothing in this section shall preclude or limit the 
investigating official's discretion to refer allegations directly to the 
Department of Justice for suit under the False Claims Act or other civil 
relief, or to defer or postpone a report of referral to the reviewing 
official to avoid interference with a criminal investigation or 
prosecution.
    (d) Nothing in this section modifies any responsibility of the 
investigating official to report violations of criminal law to the 
Attorney General.

[52 FR 39498, Oct. 22, 1987, as amended at 54 FR 599, Jan. 9, 1989]



Sec.  1264.104  Review by the reviewing official.

    (a) If, based on the report of the investigating official under 
Sec.  1264.103(b), the reviewing official determines that there is 
adequate evidence to believe that a person is liable under Sec.  
1264.102 of this part, the reviewing official shall transmit to the 
Attorney General a written notice of the reviewing official's intention 
to issue a complaint under Sec.  1264.106.
    (b) Such notice shall include--
    (1) A statement of the reviewing official's reasons for issuing a 
complaint;
    (2) A statement specifying the evidence that supports the 
allegations of liability;
    (3) A description of the claims or statements upon which the 
allegations of liability are based;
    (4) An estimate of the amount of money or the value of property, 
services, or other benefits requested or demanded in violation of Sec.  
1264.102 of this part;
    (5) A statement of any exculpatory or mitigating circumstances that 
may relate to the claims or statements known by the reviewing official 
or the investigating official; and
    (6) A statement that there is a reasonable prospect of collecting an 
appropriate amount of penalties and assessments. Such a statement may be 
based upon information then known or an absence of any information 
indicating that the person may be unable to pay such an amount.



Sec.  1264.105  Prerequisites for issuing a complaint.

    (a) The reviewing official may issue a complaint under Sec.  
1264.106 only if--
    (1) The Department of Justice approves the issuance of a complaint 
in a written statement described in 31 U.S.C. 3803(b)(1); and
    (2) In the case of allegations of liability under Sec.  1264.102(a) 
with respect to a claim, the reviewing official determines that, with 
respect to such claim or a group of related claims submitted at the same 
time such claim is submitted (as defined in paragraph (b) of this 
section), the amount of money or the value of property or services 
demanded or requested in violation of Sec.  1264.102(a) does not exceed 
$150,000.
    (b) For the purposes of this section, a related group of claims 
submitted at the same time shall include only those claims arising from 
the same transaction (e.g., grant, loan, application, or contract) that 
are submitted simultaneously as part of a single request, demand, or 
submission.
    (c) Nothing in this section shall be construed to limit the 
reviewing official's authority to join in a single complaint against a 
person claims that are unrelated or were not submitted simultaneously, 
regardless of the amount of money or the value of property or services 
demanded or requested.



Sec.  1264.106  Complaint.

    (a) On or after the date the Department of Justice approves the 
issuance of a complaint in accordance with 31 U.S.C. 3803(b)(1), the 
reviewing official may serve a complaint on the defendant, as provided 
in Sec.  1264.107.
    (b) The complaint shall state--

[[Page 264]]

    (1) The allegations of liability against the defendant, including 
the statutory basis for liability, an identification of the claims or 
statements that are the basis for the alleged liability, and the reasons 
why liability allegedly arises from such claims or statements;
    (2) The maximum amount of penalties and assessments for which the 
defendant may be held liable;
    (3) Instructions for filing an answer to request a hearing, 
including a specific statement of the defendant's right to request a 
hearing by filing an answer and to be represented by a representative; 
and
    (4) That failure to file an answer within 30 days of service of the 
complaint will result in the imposition of the maximum amount of 
penalties and assessments without right to appeal as provided in Sec.  
1264.109.
    (c) At the same time the defendant is served with the complaint, he 
or she shall also be served with a--
    (1) Notice to Consent to the Chairperson of the NASA Board of 
Contract Appeals (BCA), or Designee, as presiding officer;
    (2) Copy of this part 1264 of 14 CFR.

[52 FR 39498, Oct. 22, 1987, as amended at 54 FR 599, Jan. 9, 1989]



Sec.  1264.107  Service of complaint.

    (a) Service of a complaint must be made by certified or registered 
mail or by delivery in any manner authorized by Rule 4(d) of the Federal 
Rules of Civil Procedure.
    (b) Proof of service, stating the name and address of the person on 
whom the complaint was served, and the manner and date of service, may 
be made by--
    (1) Affidavit of the individual servicing the complaint by delivery;
    (2) A United States Postal Service return receipt card acknowledging 
receipt; or
    (3) Written acknowledgment of receipt by the defendant or his/her 
representative.

[52 FR 39498, Oct. 22, 1987, as amended at 54 FR 600, Jan. 9, 1989]



Sec.  1264.108  Answer.

    (a) The defendant may request a hearing by filing an answer with the 
reviewing official within 30 days of service of the complaint. An answer 
shall be deemed to be a request for hearing.
    (b) In the answer, the defendant--
    (1) Shall admit or deny each of the allegations of liability made in 
the complaint;
    (2) Shall state any defense on which the defendant intends to rely;
    (3) May state any reasons why the defendant contends that the 
penalties and assessments should be less than the statutory maximum; and
    (4) Shall state the name, address, and telephone number of the 
person authorized by the defendant to act as defendant's representative, 
if any.
    (c) If the defendant is unable to file an answer meeting the 
requirements of paragraph (b) of this section within the time provided, 
the defendant may, before the expiration of 30 days from service of the 
complaint, file with the reviewing official a general answer denying 
liability and requesting a hearing, and a request for an extension of 
time within which to file an answer meeting the requirements of 
paragraph (b) of this section. The reviewing official, as provided in 
Sec.  1264.110, shall file promptly with the presiding officer the 
complaint, the general answer denying liability, and the request for an 
extension of time. For good cause shown, the presiding officer may grant 
the defendant up to 30 additional days within which to file an answer 
meeting the requirements of paragraph (b) of this section.

[52 FR 39498, Oct. 22, 1987, as amended at 54 FR 600, Jan. 9, 1989]



Sec.  1264.109  Default upon failure to file an answer.

    (a) If the defendant does not file an answer within the time 
prescribed in Sec.  1264.108(a), the reviewing official may refer the 
complaint to the presiding officer.
    (b) Upon the referral of the complaint, the presiding officer shall 
promptly serve on defendant, in the manner prescribed in Sec.  1264.107, 
a notice that an initial decision will be issued under this section.
    (c) If the defendant fails to answer, the presiding officer shall 
assume the facts alleged in the complaint to be

[[Page 265]]

true and, if such facts establish liability under Sec.  1264.102, the 
presiding officer shall issue an initial decision imposing the maximum 
amount of penalties and assessments allowed under the statute.
    (d) Except as otherwise provided in this section, by failing to file 
a timely answer, the defendant waives any right to further review of the 
penalties and assessments imposed under paragraph (c) of this section, 
and the initial decision shall become final and binding upon the parties 
30 days after it is issued.
    (e) If, before such an initial decision becomes final, the defendant 
files a motion with the presiding officer seeking to reopen on the 
grounds that extraordinary circumstances prevented the defendant from 
filing an answer, the initial decision shall be stayed pending the 
presiding officer's decision on the motion.
    (f) If, on such motion, the defendant can demonstrate extraordinary 
circumstances excusing the failure to file a timely answer, the 
presiding officer shall withdraw the initial decision under paragraph 
(c) of this section, if such a decision has been issued, and shall grant 
the defendant an opportunity to answer the complaint.
    (g) A decision of the presiding officer denying a defendant's motion 
under paragraph (e) of this section is not subject to reconsideration 
under Sec.  1264.137.
    (h) The defendant may appeal to the authority head the decision 
denying a motion to reopen by filing a notice of appeal with the 
authority head within 15 days after the presiding officer denies the 
motion. The timely filing of a notice of appeal shall stay the initial 
decision until the authority head decides the issue.
    (i) If the defendant files a timely notice of appeal with the 
authority head, the presiding officer shall forward the record of the 
proceeding to the authority head.
    (j) The authority head shall decide expeditiously whether 
extraordinary circumstances excuse the defendant's failure to file a 
timely answer based solely on the record before the presiding officer.
    (k) If the authority head decides that extraordinary circumstances 
excused the defendant's failure to file a timely answer, the authority 
head shall remand the case to the presiding officer with instructions to 
grant the defendant an opportunity to answer.
    (l) If the authority head decides that the defendant's failure to 
file a timely answer is not excused, the authority head shall reinstate 
the initial decision of the presiding officer, which shall become final 
and binding upon the parties 30 days after the authority head issues 
such decision.

[52 FR 39498, Oct. 22, 1987, as amended at 80 FR 42029, July 16, 2015]



Sec.  1264.110  Referral of complaint and answer to the presiding officer.

    Upon receipt of an answer, the reviewing official shall file the 
complaint and answer with the presiding officer, and include the name 
and address of the attorney who will represent the authority before the 
presiding officer.



Sec.  1264.111  Notice of hearing.

    (a) When the presiding officer receives the complaint and answer, 
the presiding officer shall promptly serve a notice of hearing upon the 
defendant in the manner prescribed by Sec.  1264.107. At the same time, 
the presiding officer shall send a copy of such notice to the 
representative of the authority.
    (b) Such notice shall include--
    (1) The tentative time and place, and the nature of the hearing;
    (2) The legal authority and jurisdiction under which the hearing is 
to be held;
    (3) The matters of fact and law asserted;
    (4) A description of the procedures for the conduct of the hearing;
    (5) The name, address, and telephone number of the representative of 
the authority and of the defendant;
    (6) An opportunity for a settlement conference or proposals of 
adjustment through alternative dispute resolutions, if not already 
explored; and
    (7) Such other matters as the presiding officer deems appropriate.

[52 FR 39498, Oct. 22, 1987, as amended at 80 FR 42029, July 16, 2015]

[[Page 266]]



Sec.  1264.112  Parties to the hearing.

    (a) The parties to the hearing shall be the defendant and the 
authority.
    (b) Pursuant to 31 U.S.C. 3730(c)(5), a private plaintiff under the 
False Claims Act, as amended, may participate in these proceedings to 
the extent authorized by the provisions of that Act. (See section 3 of 
the False Claims Amendments Act of 1986, Pub. L. 99-562, October 27, 
1986.)



Sec.  1264.113  Separation of functions.

    (a) The investigating official, the reviewing official, and any 
employee or agent of the authority who takes part in investigating, 
preparing, or presenting a particular case may not, in such case or a 
factually related case--
    (1) Participate in the hearing as the presiding officer;
    (2) Participate or advise in the initial decision or the review of 
the initial decision by the authority head, except as a witness or as 
the authority representative in the administrative or judicial 
proceedings; or
    (3) Make the collection of penalties and assessments under 31 U.S.C. 
3806.
    (b) The presiding officer shall not be responsible to, or subject to 
the supervision or direction of, the investigating official or the 
reviewing official.
    (c) Except as provided in paragraph (a) of this section, the 
representative for the Government must be a member of the legal staff of 
the authority. Nothing in this paragraph is intended to prevent 
assistance to the Government representative by attorneys in the NASA 
organization or other governmental entities.



Sec.  1264.114  Ex parte contacts.

    No party or person (except employees of the presiding officer's 
office) shall communicate in any way with the presiding officer on any 
matter at issue in a case, unless on notice and opportunity for all 
parties to participate. This provision does not prohibit a person or 
party from inquiring about the status of a case or asking routine 
questions concerning administrative functions or procedures.

[54 FR 600, Jan. 9, 1989]



Sec.  1264.115  Disqualification of reviewing official or presiding officer.

    (a) A reviewing official or presiding officer in a particular case 
may disqualify himself or herself at any time.
    (b) A party may file with the presiding officer a motion for 
disqualification of a reviewing official or a presiding officer. Such 
motion shall be accompanied by an affidavit alleging personal bias or 
other reason for disqualification.
    (c) Such motion and affidavit shall be filed promptly upon the 
party's discovery of reasons for disqualification, or such objections 
shall be deemed waived.
    (d) Such affidavit shall state specific facts that support the 
party's belief that personal bias or other reason for disqualification 
exists and the time and circumstances of the party's discovery of such 
facts. It shall be accompanied by a certificate of the representative of 
record that it is made in good faith.
    (e) Upon the filing of such a motion and affidavit, the presiding 
officer shall proceed no further in the case until the matter of 
disqualification is resolved in accordance with paragraph (f) of this 
section.
    (f)(1) If the presiding officer determines that a reviewing official 
is disqualified, the presiding officer shall dismiss the complaint 
without prejudice.
    (2) If the presiding officer disqualifies himself or herself, the 
case shall be reassigned promptly to another presiding officer.
    (3) If the presiding officer denies a motion to disqualify, the 
authority head may determine the matter only as part of his or her 
review of the initial decision upon appeal, if any.



Sec.  1264.116  Rights of parties.

    Except as otherwise limited by this part, all parties may--
    (a) Be accompanied, represented, and advised by a representative;
    (b) Participate in any conference held by the presiding officer;
    (c) Conduct discovery;
    (d) Agree to stipulations of fact or law, which shall be made part 
of the record;

[[Page 267]]

    (e) Present evidence relevant to the issues at the hearing;
    (f) Present and cross-examine witnesses;
    (g) Present oral arguments at the hearing as permitted by the 
presiding officer; and
    (h) Submit written briefs and proposed findings of fact and 
conclusions of law after the hearing.

[52 FR 39498, Oct. 22, 1987, as amended at 80 FR 42029, July 16, 2015]



Sec.  1264.117  Authority of the presiding officer.

    (a) The presiding officer shall conduct a fair and impartial 
hearing, avoid delay, maintain order, and assure that a record of the 
proceeding is made.
    (b) The presiding officer has the authority to--
    (1) Set and change the date, time, and place of the hearing upon 
reasonable notice to the parties;
    (2) Continue or recess the hearing in whole or in part for a 
reasonable period of time;
    (3) Hold conferences to identify or simplify the issues, or to 
consider other matters, including settlement conferences or other 
alternative dispute resolution, that may aid in the fair and expeditious 
disposition of the proceeding;
    (4) Administer oaths and affirmations;
    (5) Issue subpoenas, requiring the attendance of witnesses and the 
production of documents at depositions or at hearings, which the 
presiding officer considers relevant and material;
    (6) Rule on motions and other procedural matters;
    (7) Regulate the scope and timing of discovery;
    (8) Regulate the course of the hearing and the conduct of 
representatives and parties;
    (9) Examine witnesses;
    (10) Receive, rule on, exclude, or limit evidence;
    (11) Upon motion of a party, take official notice of facts;
    (12) Upon motion of a party, decide cases, in whole or in part, by 
summary judgment where there is no genuine issue as to any material 
fact;
    (13) Conduct any conference, argument, or hearing on motions in 
person or by telephone; and
    (14) Exercise such other authority as is necessary to carry out the 
responsibilities of the presiding officer under this part.
    (c) The presiding officer does not have the authority to find 
Federal statutes or regulations invalid.

[52 FR 39498, Oct. 22, 1987, as amended at 54 FR 600, Jan. 9, 1989]



Sec.  1264.118  Prehearing conferences.

    (a) The presiding officer may schedule prehearing conferences as 
appropriate.
    (b) Upon the motion of any party, the presiding officer shall 
schedule at least one prehearing conference at a reasonable time in 
advance of the hearing.
    (c) The presiding officer may use prehearing conferences to discuss 
the following:
    (1) Simplification of the issues;
    (2) The necessity or desirability of amendments to the pleadings, 
including the need for a more definite statement;
    (3) Stipulations and admissions of fact or as to the contents and 
authenticity of documents;
    (4) Whether the parties can agree to submission of the case on a 
stipulated record;
    (5) Whether a party chooses to waive appearance at an oral hearing 
and to submit only documentary evidence (subject to the objections of 
other parties) and written arguments;
    (6) Limitation of the number of witnesses;
    (7) Scheduling dates for the exchange of witness lists and of 
proposed exhibits;
    (8) Discovery;
    (9) The time and place for the hearing; and
    (10) Such other matters, including settlement, as may tend to 
expedite the fair and just disposition of the proceedings.
    (d) The presiding officer may issue an order containing all matters 
agreed upon by the parties or ordered by the presiding officer at a 
prehearing conference.

[52 FR 39498, Oct. 22, 1987, as amended at 54 FR 600, Jan. 9, 1989]

[[Page 268]]



Sec.  1264.119  Disclosure of documents.

    (a) Upon written request to the reviewing official, the defendant 
may review any relevant and material documents, transcripts, records, 
and other materials that relate to the allegations set out in the 
complaint and upon which the findings and conclusions of the 
investigating official under Sec.  1264.103(b) are based unless such 
documents are subject to a privilege under Federal law. Upon payment of 
a reasonable fee for duplication, the defendant may obtain copies of 
such documents.
    (b) Upon written request to the reviewing official, the defendant 
also may obtain a copy of all exculpatory information in the possession 
of the reviewing official or investigating official relating to the 
allegations in the complaint, even if it is contained in a document that 
would otherwise be privileged. If the document would otherwise be 
privileged, only that portion containing exculpatory information must be 
disclosed.
    (c) The notice sent to the Attorney General from the reviewing 
official as described in Sec.  1264.104 is not discoverable under any 
circumstances.
    (d) The defendant may file a motion to compel disclosure of the 
documents subject to the provisions of this section. Such a motion may 
only be filed with the presiding officer following the filing of an 
answer pursuant to Sec.  1264.108.



Sec.  1264.120  Discovery.

    (a) The following types of discovery are authorized:
    (1) Requests for production of documents for inspection and copying;
    (2) Requests for admissions of the authenticity of any relevant 
document or of the truth of any relevant fact;
    (3) Written interrogatories; and
    (4) Depositions.
    (b) For the purpose of this section and Sec. Sec.  1264.121 and 
1264.122, the term documents includes information, documents, reports, 
answers, records, accounts, papers, and other data and documentary 
evidence which the presiding officer considers relevant and material to 
the hearing. Nothing contained herein shall be interpreted to require 
the creation of a document.
    (c) Unless mutually agreed to by the parties, discovery is available 
only as ordered by the presiding officer. The presiding officer shall 
regulate the timing of discovery.
    (d) Motions for discovery. (1) A party seeking discovery may file a 
motion with the presiding officer. Such a motion shall be accompanied by 
a copy of the discovery request or, in the case of depositions, a 
summary of the scope of the proposed deposition.
    (2) Within 10 days of service, a party may file an opposition to the 
motion and/or a motion for protective order as provided in Sec.  
1264.123.
    (3) The presiding officer may grant a motion for discovery only if 
he/she finds that the discovery sought--
    (i) Is necessary for the expeditious, fair, and reasonable 
consideration of the issues;
    (ii) Is not unduly costly or burdensome;
    (iii) Will not unduly delay the proceeding; and
    (iv) Does not seek privileged information.
    (4) The burden of showing that discovery should be allowed is on the 
party seeking discovery.
    (5) The presiding officer may grant discovery subject to a 
protective order under Sec.  1264.123.
    (e) Depositions. (1) If a motion for deposition is granted, the 
presiding officer shall issue a subpoena for the deponent, which may 
require the deponent to produce documents. The subpoena shall specify 
the time and place at which the deposition will be held.
    (2) The party seeking to depose shall serve the subpoena in the 
manner prescribed in Sec.  1264.107.
    (3) The deponent may file with the presiding officer a motion to 
quash the subpoena or a motion for a protective order within 10 days of 
service.
    (4) The party seeking to depose shall provide for the taking of a 
verbatim transcript of the deposition, which it shall make available to 
all other parties for inspection and copying.
    (f) Each party shall bear its own costs of discovery.

[[Page 269]]



Sec.  1264.121  Exchange of witness lists, statements, and exhibits.

    (a) At least 15 days before the hearing or at such other time as may 
be ordered by the presiding officer, the parties shall exchange witness 
lists, copies of prior statements of proposed witnesses, and copies of 
proposed hearing exhibits, including copies of any written statements 
that the party intends to offer in lieu of live testimony in accordance 
with paragraph (b) of Sec.  1264.132. At the time the above documents 
are exchanged, any party that intends to rely on the transcript of 
deposition testimony in lieu of live testimony at the hearing, if 
permitted by the presiding officer, shall provide each party with a copy 
of the specific pages of the transcript it intends to introduce into 
evidence.
    (b) If a party objects, the presiding officer shall not admit into 
evidence the testimony of any witness whose name does not appear on the 
witness list or any exhibit not provided to the opposing party, in 
accordance with paragraph (a) of this section, unless the presiding 
officer finds goods cause for the failure or that there is no prejudice 
to the objecting party.
    (c) Unless another party objects within the time set by the 
presiding officer, documents exchanged in accordance with paragraph (a) 
of this section shall be deemed to be authentic for the purpose of 
admissibility at the hearing.



Sec.  1264.122  Subpoena for attendance at hearing.

    (a) A party wishing the appearance and testimony of any individual 
at the hearing may request that the presiding officer issue a subpoena.
    (b) A subpoena requiring the attendance and testimony of an 
individual may also require the individual to produce documents at the 
hearing.
    (c) A party seeking a subpoena shall file a written request therefor 
not less than 15 days before the date fixed for the hearing unless 
otherwise allowed by the presiding officer for good cause shown. Such 
request shall specify any documents to be produced and shall designate 
the witnesses and describe the address and location thereof with 
sufficient particularity to permit such witnesses to be found.
    (d) The subpoena shall specify the time and place at which the 
witness is to appear and any documents the witness is to produce.
    (e) The party seeking the subpoena shall serve it in the manner 
prescribed in Sec.  1264.107. A subpoena on a party or upon an 
individual under the control of a party may be served by first class 
mail.
    (f) A party or the individual to whom the subpoena is directed may 
file with the presiding officer a motion to quash the subpoena within 10 
days after service or on or before the time specified in the subpoena 
for compliance if it is less than 10 days after service.



Sec.  1264.123  Protective order.

    (a) A party or a prospective witness or deponent may file a motion 
for a protective order with respect to discovery sought by an opposing 
party or with respect to the hearing, seeking to limit the availability 
or disclosure of evidence.
    (b) In issuing a protective order, the presiding officer may make 
any order which justice requires to protect a party or person from 
annoyance, embarrassment, oppression, or undue burden or expense, 
including one or more of the following:
    (1) That the discovery not be had;
    (2) That the discovery may be had only on specified terms and 
conditions, including a designation of the time or place;
    (3) That the discovery may be had only through a method of discovery 
other than that requested;
    (4) That certain matters not be inquired into, or that the scope of 
discovery be limited to certain matters;
    (5) That discovery be conducted with no one present except persons 
designated by the presiding officer;
    (6) That the contents of discovery or evidence be sealed;
    (7) That a deposition after being sealed be opened only by order of 
the presiding officer;
    (8) That a trade secret or other confidential research, development, 
commercial information, or facts pertaining to any criminal 
investigation, proceeding, or other administrative investigation not be 
disclosed or be disclosed only in a designated way; or

[[Page 270]]

    (9) That the parties simultaneously file specified documents or 
information enclosed in sealed envelopes to be opened as directed by the 
presiding officer.



Sec.  1264.124  Fees.

    The party requesting a subpoena shall pay the cost of the fees and 
mileage of any witness subpoenaed in the amounts that would be payable 
to a witness in a proceeding in United States District Court. A check 
for witness fees and mileage shall accompany the subpoena when served, 
except that when a subpoena is issued on behalf of the authority, a 
check for witness fees and mileage need not accompany the subpoena.

[52 FR 39498, Oct. 22, 1987, as amended at 80 FR 42029, July 16, 2015]



Sec.  1264.125  Form, filing, and service of papers.

    (a) Form. (1) Documents filed with the presiding officer shall 
include an original and two copies.
    (2) Every pleading and paper filed in the proceeding shall contain a 
caption setting forth the title of the action, the case number assigned 
by the presiding officer, and a designation of the paper (e.g., motion 
to quash subpoena).
    (3) Every pleading and paper shall be signed by, and shall contain 
the address and telephone number of the party or the person on whose 
behalf the paper was filed, or his or her representative.
    (4) Papers are considered filed when they are mailed. Date of 
mailing may be established by a certificate from the party or its 
representative or by proof that the document was sent by certified or 
registered mail.
    (b) Service. A party filing a document with the presiding officer 
shall, at the time of filing, serve a copy of such document on every 
other party. Service upon any party of any document other than those 
required to be served as prescribed in Sec.  1264.107 shall be made by 
delivering a copy or by placing a copy of the document in the U.S. mail, 
postage prepaid, and addressed to the party's last known address. When a 
party is represented by a representative, service shall be made upon 
such representative.
    (c) Proof of service. A certificate of the individual serving the 
document by personal delivery or by mail, setting forth the manner of 
service, shall be proof of service.

[52 FR 39498, Oct. 22, 1987, as amended at 54 FR 600, Jan. 9, 1989]



Sec.  1264.126  Computation of time.

    (a) In computing any period of time under this part or in an order 
issued thereunder, the time begins with the day following the act, 
event, or default, and includes the last day of the period, unless it is 
a Saturday, Sunday, or legal holiday observed by the Federal government, 
in which event it includes the next business day.
    (b) When the period of time allowed is less than 7 days, 
intermediate Saturdays, Sundays, and legal holidays observed by the 
Federal government shall be excluded from the computation.
    (c) Where a document has been served or issued by placing it in the 
mail, an additional 5 days will be added to the time permitted for any 
response.

[52 FR 39498, Oct. 22, 1987, as amended at 54 FR 600, Jan. 9, 1989]



Sec.  1264.127  Motions.

    (a) Any application to the presiding officer for an order or ruling 
shall be by motion. Motions shall state the relief sought, the authority 
relied upon, and the facts alleged, and shall be filed with the 
presiding officer and served on all other parties.
    (b) Except for motions made during a prehearing conference or at the 
hearing, all motions shall be in writing. The presiding officer may 
require that oral motions be reduced to writing.
    (c) Within 15 days after a written motion is served, or such other 
time as may be fixed by the presiding officer, any party may file a 
response to such motion.
    (d) The presiding officer may not grant a written motion before the 
time for filing responses thereto has expired, except upon consent of 
the parties or following a hearing on the motion, but may overrule or 
deny such motion without awaiting a response.

[[Page 271]]

    (e) The presiding officer shall make a reasonable effort to dispose 
of all outstanding motions prior to the beginning of the hearing.



Sec.  1264.128  Sanctions.

    (a) The presiding officer may sanction a person, including any party 
or representative for--
    (1) Failing to comply with an order, rule, or procedure governing 
the proceeding;
    (2) Failing to prosecute or defend an action; or
    (3) Engaging in other misconduct that interferes with the speedy, 
orderly, or fair conduct of the hearing.
    (b) Any such sanction, including but not limited to those listed in 
paragraphs (c), (d), and (e) of this section, shall reasonably relate to 
the severity and nature of the failure or misconduct.
    (c) When a party fails to comply with an order, including an order 
for taking a deposition, the production of evidence within the party's 
control, or a request for admission, the presiding officer may--
    (1) Draw an inference in favor of the requesting party with regard 
to the information sought;
    (2) In the case of requests for admission, deem each matter of which 
an admission is requested to be admitted;
    (3) Prohibit the party failing to comply with such order from 
introducing evidence concerning, or otherwise relying upon testimony 
relating to, the information sought; and
    (4) Strike any part of the pleadings or other submissions of the 
party failing to comply with such request.
    (d) If a party fails to prosecute or defend an action under this 
part commenced by service of a notice of hearing, the presiding officer 
may dismiss the action or may issue an initial decision imposing 
penalties and assessments.
    (e) The presiding officer may refuse to consider any motion, 
request, response, brief, or other document which is not filed in a 
timely fashion.



Sec.  1264.129  The hearing and burden of proof.

    (a) The presiding officer shall conduct a hearing on the record in 
order to determine whether the defendant is liable for a civil penalty 
or assessment under Sec.  1264.102 and, if so, the appropriate amount of 
any such civil penalty or assessment considering any aggravating or 
mitigating factors.
    (b) The authority shall prove defendant's liability and any 
aggravating factors by a preponderance of the evidence.
    (c) The defendant shall prove any affirmative defenses and any 
mitigating factors by a preponderance of the evidence.
    (d) The hearing shall be open to the public unless otherwise ordered 
by the presiding officer for good cause shown.



Sec.  1264.130  Determining the amount of penalties and assessments.

    (a) In determining an appropriate amount of civil penalties and 
assessments, the presiding officer, and the authority head upon appeal, 
should evaluate any circumstances that mitigate or aggravate the 
violation and should articulate in their opinions the reasons that 
support the penalties and assessments they impose. Because of the 
intangible costs of fraud, the expense of investigating such conduct, 
and the need to deter others who might be similarly tempted, ordinarily 
double damages and a significant civil penalty should be imposed.
    (b) Although not exhaustive, the following factors are among those 
that may influence the presiding officer and the authority head in 
determining the amount of penalties and assessments to impose with 
respect to the misconduct (i.e., the false, fictitious, or fraudulent 
claims or statements) charged in the complaint:
    (1) The number of false, fictitious, or fraudulent claims or 
statements;
    (2) The time period over which such claims or statements were made;
    (3) The degree of the defendant's culpability with respect to the 
misconduct;
    (4) The amount of money or the value of the property, services, or 
benefit falsely claimed;
    (5) The value of the Government's actual loss as a result of the 
misconduct, including foreseeable consequential damages and the costs of 
investigation;

[[Page 272]]

    (6) The relationship of the amount imposed as civil penalties to the 
amount of the Government's loss;
    (7) The potential or actual impact of the misconduct upon national 
defense, public health or safety, or public confidence in the management 
of Government programs and operations, including particularly the impact 
on the intended beneficiaries of such programs;
    (8) Whether the defendant has engaged in a pattern of the same or 
similar misconduct;
    (9) Whether the defendant attempted to conceal the misconduct;
    (10) The degree to which the defendant has involved others in the 
misconduct or in concealing it;
    (11) Where the misconduct of employees or agents is imputed to the 
defendant, the extent to which the defendant's practices fostered or 
attempted to preclude such misconduct;
    (12) Whether the defendant cooperated in or obstructed an 
investigation of the misconduct;
    (13) Whether the defendant assisted in identifying and prosecuting 
other wrongdoers;
    (14) The complexity of the program or transaction, and the degree of 
the defendant's sophistication with respect to it, including the extent 
of the defendant's prior participation in the program or in similar 
transactions;
    (15) Whether the defendant has been found, in any criminal, civil, 
or administrative proceeding to have engaged in similar misconduct or to 
have dealt dishonestly with the Government of the United States or of a 
State, directly or indirectly; and
    (16) The need to deter the defendant and others from engaging in the 
same or similar misconduct.
    (c) Nothing in this section shall be construed to limit the 
presiding officer or the authority head from considering any other 
factors that in any given case may mitigate or aggravate the offense for 
which penalties and assessments are imposed.



Sec.  1264.131  Location of hearing.

    (a) The hearing may be held--
    (1) In any judicial district of the United States in which the 
defendant resides or transacts business;
    (2) In any judicial district of the United States in which the claim 
or statement in issue was made; or
    (3) In such other place as may be agreed upon by the defendant and 
the presiding officer.
    (b) Each party shall have the opportunity to present argument with 
respect to the location of the hearing.
    (c) The hearing shall be held at the place and at the time ordered 
by the presiding officer.



Sec.  1264.132  Witnesses.

    (a) Except as provided in paragraph (b) of this section, testimony 
at the hearing shall be given orally by witnesses under oath or 
affirmation.
    (b) At the discretion of the presiding officer, testimony may be 
admitted in the form of a written statement or deposition. Any such 
written statement must be provided to all other parties along with the 
last known address of such witness, in a manner which allows sufficient 
time for other parties to subpoena such witness for cross-examination at 
the hearing. Prior written statements of witnesses proposed to testify 
at the hearing and deposition transcripts shall be exchanged as provided 
in Sec.  1264.121(a).
    (c) The presiding officer shall exercise reasonable control over the 
mode and order of interrogating witnesses and presenting evidence so as 
to make the interrogation and presentation effective for the 
ascertainment of the truth, avoid needless consumption of time, and 
protect witnesses from harassment or undue embarrassment.
    (d) The presiding officer shall permit the parties to conduct such 
cross-examination as may be required for a full and true disclosure of 
the facts.
    (e) At the discretion of the presiding officer, a witness may be 
cross-examined on matters relevant to the proceeding without regard to 
the scope of his or her direct examination. To the extent permitted by 
the presiding officer, cross-examination on matters outside the scope of 
direct examination shall be conducted in the manner of direct 
examination and may proceed by leading questions only if the witness is 
a hostile witness, an adverse party, or a witness identified with an 
adverse party.

[[Page 273]]

    (f) Upon motion of any party, the presiding officer shall order 
witnesses excluded so that they cannot hear the testimony of other 
witnesses. This rule does not authorize exclusion of--
    (1) A party who is an individual;
    (2) In the case of a party that is not an individual, an officer or 
employee of the party appearing for the entity pro se or designated by 
the party's representative; or
    (3) An individual whose presence is shown by a party to be essential 
to the presentation of its case, including an individual employed by the 
Government engaged in assisting the representative for the Government.

[52 FR 39498, Oct. 22, 1987, as amended at 54 FR 600, Jan. 9, 1989]



Sec.  1264.133  Evidence.

    (a) The presiding officer shall determine the admissibility of 
evidence.
    (b) Except as provided herein, the presiding officer shall not be 
bound by the Federal Rules of Evidence. However, the presiding officer 
may apply the Federal Rules of Evidence where appropriate, e.g., to 
exclude unreliable evidence.
    (c) The presiding officer shall exclude irrelevant and immaterial 
evidence.
    (d) Although relevant, evidence may be excluded if its probative 
value is substantially outweighed by the danger of unfair prejudice, 
confusion of the issues, or by considerations of undue delay or needless 
presentation of cumulative evidence.
    (e) Although relevant, evidence may be excluded if it is privileged 
under Federal law.
    (f) Evidence concerning offers of compromise or settlement shall be 
inadmissible to the extent provided in Rule 408 of the Federal Rules of 
Evidence.
    (g) The presiding officer shall permit the parties to introduce 
rebuttal witnesses and evidence.
    (h) All documents and other evidence offered or taken for the record 
shall be open to examination by all parties, unless otherwise ordered by 
the presiding officer pursuant to Sec.  1264.123.



Sec.  1264.134  The record.

    (a) The hearing will be recorded and transcribed. Transcripts may be 
obtained following the hearing from the presiding officer at a cost not 
to exceed the actual cost of duplication.
    (b) The transcript of testimony, exhibits, and other evidence 
admitted at the hearing, and all papers and requests filed in the 
proceeding constitute the record for the decision by the presiding 
officer and the authority head.
    (c) The record may be inspected and copied (upon payment of a 
reasonable fee) by anyone, unless otherwise ordered by the presiding 
officer pursuant to Sec.  1264.123.



Sec.  1264.135  Post-hearing briefs.

    The presiding officer may require the parties to file post-hearing 
briefs. In any event, upon approval of the presiding officer, any party 
may file a post-hearing brief. The presiding officer shall fix the time 
for filing such briefs, not to exceed 60 days from the date the parties 
receive the transcript of the hearing or, if applicable, the stipulated 
record. Such briefs may be accompanied by proposed findings of fact and 
conclusions of law. The presiding officer may permit the parties to file 
reply briefs, and may grant an extension of the 60-day time period or 
other time for good cause shown.



Sec.  1264.136  Initial decision.

    (a) The presiding officer shall issue an initial decision based 
solely on the record, which shall contain findings of fact, conclusions 
of law, and the amount of any penalties and assessments imposed.
    (b) The findings of fact shall include a finding on each of the 
following issues:
    (1) Whether the claims or statements identified in the complaint, or 
any portions thereof, violate Sec.  1264.102;
    (2) If the person is liable for penalties or assessments, the 
appropriate amount of any such penalties or assessments considering any 
mitigating or aggravating factors found in the case, such as those 
described in Sec.  1264.130.
    (c) The presiding officer shall promptly serve the initial decision 
on all parties within 90 days after the time for submission of post-
hearing briefs and reply briefs (if permitted) has expired or upon 
notification that the record is now closed. The presiding

[[Page 274]]

officer shall at the same time serve all parties with a statement 
describing the right of any defendant determined to be liable for a 
civil penalty or assessment to file a motion for reconsideration with 
the presiding officer or a notice of appeal with the authority head. If 
the presiding officer fails to meet the deadline contained in this 
paragraph, he or she shall notify the parties of the reason for the 
delay and shall set a new deadline.
    (d) Unless the initial decision of the presiding officer is timely 
appealed to the authority head, or a motion for reconsideration of the 
initial decision is timely filed, the initial decision shall constitute 
the final decision of the authority head and shall be final and binding 
on the parties 30 days after it is issued by the presiding officer.

[52 FR 39498, Oct. 22, 1987, as amended at 54 FR 600, Jan. 9, 1989]



Sec.  1264.137  Reconsideration of initial decision.

    (a) Except as provided in paragraph (d) of this section, any party 
may file a motion for reconsideration of the initial decision within 20 
days of receipt of the initial decision. If service was made by mail, 
receipt will be presumed to be 5 days from the date of mailing in the 
absence of contrary proof.
    (b) Every such motion must set forth the matters claimed to have 
been erroneously decided and the nature of the alleged errors. Such 
motion shall be accompanied by a supporting brief.
    (c) Responses to such motions shall be allowed only upon request of 
the presiding officer.
    (d) No party may file a motion for reconsideration of an initial 
decision that has been revised in response to a previous motion for 
reconsideration.
    (e) The presiding officer may dispose of a motion for 
reconsideration by denying it or by issuing a revised initial decision.
    (f) If the presiding officer denies a motion for reconsideration, 
the initial decision shall constitute the final decision of the 
authority head and shall be final and binding on the parties 30 days 
after the presiding officer denies the motion, unless the initial 
decision is timely appealed to the authority head in accordance with 
Sec.  1264.138.
    (g) If the presiding officer issues a revised initial decision, the 
revised decision shall constitute the final decision of the authority 
head and shall be final and binding on the parties 30 days after it is 
issued, unless it is timely appealed to the authority head in accordance 
with Sec.  1264.138.

[52 FR 39498, Oct. 22, 1987, as amended at 54 FR 600, Jan. 9, 1989]



Sec.  1264.138  Appeal to authority head.

    (a) Any defendant who has filed a timely answer and who is 
determined in an initial decision to be liable for a civil penalty or 
assessment may appeal such decision to the authority head by filing a 
notice of appeal with the authority head in accordance with this 
section.
    (b) The time for appeal to the authority head is as follows:
    (1) A notice of appeal may be filed at any time within 30 days after 
the presiding officer issues an initial decision. However, if any other 
party files a motion for a reconsideration under Sec.  1264.137, 
consideration of the appeal shall be stayed automatically pending 
resolution of the motion for reconsideration.
    (2) If a motion for reconsideration is timely filed, a notice of 
appeal must be filed within 30 days after the presiding officer denies 
the motion or issues a revised initial decision, whichever applies.
    (3) If no motion for reconsideration is timely filed, a notice of 
appeal must be filed within 30 days after the presiding officer issues 
the initial decision.
    (4) The authority head may extend the initial 30-day period for an 
additional 30 days if the defendant files with the authority head a 
request for an extension within the initial 30-day period and shows good 
cause.
    (c) If the defendant files a timely notice of appeal with the 
authority head and the time for filing motions for reconsideration under 
Sec.  1264.137 has expired, the presiding officer shall forward the 
record of the proceeding to the authority head.
    (d) A notice of appeal shall be accompanied by a written brief 
specifying exceptions to the initial decision and reasons supporting the 
exceptions.

[[Page 275]]

    (e) The representative for the Government may file a brief in 
opposition to exceptions within 30 days of receiving the notice of 
appeal and accompanying brief.
    (f) There is no right to appear personally before the authority 
head.
    (g) There is no right to appeal any interlocutory ruling by the 
presiding officer.
    (h) In reviewing the initial decision, the authority head shall not 
consider any objection that was not raised before the presiding officer 
unless a demonstration is made of extraordinary circumstances causing 
the failure to raise the objection.
    (i) If any party demonstrates to the satisfaction of the authority 
head that additional evidence not presented at such hearing is material 
and that there were reasonable grounds for the failure to present such 
evidence at such hearing, the authority head shall remand the matter to 
the presiding officer for consideration of such additional evidence.
    (j) The authority head may affirm, reduce, reverse, compromise, 
remand, or settle any penalty or assessment, determined by the presiding 
officer in any initial decision.
    (k) The authority head shall promptly serve each party to the appeal 
with a copy of the decision of the authority head. At the same time the 
authority head shall serve the defendant with a statement describing the 
defendant's right to seek judicial review.
    (l) Unless a petition for review is filed as provided in 31 U.S.C. 
3805, after a defendant has exhausted all administrative remedies under 
this part and within 60 days after the date on which the authority head 
serves the defendant with a copy of the authority head's decision, a 
determination that a defendant is liable under Sec.  1264.102 is final 
and is not subject to judicial review.

[52 FR 39498, Oct. 22, 1987, as amended at 54 FR 600, Jan. 9, 1989]



Sec.  1264.139  Stays ordered by the Department of Justice.

    If at any time the Attorney General or an Assistant Attorney General 
designated by the Attorney General transmits to the authority head a 
written finding that continuation of the administrative process 
described in this part with respect to a claim or statement may 
adversely affect any pending or potential criminal or civil action 
related to such claim or statement, the authority head shall stay the 
process immediately. If the process is before the presiding officer, the 
authority head shall promptly transmit the finding to the presiding 
officer, who, in turn, must stay the proceeding and give notice to all 
parties and their representatives. The authority head may order the 
process resumed only upon receipt of the written authorization of the 
Attorney General.



Sec.  1264.140  Stay pending appeal.

    (a) An initial decision is stayed automatically pending disposition 
of a motion for reconsideration or of an appeal to the authority head.
    (b) No administrative stay is available following a final decision 
of the authority head.



Sec.  1264.141  Judicial review.

    Section 3805 of Title 31, United States Code, authorizes judicial 
review by an appropriate United States District Court of a final 
decision of the authority head imposing penalties or assessments under 
this part and specifies the procedures for such review.



Sec.  1264.142  Collection of civil penalties and assessments.

    Sections 3806 and 3808(b) of Title 31, United States Code, authorize 
actions for collection of civil penalties and assessments imposed under 
this part and specify the procedures for such actions.



Sec.  1264.143  Right to administrative offset.

    The amount of any penalty or assessment which has become final, or 
for which a judgment has been entered under Sec.  1264.141 or Sec.  
1264.142, or any amount agreed upon in a compromise or settlement under 
Sec.  1264.145, may be collected by administrative offset under 31 
U.S.C. 3716, except that an administrative offset may not be made under 
this subsection against a refund of an overpayment of Federal taxes, 
then or later owing by the United States to the defendant.

[[Page 276]]



Sec.  1264.144  Deposit in Treasury of United States.

    All amounts collected pursuant to this part shall be deposited as 
miscellaneous receipts in the Treasury of the United States, except as 
provided in 31 U.S.C. 3806(g).



Sec.  1264.145  Compromise or settlement.

    (a) Parties may make offers of compromise or settlement at any time, 
including proposals for alternative dispute resolution.
    (b) The reviewing official has the exclusive authority to compromise 
or settle a case under this part at any time after the date on which the 
reviewing official is permitted to refer allegations of liability to a 
presiding officer and before the date on which the presiding officer 
issues an initial decision.
    (c) The authority head has exclusive authority to compromise or 
settle a case under this part at any time after the date on which the 
presiding officer issues an initial decision, except during the pendency 
of any judicial review under Sec.  1264.141 or during the pendency of 
any civil action to collect penalties and assessments under Sec.  
1264.142.
    (d) The Attorney General has exclusive authority to compromise or 
settle a case under this part during the pendency of any judicial review 
under 31 U.S.C. 3805 or of any civil action to recover penalties and 
assessments under 31 U.S.C. 3806.
    (e) The investigating official may recommend settlement terms to the 
reviewing official, the authority head, or the Attorney General, as 
appropriate. The reviewing official may recommend settlement terms to 
the authority head, or the Attorney General, as appropriate.
    (f) Any compromise or settlement must be in writing.



Sec.  1264.146  Limitations.

    (a) The notice of hearing with respect to a claim or statement must 
be served in the manner specified in Sec.  1264.107 within 6 years after 
the date on which such claim or statement is made.
    (b) If the defendant fails to file a timely answer, service of a 
notice under Sec.  1264.109(b) shall be deemed a notice of hearing for 
purposes of this section.
    (c) The statute of limitations may be extended by agreement of the 
parties.



Sec. Appendix A to Part 1264--Notice To Consent to the Chairperson, NASA 
   Board of Contract Appeals (BCA), or Designee, as Presiding Officer

    In accordance with the provisions of 14 CFR 1264.106, you are hereby 
notified that the Chairperson, NASA Board of Contract Appeals (BCA), or 
designee, in addition to other duties, upon your consent, may conduct 
any or all proceedings as the presiding officer, pursuant to 14 CFR part 
1264 which implements the Program Fraud Civil Penalties Act of 1986.
    You should be aware that your decision to consent, or not to 
consent, to the referral of this case to the NASA/BCA must be entirely 
voluntary. Only if you and the authority head consent to this reference 
will either the Chairperson or the designee to whom the case may be 
assigned be informed of your decision.
    An appeal from a decision by the presiding officer under this 
consent procedure may be taken in the same manner as an appeal from a 
decision by any other presiding officer, as provided in 14 CFR 
1264.136(d), 1264.137, 1264.138, and 1264.141.
    If you consent, you must sign, date, and return this form within the 
30-day period provided for your answer (see 14 CFR 1264.108, 1264.109).

consent:________________________________________________________________
(Signature of person alleged to be liable)

________________________________________________________________________
(Print name)
________________________________________________________________________
(Date of signature)



PART 1266_CROSS-WAIVER OF LIABILITY--Table of Contents



Sec.
1266.100 Purpose.
1266.101 Scope.
1266.102 Cross-waiver of liability for agreements for activities related 
          to the International Space Station.
1266.103 [Reserved]
1266.104 Cross-waiver of liability for launch agreements for science or 
          space exploration activities unrelated to the International 
          Space Station.

    Authority: 51 U.S.C. 20139 and 51 U.S.C. 20113(a), (e), and (f).

    Source: 73 FR 10148, Feb. 26, 2008, unless otherwise noted.

[[Page 277]]



Sec.  1266.100  Purpose.

    The purpose of this Part is to ensure that consistent cross-waivers 
of liability are included in NASA agreements for activities related to 
the ISS and for NASA's science or space exploration activities unrelated 
to the ISS that involve a launch.



Sec.  1266.101  Scope.

    The provisions at Sec.  1266.102 are intended to implement the 
cross-waiver requirement in Article 16 of the intergovernmental 
agreement entitled, ``Agreement Among the Government of Canada, 
Governments of Member States of the European Space Agency, the 
Government of Japan, the Government of the Russian Federation, and the 
Government of the United States of America concerning Cooperation on the 
Civil International Space Station (IGA).'' Article 16 establishes a 
cross-waiver of liability for use by the Partner States and their 
related entities and requires that this reciprocal waiver of claims be 
extended to contractually or otherwise-related entities of NASA by 
requiring those entities to make similar waivers of liability. Thus, 
NASA is required to include IGA-based cross-waivers in agreements for 
ISS activities that fall within the scope of ``Protected Space 
Operations,'' as defined in Sec.  1266.102. The provisions of Sec.  
1266.102 provide the regulatory basis for cross-waiver clauses to be 
incorporated into NASA agreements for activities that implement the IGA 
and the memoranda of understanding between the United States and its 
respective international partners. The provisions of Sec.  1266.104 
provide the regulatory basis for cross-waiver clauses to be incorporated 
into NASA launch agreements for science or space exploration activities 
unrelated to the ISS.



Sec.  1266.102  Cross-waiver of liability for agreements for activities
related to the International Space Station.

    (a) The objective of this section is to implement NASA's 
responsibility to flow down the cross-waiver of liability in Article 16 
of the IGA to its related entities in the interest of encouraging 
participation in the exploration, exploitation, and use of outer space 
through the International Space Station (ISS). The IGA declares the 
Partner States' intention that the cross-waiver of liability be broadly 
construed to achieve this objective.
    (b) For the purposes of this section:
    (1) The term ``Party'' means a party to a NASA agreement involving 
activities in connection with the ISS.
    (2)(i) The term ``related entity'' means:
    (A) A contractor or subcontractor of a Party or a Partner State at 
any tier;
    (B) A user or customer of a Party or a Partner State at any tier; or
    (C) A contractor or subcontractor of a user or customer of a Party 
or a Partner State at any tier.
    (ii) The terms ``contractor'' and ``subcontractor'' include 
suppliers of any kind.
    (iii) The term ``related entity'' may also apply to a State, or an 
agency or institution of a State, having the same relationship to a 
Partner State as described in paragraphs (b)(2)(i)(A) through 
(b)(2)(i)(C) of this section or otherwise engaged in the implementation 
of Protected Space Operations as defined in paragraph (b)(6) of this 
section.
    (3) The term ``damage'' means:
    (i) Bodily injury to, or other impairment of health of, or death of, 
any person;
    (ii) Damage to, loss of, or loss of use of any property;
    (iii) Loss of revenue or profits; or
    (iv) Other direct, indirect, or consequential damage.
    (4) The term ``launch vehicle'' means an object, or any part 
thereof, intended for launch, launched from Earth, or returning to Earth 
which carries payloads or persons, or both.
    (5) The term ``payload'' means all property to be flown or used on 
or in a launch vehicle or the ISS.
    (6) The term ``Protected Space Operations'' means all launch or 
transfer vehicle activities, ISS activities, and payload activities on 
Earth, in outer space, or in transit between Earth and outer space in 
implementation of the IGA, MOUs concluded pursuant to the IGA, and 
implementing arrangements. It includes, but is not limited to:
    (i) Research, design, development, test, manufacture, assembly, 
integration, operation, or use of launch or

[[Page 278]]

transfer vehicles, the ISS, payloads, or instruments, as well as related 
support equipment and facilities and services; and
    (ii) All activities related to ground support, test, training, 
simulation, or guidance and control equipment and related facilities or 
services. ``Protected Space Operations'' also includes all activities 
related to evolution of the ISS, as provided for in Article 14 of the 
IGA. ``Protected Space Operations'' excludes activities on Earth which 
are conducted on return from the ISS to develop further a payload's 
product or process for use other than for ISS-related activities in 
implementation of the IGA.
    (7) The term ``transfer vehicle'' means any vehicle that operates in 
space and transfers payloads or persons or both between two different 
space objects, between two different locations on the same space object, 
or between a space object and the surface of a celestial body. A 
transfer vehicle also includes a vehicle that departs from and returns 
to the same location on a space object.
    (8) The term ``Partner State'' includes each Contracting Party for 
which the IGA has entered into force, pursuant to Article 25 of the IGA 
or pursuant to any successor agreement. A Partner State includes its 
Cooperating Agency. It also includes any entity specified in the 
Memorandum of Understanding (MOU) between NASA and the Government of 
Japan to assist the Government of Japan's Cooperating Agency in the 
implementation of that MOU.
    (c)(1) Cross-waiver of liability: Each Party agrees to a cross-
waiver of liability pursuant to which each Party waives all claims 
against any of the entities or persons listed in paragraphs (c)(1)(i) 
through (c)(1)(iv) of this section based on damage arising out of 
Protected Space Operations. This cross-waiver shall apply only if the 
person, entity, or property causing the damage is involved in Protected 
Space Operations and the person, entity, or property damaged is damaged 
by virtue of its involvement in Protected Space Operations. The cross-
waiver shall apply to any claims for damage, whatever the legal basis 
for such claims, against:
    (i) Another Party;
    (ii) A Partner State other than the United States of America;
    (iii) A related entity of any entity identified in paragraph 
(c)(1)(i) or (c)(1)(ii) of this section; or
    (iv) The employees of any of the entities identified in paragraphs 
(c)(1)(i) through (c)(1)(iii) of this section.
    (2) In addition, each Party shall, by contract or otherwise, extend 
the cross-waiver of liability, as set forth in paragraph (c)(1) of this 
section, to its related entities by requiring them, by contract or 
otherwise, to:
    (i) Waive all claims against the entities or persons identified in 
paragraphs (c)(1)(i) through (c)(1)(iv) of this section; and
    (ii) Require that their related entities waive all claims against 
the entities or persons identified in paragraphs (c)(1)(i) through 
(c)(1)(iv) of this section.
    (3) For avoidance of doubt, this cross-waiver of liability includes 
a cross-waiver of claims arising from the Convention on International 
Liability for Damage Caused by Space Objects, which entered into force 
on September 1, 1972, where the person, entity, or property causing the 
damage is involved in Protected Space Operations and the person, entity, 
or property damaged is damaged by virtue of its involvement in Protected 
Space Operations.
    (4) Notwithstanding the other provisions of this section, this 
cross-waiver of liability shall not be applicable to:
    (i) Claims between a Party and its own related entity or between its 
own related entities;
    (ii) Claims made by a natural person, his/her estate, survivors or 
subrogees (except when a subrogee is a Party to the agreement or is 
otherwise bound by the terms of this cross-waiver) for bodily injury to, 
or other impairment of health of, or death of, such person;
    (iii) Claims for damage caused by willful misconduct;
    (iv) Intellectual property claims;
    (v) Claims for damage resulting from a failure of a Party to extend 
the cross-

[[Page 279]]

waiver of liability to its related entities, pursuant to paragraph 
(c)(2) of this section; or
    (vi) Claims by a Party arising out of or relating to another Party's 
failure to perform its obligations under the agreement.
    (5) Nothing in this section shall be construed to create the basis 
for a claim or suit where none would otherwise exist.
    (6) This cross-waiver shall not be applicable when 49 U.S.C. 
Subtitle IX, Chapter. 701 is applicable.



Sec.  1266.103  [Reserved]



Sec.  1266.104  Cross-waiver of liability for launch agreements for
science or space exploration activities unrelated to the International
Space Station.

    (a) The purpose of this section is to implement a cross-waiver of 
liability between the parties to agreements for NASA's science or space 
exploration activities that are not related to the International Space 
Station (ISS) but involve a launch. It is intended that the cross-waiver 
of liability be broadly construed to achieve this objective.
    (b) For purposes of this section:
    (1) The term ``Party'' means a party to a NASA agreement for science 
or space exploration activities unrelated to the ISS that involve a 
launch.
    (2) (i) The term ``related entity'' means:
    (A) A contractor or subcontractor of a Party at any tier;
    (B) A user or customer of a Party at any tier; or
    (C) A contractor or subcontractor of a user or customer of a Party 
at any tier.
    (ii) The terms ``contractor'' and ``subcontractor'' include 
suppliers of any kind.
    (iii) The term ``related entity'' may also apply to a State or an 
agency or institution of a State, having the same relationship to a 
Party as described in paragraphs (b)(2)(i)(A) through (b)(2)(i)(C) of 
this section, or otherwise engaged in the implementation of Protected 
Space Operations as defined in paragraph (b)(6) of this section.
    (3) The term ``damage'' means:
    (i) Bodily injury to, or other impairment of health of, or death of, 
any person;
    (ii) Damage to, loss of, or loss of use of any property;
    (iii) Loss of revenue or profits; or
    (iv) Other direct, indirect, or consequential damage.
    (4) The term ``launch vehicle'' means an object, or any part 
thereof, intended for launch, launched from Earth, or returning to Earth 
which carries payloads or persons, or both.
    (5) The term ``payload'' means all property to be flown or used on 
or in a launch vehicle.
    (6) The term ``Protected Space Operations'' means all launch or 
transfer vehicle activities and payload activities on Earth, in outer 
space, or in transit between Earth and outer space in implementation of 
an agreement for launch services. Protected Space Operations begins at 
the signature of the agreement and ends when all activities done in 
implementation of the agreement are completed. It includes, but is not 
limited to:
    (i) Research, design, development, test, manufacture, assembly, 
integration, operation, or use of launch or transfer vehicles, payloads, 
or instruments, as well as related support equipment and facilities and 
services; and
    (ii) All activities related to ground support, test, training, 
simulation, or guidance and control equipment and related facilities or 
services. The term ``Protected Space Operations'' excludes activities on 
Earth that are conducted on return from space to develop further a 
payload's product or process for use other than for the activities 
within the scope of an agreement for launch services.
    (7) The term ``transfer vehicle'' means any vehicle that operates in 
space and transfers payloads or persons or both between two different 
space objects, between two different locations on the same space object, 
or between a space object and the surface of a celestial body. A 
transfer vehicle also includes a vehicle that departs from and returns 
to the same location on a space object.
    (c)(1) Cross-waiver of liability: Each Party agrees to a cross-
waiver of liability pursuant to which each Party

[[Page 280]]

waives all claims against any of the entities or persons listed in 
paragraphs (c)(1)(i) through (c)(1)(iv) of this section based on damage 
arising out of Protected Space Operations. This cross-waiver shall apply 
only if the person, entity, or property causing the damage is involved 
in Protected Space Operations and the person, entity, or property 
damaged is damaged by virtue of its involvement in Protected Space 
Operations. The cross-waiver shall apply to any claims for damage, 
whatever the legal basis for such claims, against:
    (i) Another Party;
    (ii) A party to another NASA agreement that includes flight on the 
same launch vehicle;
    (iii) A related entity of any entity identified in paragraphs 
(c)(1)(i) or (c)(1)(ii) of this section; or
    (iv) The employees of any of the entities identified in paragraphs 
(c)(1)(i) through (c)(1)(iii) of this section.
    (2) In addition, each Party shall extend the cross-waiver of 
liability, as set forth in paragraph (c)(1) of this section, to its own 
related entities by requiring them, by contract or otherwise, to:
    (i) Waive all claims against the entities or persons identified in 
paragraphs (c)(1)(i) through (c)(1)(iv) of this section; and
    (ii) Require that their related entities waive all claims against 
the entities or persons identified in paragraphs (c)(1)(i) through 
(c)(1)(iv) of this section.
    (3) For avoidance of doubt, this cross-waiver of liability includes 
a cross-waiver of claims arising from the Convention on International 
Liability for Damage Caused by Space Objects, which entered into force 
on September 1, 1972, where the person, entity, or property causing the 
damage is involved in Protected Space Operations and the person, entity, 
or property damaged is damaged by virtue of its involvement in Protected 
Space Operations.
    (4) Notwithstanding the other provisions of this section, this 
cross-waiver of liability shall not be applicable to:
    (i) Claims between a Party and its own related entity or between its 
own related entities;
    (ii) Claims made by a natural person, his/her estate, survivors, or 
subrogees (except when a subrogee is a Party to the agreement or is 
otherwise bound by the terms of this cross-waiver) for bodily injury to, 
or other impairment of health of, or death of, such person;
    (iii) Claims for damage caused by willful misconduct;
    (iv) Intellectual property claims;
    (v) Claims for damages resulting from a failure of a Party to extend 
the cross-waiver of liability to its related entities, pursuant to 
paragraph (c)(2) of this section; or
    (vi) Claims by a Party arising out of or relating to another Party's 
failure to perform its obligations under the agreement.
    (5) Nothing in this section shall be construed to create the basis 
for a claim or suit where none would otherwise exist.
    (6) This cross-waiver shall not be applicable when 49 U.S.C. 
Subtitle IX, Chapter 701 is applicable.



PART 1271_NEW RESTRICTIONS ON LOBBYING--Table of Contents



                            Subpart A_General

Sec.
1271.100 Conditions on use of funds.
1271.105 Definitions.
1271.110 Certification and disclosure.

                  Subpart B_Activities by Own Employees

1271.200 Agency and legislative liaison.
1271.205 Professional and technical services.
1271.210 Reporting.

            Subpart C_Activities by Other Than Own Employees

1271.300 Professional and technical services.

                   Subpart D_Penalties and Enforcement

1271.400 Penalties.
1271.405 Penalty procedures.
1271.410 Enforcement.

                          Subpart E_Exemptions

1271.500 Secretary of Defense.

                        Subpart F_Agency Reports

1271.600 Semi-annual compilation.
1271.605 Inspector General report.

Appendix A to Part 1271--Certification Regarding Lobbying

[[Page 281]]

Appendix B to Part 1271--Disclosure Form To Report Lobbying

    Authority: Section 319, Pub. L. 101-121 (31 U.S.C. 1352); Pub. L. 
97-258 (31 U.S.C. 6301 et seq.)

    Cross Reference: See also Office of Management and Budget notice 
published at 54 FR 52306, December 20, 1989.

    Source: 55 FR 6737, 6748, Feb. 26, 1990, unless otherwise noted.



                            Subpart A_General



Sec.  1271.100  Conditions on use of funds.

    (a) No appropriated funds may be expended by the recipient of a 
Federal contract, grant, loan, or cooperative ageement to pay any person 
for influencing or attempting to influence an officer or employee of any 
agency, a Member of Congress, an officer or employee of Congress, or an 
employee of a Member of Congress in connection with any of the following 
covered Federal actions: the awarding of any Federal contract, the 
making of any Federal grant, the making of any Federal loan, the 
entering into of any cooperative agreement, and the extension, 
continuation, renewal, amendment, or modification of any Federal 
contract, grant, loan, or cooperative agreement.
    (b) Each person who requests or receives from an agency a Federal 
contract, grant, loan, or cooperative agreement shall file with that 
agency a certification, set forth in appendix A, that the person has not 
made, and will not make, any payment prohibited by paragraph (a) of this 
section.
    (c) Each person who requests or receives from an agency a Federal 
contract, grant, loan, or a cooperative agreement shall file with that 
agency a disclosure form, set forth in appendix B, if such person has 
made or has agreed to make any payment using nonappropriated funds (to 
include profits from any covered Federal action), which would be 
prohibited under paragraph (a) of this section if paid for with 
appropriated funds.
    (d) Each person who requests or receives from an agency a commitment 
providing for the United States to insure or guarantee a loan shall file 
with that agency a statement, set forth in appendix A, whether that 
person has made or has agreed to make any payment to influence or 
attempt to influence an officer or employee of any agency, a Member of 
Congress, an officer or employee of Congress, or an employee of a Member 
of Congress in connection with that loan insurance or guarantee.
    (e) Each person who requests or receives from an agency a commitment 
providing for the United States to insure or guarantee a loan shall file 
with that agency a disclosure form, set forth in appendix B, if that 
person has made or has agreed to make any payment to influence or 
attempt to influence an officer or employee of any agency, a Member of 
Congress, an officer or employee of Congress, or an employee of a Member 
of Congress in connection with that loan insurance or guarantee.



Sec.  1271.105  Definitions.

    For purposes of this part:
    (a) Agency, as defined in 5 U.S.C. 552(f), includes Federal 
executive departments and agencies as well as independent regulatory 
commissions and Government corporations, as defined in 31 U.S.C. 
9101(1).
    (b) Covered Federal action means any of the following Federal 
actions:
    (1) The awarding of any Federal contract;
    (2) The making of any Federal grant;
    (3) The making of any Federal loan;
    (4) The entering into of any cooperative agreement; and,
    (5) The extension, continuation, renewal, amendment, or modification 
of any Federal contract, grant, loan, or cooperative agreement.

Covered Federal action does not include receiving from an agency a 
commitment providing for the United States to insure or guarantee a 
loan. Loan guarantees and loan insurance are addressed independently 
within this part.
    (c) Federal contract means an acquisition contract awarded by an 
agency, including those subject to the Federal Acquisition Regulation 
(FAR), and any other acquisition contract for real or personal property 
or services not subject to the FAR.
    (d) Federal cooperative agreement means a cooperative agreement 
entered into by an agency.

[[Page 282]]

    (e) Federal grant means an award of financial assistance in the form 
of money, or property in lieu of money, by the Federal Government or a 
direct appropriation made by law to any person. The term does not 
include technical assistance which provides services instead of money, 
or other assistance in the form of revenue sharing, loans, loan 
guarantees, loan insurance, interest subsidies, insurance, or direct 
United States cash assistance to an individual.
    (f) Federal loan means a loan made by an agency. The term does not 
include loan guarantee or loan insurance.
    (g) Indian tribe and tribal organization have the meaning provided 
in section 4 of the Indian Self-Determination and Education Assistance 
Act (25 U.S.C. 450B). Alaskan Natives are included under the definitions 
of Indian tribes in that Act.
    (h) Influencing or attempting to influence means making, with the 
intent to influence, any communication to or appearance before an 
officer or employee or any agency, a Member of Congress, an officer or 
employee of Congress, or an employee of a Member of Congress in 
connection with any covered Federal action.
    (i) Loan guarantee and loan insurance means an agency's guarantee or 
insurance of a loan made by a person.
    (j) Local government means a unit of government in a State and, if 
chartered, established, or otherwise recognized by a State for the 
performance of a governmental duty, including a local public authority, 
a special district, an intrastate district, a council of governments, a 
sponsor group representative organization, and any other instrumentality 
of a local government.
    (k) Officer or employee of an agency includes the following 
individuals who are employed by an agency:
    (1) An individual who is appointed to a position in the Government 
under title 5, U.S. Code, including a position under a temporary 
appointment;
    (2) A member of the uniformed services as defined in section 101(3), 
title 37, U.S. Code;
    (3) A special Government employee as defined in section 202, title 
18, U.S. Code; and,
    (4) An individual who is a member of a Federal advisory committee, 
as defined by the Federal Advisory Committee Act, title 5, U.S. Code 
appendix 2.
    (l) Person means an individual, corporation, company, association, 
authority, firm, partnership, society, State, and local government, 
regardless of whether such entity is operated for profit or not for 
profit. This term excludes an Indian tribe, tribal organization, or any 
other Indian organization with respect to expenditures specifically 
permitted by other Federal law.
    (m) Reasonable compensation means, with respect to a regularly 
employed officer or employee of any person, compensation that is 
consistent with the normal compensation for such officer or employee for 
work that is not furnished to, not funded by, or not furnished in 
cooperation with the Federal Government.
    (n) Reasonable payment means, with respect to perfessional and other 
technical services, a payment in an amount that is consistent with the 
amount normally paid for such services in the private sector.
    (o) Recipient includes all contractors, subcontractors at any tier, 
and subgrantees at any tier of the recipient of funds received in 
connection with a Federal contract, grant, loan, or cooperative 
agreement. The term excludes an Indian tribe, tribal organization, or 
any other Indian organization with respect to expenditures specifically 
permitted by other Federal law.
    (p) Regularly employed means, with respect to an officer or employee 
of a person requesting or receiving a Federal contract, grant, loan, or 
cooperative agreement or a commitment providing for the United States to 
insure or guarantee a loan, an officer or employee who is employed by 
such person for at least 130 working days within one year immediately 
preceding the date of the submission that initiates agency consideration 
of such person for receipt of such contract, grant, loan, cooperative 
agreement, loan insurance commitment, or loan guarantee commitment. An 
officer or employee who is employed by such person for less than

[[Page 283]]

130 working days within one year immediately preceding the date of the 
submission that initiates agency consideration of such person shall be 
considered to be regularly employed as soon as he or she is employed by 
such person for 130 working days.
    (q) State means a State of the United States, the District of 
Columbia, the Commonwealth of Puerto Rico, a territory or possession of 
the United States, an agency or instrumentality of a State, and a multi-
State, regional, or interstate entity having governmental duties and 
powers.



Sec.  1271.110  Certification and disclosure.

    (a) Each person shall file a certification, and a disclosure form, 
if required, with each submission that initiates agency consideration of 
such person for:
    (1) Award of a Federal contract, grant, or cooperative agreement 
exceeding $100,000; or
    (2) An award of a Federal loan or a commitment providing for the 
United States to insure or guarantee a loan exceeding $150,000.
    (b) Each person shall file a certification, and a disclosure form, 
if required, upon receipt by such person of:
    (1) A Federal contract, grant, or cooperative agreement exceeding 
$100,000; or
    (2) A Federal loan or a commitment providing for the United States 
to insure or guarantee a loan exceeding $150,000,

Unless such person previously filed a certification, and a disclosure 
form, if required, under paragraph (a) of this section.
    (c) Each person shall file a disclosure form at the end of each 
calendar quarter in which there occurs any event that requires 
disclosure or that materially affects the accuracy of the information 
contained in any disclosure form previously filed by such person under 
paragraphs (a) or (b) of this section. An event that materially affects 
the accuracy of the information reported includes:
    (1) A cumulative increase of $25,000 or more in the amount paid or 
expected to be paid for influencing or attempting to influence a covered 
Federal action; or
    (2) A change in the person(s) or individual(s) influencing or 
attempting to influence a covered Federal action; or,
    (3) A change in the officer(s), employee(s), or Member(s) contacted 
to influence or attempt to influence a covered Federal action.
    (d) Any person who requests or receives from a person referred to in 
paragraphs (a) or (b) of this section:
    (1) A subcontract exceeding $100,000 at any tier under a Federal 
contract;
    (2) A subgrant, contract, or subcontract exceeding $100,000 at any 
tier under a Federal grant;
    (3) A contract or subcontract exceeding $100,000 at any tier under a 
Federal loan exceeding $150,000; or,
    (4) A contract or subcontract exceeding $100,000 at any tier under a 
Federal cooperative agreement,

Shall file a certification, and a disclosure form, if required, to the 
next tier above.
    (e) All disclosure forms, but not certifications, shall be forwarded 
from tier to tier until received by the person referred to in paragraphs 
(a) or (b) of this section. That person shall forward all disclosure 
forms to the agency.
    (f) Any certification or disclosure form filed under paragraph (e) 
of this section shall be treated as a material representation of fact 
upon which all receiving tiers shall rely. All liability arising from an 
erroneous representation shall be borne solely by the tier filing that 
representation and shall not be shared by any tier to which the 
erroneous representation is forwarded. Submitting an erroneous 
certification or disclosure constitutes a failure to file the required 
certification or disclosure, respectively. If a person fails to file a 
required certification or disclosure, the United States may pursue all 
available remedies, including those authorized by section 1352, title 
31, U.S. Code.
    (g) For awards and commitments in process prior to December 23, 
1989, but not made before that date, certifications shall be required at 
award or commitment, covering activities occurring between December 23, 
1989, and the date of award or commitment. However, for awards and 
commitments in process prior to the December 23, 1989 effective date of 
these provisions,

[[Page 284]]

but not made before December 23, 1989, disclosure forms shall not be 
required at time of award or commitment but shall be filed within 30 
days.
    (h) No reporting is required for an activity paid for with 
appropriated funds if that activity is allowable under either subpart B 
or C.



                  Subpart B_Activities by Own Employees



Sec.  1271.200  Agency and legislative liaison.

    (a) The prohibition on the use of appropriated funds, in Sec.  
1271.100 (a), does not apply in the case of a payment of reasonable 
compensation made to an officer or employee of a person requesting or 
receiving a Federal contract, grant, loan, or cooperative agreement if 
the payment is for agency and legislative liaison activities not 
directly related to a covered Federal action.
    (b) For purposes of paragraph (a) of this section, providing any 
information specifically requested by an agency or Congress is allowable 
at any time.
    (c) For purposes of paragraph (a) of this section, the following 
agency and legislative liaison activities are allowable at any time only 
where they are not related to a specific solicitation for any covered 
Federal action:
    (1) Discussing with an agency (including individual demonstrations) 
the qualities and characteristics of the person's products or services, 
conditions or terms of sale, and service capabilities; and,
    (2) Technical discussions and other activities regarding the 
application or adaptation of the person's products or services for an 
agency's use.
    (d) For purposes of paragraph (a) of this section, the following 
agencies and legislative liaison activities are allowable only where 
they are prior to formal solicitation of any covered Federal action:
    (1) Providing any information not specifically requested but 
necessary for an agency to make an informed decision about initiation of 
a covered Federal action;
    (2) Technical discussions regarding the preparation of an 
unsolicited proposal prior to its official submission; and,
    (3) Capability presentations by persons seeking awards from an 
agency pursuant to the provisions of the Small Business Act, as amended 
by Public Law 95-507 and other subsequent amendments.
    (e) Only those activities expressly authorized by this section are 
allowable under this section.



Sec.  1271.205  Professional and technical services.

    (a) The prohibition on the use of appropriated funds, in Sec.  
1271.100(a), does not apply in the case of a payment of reasonable 
compensation made to an officer or employee of a person requesting or 
receiving a Federal contract, grant, loan, or cooperative agreement or 
an extension, continuation, renewal, amendment, or modification of a 
Federal contract, grant, loan, or cooperative agreement if payment is 
for professional or technical services rendered directly in the 
preparation, submission, or negotiation of any bid, proposal, or 
application for that Federal contract, grant, loan, or cooperative 
agreement or for meeting requirements imposed by or pursuant to law as a 
condition for receiving that Federal contract, grant, loan, or 
cooperative agreement.
    (b) For purposes of paragraph (a) of this section, ``professional 
and technical services'' shall be limited to advice and analysis 
directly applying any professional or technical discipline. For example, 
drafting of a legal document accompanying a bid or proposal by a lawyer 
is allowable. Similarly, technical advice provided by an engineer on the 
performance or operational capability of a piece of equipment rendered 
directly in the negotiation of a contract is allowable. However, 
communications with the intent to influence made by a professional (such 
as a licensed lawyer) or a technical person (such as a licensed 
accountant) are not allowable under this section unless they provide 
advice and analysis directly applying their professional or technical 
expertise and unless the advice or analysis is rendered directly and 
solely in the preparation, submission or negotiation of a covered 
Federal action. Thus, for example, communications with the intent to 
influence

[[Page 285]]

made by a lawyer that do not provide legal advice or analysis directly 
and solely related to the legal aspects of his or her client's proposal, 
but generally advocate one proposal over another are not allowable under 
this section because the lawyer is not providing professional legal 
services. Similarly, communications with the intent to influence made by 
an engineer providing an engineering analysis prior to the preparation 
or submission of a bid or proposal are not allowable under this section 
since the engineer is providing technical services but not directly in 
the preparation, submission or negotiation of a covered Federal action.
    (c) Requirements imposed by or pursuant to law as a condition for 
receiving a covered Federal award include those required by law or 
regulation, or reasonably expected to be required by law or regulation, 
and any other requirements in the actual award documents.
    (d) Only those services expressly authorized by this section are 
allowable under this section.



Sec.  1271.210  Reporting.

    No reporting is required with respect to payments of reasonable 
compensation made to regularly employed officers or employees of a 
person.



            Subpart C_Activities by Other Than Own Employees



Sec.  1271.300  Professional and technical services.

    (a) The prohibition on the use of appropriated funds, in Sec.  
1271.100(a), does not apply in the case of any reasonable payment to a 
person, other than an officer or employee of a person requesting or 
receiving a covered Federal action, if the payment is for professional 
or technical services rendered directly in the preparation, submission, 
or negotiation of any bid, proposal, or application for that Federal 
contract, grant, loan, or cooperative agreement or for meeting 
requirements imposed by or pursuant to law as a condition for receiving 
that Federal contract, grant, loan, or cooperative agreement.
    (b) The reporting requirements in Sec.  1271.110 (a) and (b) 
regarding filing a disclosure form by each person, if required, shall 
not apply with respect to professional or technical services rendered 
directly in the preparation, submission, or negotiation of any 
commitment providing for the United States to insure or guarantee a 
loan.
    (c) For purposes of paragraph (a) of this section, ``professional 
and technical services'' shall be limited to advice and analysis 
directly applying any professional or technical discipline. For example, 
drafting or a legal document accompanying a bid or proposal by a lawyer 
is allowable. Similarly, technical advice provided by an engineer on the 
performance or operational capability of a piece of equipment rendered 
directly in the negotiation of a contract is allowable. However, 
communications with the intent to influence made by a professional (such 
as a licensed lawyer) or a technical person (such as a licensed 
accountant) are not allowable under this section unless they provide 
advice and analysis directly applying their professional or technical 
expertise and unless the advice or analysis is rendered directly and 
solely in the preparation, submission or negotiation of a covered 
Federal action. Thus, for example, communications with the intent to 
influence made by a lawyer that do not provide legal advice or analysis 
directly and solely related to the legal aspects of his or her client's 
proposal, but generally advocate one proposal over another are not 
allowable under this section because the lawyer is not providing 
professional legal services. Similarly, communications with the intent 
to influence made by an engineer providing an engineering analysis prior 
to the preparation or submission of a bid or proposal are not allowable 
under this section since the engineer is providing technical services 
but not directly in the preparation, submission or negotiation of a 
covered Federal action.
    (d) Requirements imposed by or pursuant to law as a condition for 
receiving a covered Federal award include those required by law or 
regulation, or reasonably expected to be required by law or regulation, 
and any other requirements in the actual award documents.

[[Page 286]]

    (e) Persons other than officers or employees of a person requesting 
or receiving a covered Federal action include consultants and trade 
associations.
    (f) Only those services expressly authorized by this section are 
allowable under this section.



                   Subpart D_Penalties and Enforcement



Sec.  1271.400  Penalties.

    (a) Any person who makes an expenditure prohibited herein shall be 
subject to a civil penalty of not less than $19,639 and not more than 
$196,387 for each such expenditure.
    (b) Any person who fails to file or amend the disclosure form (see 
appendix B) to be filed or amended if required herein, shall be subject 
to a civil penalty of not less than $19,639 and not more than $196,387 
for each such failure.
    (c) A filing or amended filing on or after the date on which an 
administrative action for the imposition of a civil penalty is commenced 
does not prevent the imposition of such civil penalty for a failure 
occurring before that date. An administrative action is commenced with 
respect to a failure when an investigating official determines in 
writing to commence an investigation of an allegation of such failure.
    (d) In determining whether to impose a civil penalty, and the amount 
of any such penalty, by reason of a violation by any person, the agency 
shall consider the nature, circumstances, extent, and gravity of the 
violation, the effect on the ability of such person to continue in 
business, any prior violations by such person, the degree of culpability 
of such person, the ability of the person to pay the penalty, and such 
other matters as may be appropriate.
    (e) First offenders under paragraphs (a) or (b) of this section 
shall be subject to a civil penalty of $19,639, absent aggravating 
circumstances. Second and subsequent offenses by persons shall be 
subject to an appropriate civil penalty between $19,639 and $196,387, as 
determined by the agency head or his or her designee.
    (f) An imposition of a civil penalty under this section does not 
prevent the United States from seeking any other remedy that may apply 
to the same conduct that is the basis for the imposition of such civil 
penalty.

[55 FR 6737, 6748, Feb. 26, 1990, as amended at 82 FR 28763, June 26, 
2017; 82 FR 48762, Oct. 20, 2017; 83 FR 2046, Jan. 16, 2018]



Sec.  1271.405  Penalty procedures.

    Agencies shall impose and collect civil penalties pursuant to the 
provisions of the Program Fraud and Civil Remedies Act, 31 U.S.C. 
sections 3803 (except subsection (c)), 3804, 3805, 3806, 3807, 3808, and 
3812, insofar as these provisions are not inconsistent with the 
requirements herein.



Sec.  1271.410  Enforcement.

    The head of each agency shall take such actions as are necessary to 
ensure that the provisions herein are vigorously implemented and 
enforced in that agency.



                          Subpart E_Exemptions



Sec.  1271.500  Secretary of Defense.

    (a) The Secretary of Defense may exempt, on a case-by-case basis, a 
covered Federal action from the prohibition whenever the Secretary 
determines, in writing, that such an exemption is in the national 
interest. The Secretary shall transmit a copy of each such written 
exemption to Congress immediately after making such a determination.
    (b) The Department of Defense may issue supplemental regulations to 
implement paragraph (a) of this section.



                        Subpart F_Agency Reports



Sec.  1271.600  Semi-annual compilation.

    (a) The head of each agency shall collect and compile the disclosure 
reports (see appendix B) and, on May 31 and November 30 of each year, 
submit to the Secretary of the Senate and the Clerk of the House of 
Representatives a report containing a compilation of the information 
contained in the disclosure reports received during the six-month period 
ending on March 31 or September 30, respectively, of that year.

[[Page 287]]

    (b) The report, including the compilation, shall be available for 
public inspection 30 days after receipt of the report by the Secretary 
and the Clerk.
    (c) Information that involves intelligence matters shall be reported 
only to the Select Committee on Intelligence of the Senate, the 
Permanent Select Committee on Intelligence of the House of 
Representatives, and the Committees on Appropriations of the Senate and 
the House of Representatives in accordance with procedures agreed to by 
such committees. Such information shall not be available for public 
inspection.
    (d) Information that is classified under Executive Order 12356 or 
any successor order shall be reported only to the Committee on Foreign 
Relations of the Senate and the Committee on Foreign Affairs of the 
House of Representatives or the Committees on Armed Services of the 
Senate and the House of Representatives (whichever such committees have 
jurisdiction of matters involving such information) and to the 
Committees on Appropriations of the Senate and the House of 
Representatives in accordance with procedures agreed to by such 
committees. Such information shall not be available for public 
inspection.
    (e) The first semi-annual compilation shall be submitted on May 31, 
1990, and shall contain a compilation of the disclosure reports received 
from December 23, 1989 to March 31, 1990.
    (f) Major agencies, designated by the Office of Management and 
Budget (OMB), are required to provide machine-readable compilations to 
the Secretary of the Senate and the Clerk of the House of 
Representatives no later than with the compilations due on May 31, 1991. 
OMB shall provide detailed specifications in a memorandum to these 
agencies.
    (g) Non-major agencies are requested to provide machine-readable 
compilations to the Secretary of the Senate and the Clerk of the House 
of Representatives.
    (h) Agencies shall keep the originals of all disclosure reports in 
the official files of the agency.



Sec.  1271.605  Inspector General report.

    (a) The Inspector General, or other official as specified in 
paragraph (b) of this section, of each agency shall prepare and submit 
to Congress each year, commencing with submission of the President's 
Budget in 1991, an evaluation of the compliance of that agency with, and 
the effectiveness of, the requirements herein. The evaluation may 
include any recommended changes that may be necessary to strengthen or 
improve the requirements.
    (b) In the case of an agency that does not have an Inspector 
General, the agency official comparable to an Inspector General shall 
prepare and submit the annual report, or, if there is no such comparable 
official, the head of the agency shall prepare and submit the annual 
report.
    (c) The annual report shall be submitted at the same time the agency 
submits its annual budget justifications to Congress.
    (d) The annual report shall include the following: All alleged 
violations relating to the agency's covered Federal actions during the 
year covered by the report, the actions taken by the head of the agency 
in the year covered by the report with respect to those alleged 
violations and alleged violations in previous years, and the amounts of 
civil penalties imposed by the agency in the year covered by the report.





     Sec. Appendix A to Part 1271--Certification Regarding Lobbying

 Certification for Contracts, Grants, Loans, and Cooperative Agreements

    The undersigned certifies, to the best of his or her knowledge and 
belief, that:
    (1) No Federal appropriated funds have been paid or will be paid, by 
or on behalf of the undersigned, to any person for influencing or 
attempting to influence an officer or employee of an agency, a Member of 
Congress, an officer or employee of Congress, or an employee of a Member 
of Congress in connection with the awarding of any Federal contract, the 
making of any Federal grant, the making of any Federal loan, the 
entering into of any cooperative agreement, and the extension, 
continuation, renewal, amendment, or modification of any Federal 
contract, grant, loan, or cooperative agreement.

[[Page 288]]

    (2) If any funds other than Federal appropriated funds have been 
paid or will be paid to any person for influencing or attempting to 
influence an officer or employee of any agency, a Member of Congress, an 
officer or employee of Congress, or an employee of a Member of Congress 
in connection with this Federal contract, grant, loan, or cooperative 
agreement, the undersigned shall complete and submit Standard Form-LLL, 
``Disclosure Form to Report Lobbying,'' in accordance with its 
instructions.
    (3) The undersigned shall require that the language of this 
certification be included in the award documents for all subawards at 
all tiers (including subcontracts, subgrants, and contracts under 
grants, loans, and cooperative agreements) and that all subrecipients 
shall certify and disclose accordingly.
    This certification is a material representation of fact upon which 
reliance was placed when this transaction was made or entered into. 
Submission of this certification is a prerequisite for making or 
entering into this transaction imposed by section 1352, title 31, U.S. 
Code. Any person who fails to file the required certification shall be 
subject to a civil penalty of not less than $19,639 and not more than 
$196,387 for each such failure.

            Statement for Loan Guarantees and Loan Insurance

    The undersigned states, to the best of his or her knowledge and 
belief, that:
    If any funds have been paid or will be paid to any person for 
influencing or attempting to influence an officer or employee of any 
agency, a Member of Congress, an officer or employee of Congress, or an 
employee of a Member of Congress in connection with this commitment 
providing for the United States to insure or guarantee a loan, the 
undersigned shall complete and submit Standard Form-LLL, ``Disclosure 
Form to Report Lobbying,'' in accordance with its instructions.
    Submission of this statement is a prerequisite for making or 
entering into this transaction imposed by section 1352, title 31, U.S. 
Code. Any person who fails to file the required statement shall be 
subject to a civil penalty of not less than $19,639 and not more than 
$196,387 for each such failure.

[55 FR 6737, 6748, Feb. 26, 1990, as amended at 82 FR 28763, June 26, 
2017; 82 FR 48762, Oct. 20, 2017; 83 FR 2046, Jan. 16, 2018]

[[Page 289]]

       Appendix B to Part 1271--Disclosure Form To Report Lobbying
[GRAPHIC] [TIFF OMITTED] TC09SE91.013


[[Page 290]]


[GRAPHIC] [TIFF OMITTED] TC09SE91.014


[[Page 291]]


[GRAPHIC] [TIFF OMITTED] TC09SE91.015


[[Page 292]]



                          PART 1273 [RESERVED]



PART 1274_COOPERATIVE AGREEMENTS WITH COMMERCIAL FIRMS
--Table of Contents



                         Subpart 1274.1_General

Sec.
1274.101 Purpose.
1274.102 Scope.
1274.103 Definitions.
1274.104 Effect on other issuances.
1274.105 Review requirements.
1274.106 Deviations.
1274.107 Publication of requirements.

                  Subpart 1274.2_Pre-Award Requirements

1274.201 Purpose.
1274.202 Methods of award.
1274.203 Solicitations/Cooperative Agreement Notices.
1274.204 Costs and payments.
1274.205 Consortia as recipients.
1274.206 Metric Conversion Act.
1274.207 Extended agreements.
1274.208 Intellectual property.
1274.209 Evaluation and selection.
1274.210 Unsolicited proposals.
1274.211 Award procedures.
1274.212 Award information.
1274.213 Distribution of cooperative agreements.
1274.214 Inquiries and release of information.
1274.215 Federal and federally funded construction projects.

                      Subpart 1274.3_Administration

1274.301 Delegation of administration.
1274.302 Transfers, novations, and change of name agreements.
1274.303 Public access to Federal award information.
1274.304 Reporting a determination that a non-Federal entity is not 
          qualified for a Federal award.

                         Subpart 1274.4_Property

1274.401 Government furnished property.
1274.402 Contractor acquired property.

                  Subpart 1274.5_Procurement Standards

1274.501 Purpose of procurement standards.
1274.502 Recipient responsibilities.
1274.503 Codes of conduct.
1274.504 Competition.
1274.505 Procurement procedures.
1274.506 Cost and price analysis.
1274.507 Procurement records.
1274.508 Contract administration.
1274.509 Contract provisions.
1274.510 Subcontracts.

                   Subpart 1274.6_Reports and Records

1274.601 Retention and access requirements for records.

                Subpart 1274.7_Suspension or Termination

1274.701 Suspension or termination.

          Subpart 1274.8_Post-Award/Administrative Requirements

1274.801 Adjustments to performance costs.
1274.802 Modifications.
1274.803 Suspension and Debarment.
1274.804 [Reserved]

         Subpart 1274.9_Other Provisions and Special Conditions

1274.901 Other provisions and special conditions.
1274.902 Purpose.
1274.903 Responsibilities.
1274.904 Resource sharing requirements.
1274.905 Rights in data.
1274.906 Designation of new technology representative and patent 
          representative.
1274.907 Disputes.
1274.908 Milestone payments.
1274.909 Term of agreement.
1274.910 Authority.
1274.911 Patent rights.
1274.912 Patent rights--retention by the recipient (large business).
1274.913 Patent rights--retention by the recipient (small business).
1274.914 Requests for waiver of rights--large business.
1274.915 Restrictions on sale or transfer of technology to foreign firms 
          or institutions.
1274.916 Liability and risk of loss.
1274.917 Additional funds.
1274.918 Incremental funding.
1274.919 Cost principles and accounting standards.
1274.920 Responsibilities of the NASA Technical Officer.
1274.921 Publications and reports: non-proprietary research results.
1274.922 Suspension or termination.
1274.923 Equipment and other property.
1274.924 Civil rights.
1274.925 Subcontracts.
1274.926 Clean Air-Water Pollution Control Acts.
1274.927 Debarment and Suspension and Drug-Free Workplace.
1274.928 Foreign national employee investigative requirements.
1274.929 Restrictions on lobbying.
1274.930 Travel and transportation.
1274.931 Electronic funds transfer payment methods.

[[Page 293]]

1274.932 Retention and examination of records.
1274.933 Summary of recipient reporting.
1274.934 Safety.
1274.935 Security classification requirements.
1274.936 Breach of safety or security.
1274.937 Security requirements for unclassified information technology 
          resources.
1274.938 Modifications.
1274.939 Application of Federal, State, and Local laws and regulations.
1274.940 Changes in recipient's membership.
1274.941 Insurance and indemnification.
1274.942 Export licenses.
1274.943 Investigation of research misconduct.
1274.944 Award term and condition for recipient integrity and 
          performance matters.

Appendix to Part 1274--Listing of Exhibits

    Authority: 51 U.S.C. 20113(e) and 31 U.S.C. 6301 to 6308; 51 U.S.C. 
20102, et seq.

    Source: 67 FR 45790, July 10, 2002, unless otherwise noted.



                         Subpart 1274.1_General



Sec.  1274.101  Purpose.

    The following policy guidelines establish uniform requirements for 
NASA cooperative agreements awarded to commercial firms.



Sec.  1274.102  Scope.

    (a) The business relationship between NASA and the recipient of a 
cooperative agreement differs from the relationship that exists between 
NASA and the recipient of a grant. Under the auspices of a grant, there 
is very little involvement and interaction between NASA and the grantee 
(other than a few administrative, funding, and reporting requirements, 
or in some cases matching of funds). Under a cooperative agreement, 
because of its substantial involvement, NASA assumes a higher degree of 
responsibility for the technical performance outcomes and associated 
financial costs of research activities. In some cooperative agreement 
projects, NASA may be required to indemnify the recipient (to the extent 
authorized by Congress). While the principal purpose of NASA's 
involvement and commitment of resources is to stimulate or support 
research activity, a major incentive for involvement by commercial firms 
(particularly where costs are shared) is the profit potential from 
marketable products expected to result from the cooperative agreement 
project.
    (b) Cooperative agreements (in areas or research relevant to NASA's 
mission) are ordinarily entered into with commercial firms to--
    (1) Support research and development;
    (2) Provide technology transfer from the Government to the 
recipient; or
    (3) Develop a capability among U.S. firms to potentially enhance 
U.S. competitiveness.
    (c) Projects that normally result in a cooperative agreement award 
to a commercial entity are projects that:
    (1) Are not intended for the direct benefit of NASA;
    (2) Are expected to benefit the general public;
    (3) Require substantial cost sharing; and
    (4) Have commercial applications and profit generating potential.
    (d) The principal purpose of cooperative agreements is to stimulate 
research to benefit the general public through the criteria stated in 
paragraphs (a) through (c) of this section. Since all research 
activities must be within NASA's authorized expenditure of 
appropriations, there may be instances where NASA can derive incidental 
use or benefits while preserving the principal purpose of the 
cooperative agreement. However, a careful balance must be established 
and maintained in the cooperative agreement's technical and business 
objectives, so that the principal purpose of the project serves to 
benefit the general public (i.e., technology will transfer from the 
Government to the public and the commercial partner expects a marketable 
product to result). If a cooperative agreement is awarded when the 
proper award instrument should have been a contract (because the primary 
purpose of the award is for the direct benefit of NASA), the cooperative 
agreement award can be protested. Thus, before pursuing any incidental 
benefits that materialize under a cooperative agreement, NASA Centers 
should ensure that the advice of legal counsel is obtained.

[[Page 294]]



Sec.  1274.103  Definitions.

    Administrator. The Administrator or Deputy Administrator of NASA.
    Agreement officer. A Government employee (usually a Contracting 
Officer or Grant Officer) who has been delegated the authority to 
negotiate, award, or administer the cooperative agreement. Most often 
Contracting Officers are delegated this authority for the more complex 
cooperative agreement projects.
    Assistant Administrator for Procurement. The head of the Office of 
Procurement, NASA Headquarters (Code H).
    Cash contributions. The cash invested in a given program or project 
by the Federal Government and/or recipient. The recipient's cash 
contributions may include money contributed by third parties.
    Closeout. The process by which NASA determines that all applicable 
administrative actions and all required work of the award have been 
completed by the recipient and NASA.
    Commercial item. The definition in FAR 2.101 is applicable.
    Consortium. A consortium is a group of organizations that enter into 
an agreement to collaborate for the purposes of the cooperative 
agreement with NASA. The agreement to collaborate can take the form of a 
legal entity such as a partnership or joint venture but it is not 
necessary that such an entity be created. A consortium may be made up of 
firms that normally compete for commercial or Government business or may 
be made up of firms that perform complementary functions in a given 
industry.
    Cooperative agreement. As defined by 31 U.S.C. 6305, cooperative 
agreements are financial assistance instruments used to stimulate or 
support activities for authorized purposes and in which the Government 
participates substantially in the performance of the effort. This Part 
1274 covers only cooperative agreements with commercial firms where 
resource sharing is involved. Cooperative agreements with other types of 
organizations are covered by 14 CFR Part 1260.
    Cooperative agreement notice (CAN). Publication on Federal Business 
Opportunities (FedBizOpps) or NASA Acquisition Internet Service (NAIS) 
websites advertising the solicitation of competitive proposals for the 
award of a cooperative agreement.
    Cost sharing. Arrangement whereby the Government and the recipient 
share the funding requirements of a program or project at an agreed upon 
ratio or percentage (normally 50/50). Normally, the Government's payment 
of its share of the costs is contingent upon the accomplishment of 
tangible milestones (preferred method). Any payment arrangement that is 
based on a method other than the accomplishment of tangible milestones 
(e.g., a reimbursable arrangement where NASA pays a share of incurred 
costs, regardless of the accomplishment of tangible milestones) must be 
approved through the deviation process discussed in 1274.106.
    Date of completion. The date on which all work under an award is 
completed or the date on the award document, or any supplement or 
amendment thereto, on which NASA sponsorship ends.
    Days. Calendar days, unless otherwise indicated.
    General purpose equipment. Equipment which is usable for other than 
research, medical, scientific, or technical activities, whether or not 
special modifications are needed to make them suitable for a particular 
purpose. Examples of general purpose equipment include office equipment 
and furnishings, air conditioning equipment, reproduction and printing 
equipment, motor vehicles, and automatic data processing equipment.
    Government furnished equipment. Equipment in the possession of, or 
acquired directly by, the Government and subsequently delivered, or 
otherwise made available, to a recipient and equipment procured by the 
recipient with Government funds under a cooperative agreement. In most 
cases, Government furnished equipment will be counted as part of the 
Government's in-kind or non-cash contributions to the cooperative 
agreement for the purpose of determining the share ratio.
    Incremental funding. A method of funding a cooperative agreement 
where the funds initially allotted to the cooperative agreement are less 
than the award amount. Additional funding is added as described in Sec.  
1274.918.

[[Page 295]]

    Non-cash or in-kind contributions. May be in the form of personnel 
resources (where cost accounting methods allow accumulation of such 
costs), real property, equipment, supplies and other expendable 
property, and the value of goods and services directly benefiting and 
specifically identifiable to the project or program. Costs incurred by 
NASA to provide the services of one of its support contractors to 
perform part of NASA's requirements under a cooperative agreement shall 
be included as part of NASA's cost share, and will be counted as an in-
kind contribution to the cooperative agreement.
    Recipient. An organization receiving financial assistance under a 
cooperative agreement to carry out a project or program. A recipient may 
be an individual firm, including sole proprietor, partnership, 
corporation, or a consortium of business entities.
    Research misconduct is defined in 14 CFR 1275.101. NASA policies and 
procedures regarding Research misconduct are set out in 14 CFR part 
1275, ``Investigation of Research Misconduct.''
    Resource contributions. The total value of resources provided by 
either party to the cooperative agreement including both cash and non-
cash contributions.
    Subcontracting dollar threshold. The dollar amount of the 
cooperative agreement subject to the small business subcontracting 
policies (includes small business, veteran-owned small business, 
service-disabled veteran-owned small business, historically 
underutilized small business, small disadvantaged business, women-owned 
business concerns, Historically Black Colleges and Universities, and 
minority educational institutions). For cooperative agreements, the 
dollar threshold to which the small business subcontracting policies 
apply, is established by the total amount of NASA's cash contributions.
    Suspension. An action by NASA or the recipient that temporarily 
discontinues efforts under an award, pending corrective action or 
pending a decision to terminate the award.
    Technical officer. The official of the cognizant NASA office who is 
responsible for monitoring the technical aspects of the work under a 
cooperative agreement. A Contracting Officer's Technical Representative 
may serve as a Technical Officer.
    Termination. The cancellation of a cooperative agreement in whole or 
in part, by either party at any time prior to the date of completion.

[67 FR 45790, July 10, 2002, as amended at 70 FR 28809, May 19, 2005]



Sec.  1274.104  Effect on other issuances.

    For awards subject to this part, all administrative requirements of 
codified program regulations, program manuals, handbooks and other non-
regulatory materials which are inconsistent with the requirements of 
this part shall be superseded, except to the extent they are required by 
statute, or authorized in accordance with the deviations provision in 
Sec.  1274.106.



Sec.  1274.105  Review requirements.

    (a) Once the decision is made by a Headquarters program office or 
Center procurement personnel, to pursue the Cooperative Agreement Notice 
(CAN) process, for which the total NASA resources to be expended equal 
or exceed $10 million (cash plus non-cash contributions), a notification 
shall immediately be provided to the Assistant Administrator for 
Procurement (Code HS). The notification(s) shall be forwarded by the 
cognizant Headquarters program office or the Center procurement office 
(as applicable). For any CAN where NASA's cash contributions are 
expected to equal or exceed $10 million, Headquarters program office or 
Center procurement personnel shall also notify the Assistant 
Administrator for Small and Disadvantaged Business Utilization (Code K). 
All such notifications, as described in paragraph (b) of this section, 
shall evidence concurrence by the cognizant Center Procurement Officer. 
These review requirements also apply where an unsolicited proposal is 
received from a commercial firm (or from a team of recipients where one 
of more team members is a commercial firm), and the planned award 
document is a cooperative agreement.
    (b) The notification shall be accomplished by sending an electronic 
mail (e-mail) message to the following address at NASA Headquarters:

[[Page 296]]

[email protected]. The notification must include the following 
information, as a minimum--
    (1) Identification of the cognizant Center and program office;
    (2) Description of the proposed program for which proposals are to 
be solicited;
    (3) Rationale for decision to use a CAN rather than other types of 
solicitations;
    (4) The amount of Government funding to be available for award(s);
    (5) Estimate of the number of cooperative agreements to be awarded 
as a result of the CAN;
    (6) The percentage of cost-sharing to be required;
    (7) Tentative schedule for release of CAN and award of cooperative 
agreements;
    (8) If the term of the cooperative agreement is anticipated to 
exceed 3 years and/or if the Government cash contribution is expected to 
exceed $20M, address anticipated changes, if any, to the provisions (see 
Sec.  1274.207); and
    (9) If the cooperative agreement is for programs/projects that 
provide aerospace products or capabilities, (e.g., provision of space 
and aeronautics systems, flight and ground systems, technologies and 
operations), a statement that the requirements of NASA Policy Directive 
(NPD) 7120.4 and NASA Policy Guidance (NPG) 7120.5 have been met. This 
affirmative statement will include a specific reference to the signed 
Program Commitment Agreement.
    (c) Code HS will respond by e-mail message to the sender, with a 
copy of the message to the Procurement Officer and the Office of Small 
and Disadvantaged Business Utilization, within five (5) working days of 
receipt of this initial notification. The response will address the 
following:
    (1) Whether Code HS agrees or disagrees with the appropriateness for 
using a CAN for the effort described,
    (2) Whether Code HS will require review and approval of the CAN 
before its issuance,
    (3) Whether Code HS will require review and approval of the selected 
offeror's cost sharing arrangement (e.g., cost sharing percentage; type 
of contribution (cash, labor, etc.)).
    (4) Whether Code HS will require review and approval of the 
resulting cooperative agreement(s).
    (d) If a response from Code HS is not received within 5 working days 
of notification, the program office or Center may proceed with release 
of the CAN and award of the cooperative agreements as described.
    (e) Before issuance, each field-generated CAN shall be approved by 
the installation director or designee, with the concurrence of the 
procurement officer. Each Headquarters generated CAN shall be approved 
by the cognizant Program Associate Administrator or designee, with 
concurrence of the Headquarters Offices of General Counsel (Code GK), 
External Relations (Code I), Safety & Mission Assurance (Code Q), and 
Procurement (Code HS).



Sec.  1274.106  Deviations.

    (a) The Assistant Administrator for Procurement may grant exceptions 
for classes of, or individual cooperative agreements and deviations from 
the requirements of this Regulation when exceptions are not prohibited 
by statute.
    (b) A deviation is required for any of the following:
    (1) When a prescribed provision set forth in this regulation for use 
verbatim is modified or omitted.
    (2) When a provision is set forth in this regulation, but not 
prescribed for use verbatim, and the installation substitutes a 
provision which is inconsistent with the intent, principle, and 
substance of the prescribed provision.
    (3) When a NASA form or other form is prescribed by this regulation, 
and that form is altered or another form is used in its place.
    (4) When limitations, imposed by this regulation upon the use of a 
provision, form, procedure, or any other action, are not adhered to.
    (c) Requests for authority to deviate from this regulation will be 
forwarded to Headquarters, Program Operations Division (Code HS). Such 
requests, signed by the Procurement Officer, shall contain as a 
minimum--

[[Page 297]]

    (1) A full description of the deviation and identification of the 
regulatory requirement from which a deviation is sought;
    (2) Detailed rationale for the request, including any pertinent 
background information;
    (3) The name of the recipient and identification of the cooperative 
agreement affected, including the dollar value.
    (4) A statement as to whether the deviation has been re quested 
previously, and, if so, circumstances of the previous request(s); and
    (5) A copy of legal counsel's concurrence or comments.



Sec.  1274.107  Publication of requirements.

    Cooperative agreements may result from recipient proposals submitted 
in response to the publication of a NASA Research Announcement (NRA), a 
Cooperative Agreement Notice (CAN), or other Broad Agency Announcement 
(BAA). BAAs, NRAs and CANs are normally promulgated through publicly 
accessible Government-wide announcements such as those published under 
the Federal Business Opportunities (FedBizOpps), and/or the NASA 
Acquisition Internet Service (NAIS). Prior to publicizing the CAN, see 
Sec.  1274.105.



                  Subpart 1274.2_Pre-Award Requirements



Sec.  1274.201  Purpose.

    This subpart provides pre-award guidance, prescribes forms and 
instructions, and addresses other pre-award matters.



Sec.  1274.202  Methods of award.

    (a) Competitive agreements. Consistent with 31 U.S.C. 6301(3), NASA 
uses competitive procedures to award cooperative agreements whenever 
possible.
    (b) Awards using other than competitive procedures. Solicitations 
for award of a Cooperative Agreement shall not be issued to, nor 
negotiations conducted with a single source unless--
    (1) Use of such actions is documented in writing; and
    (2) Concurrence and approvals are obtained. The dollar thresholds 
will be determined by the total value of the resources committed to the 
Cooperative Agreement (cash and quantifiable in-kind contributions).



Sec.  1274.203  Solicitations/cooperative agreement notices.

    (a) Agreement officers should use every effort to issue draft pre-
award cooperative agreement information. Any draft documentation 
released for comment shall contain all factors/subfactors. Draft 
documents should be as close to the final product as possible. Draft 
Cooperative Agreement Notices (CAN's) or Cooperative Agreements (CA) 
should include terms and conditions, special requirements and expected 
cash and non-cash (in-kind) contributions.
    (1) Publication of draft documentation may serve to prevent 
unnecessary expenditure of resources and unproductive time that may be 
spent by NASA and potential recipients. Release of draft documentation 
also serves to assist NASA in refining program objectives and 
requirements, and maximizes the quality of research proposals submitted 
for formal evaluation and source selection.
    (2) During the information gathering process, comments may be 
invited from potential recipients on all aspects of the draft 
documentation, including the requirements, schedules, proposal 
instructions and evaluation approaches. Potential recipients should be 
specifically requested to identify unnecessary or inefficient 
requirements. Comments should also be requested on any perceived safety, 
occupational health, security (including information technology 
security), environmental, export control, and/or other programmatic risk 
issues associated with performance of the CA.
    (3) Agreement officers should include in the award schedule adequate 
time for the process to include industry review and comments, and NASA's 
evaluation and disposition of comments received.
    (4) When providing draft documents for comment, the draft CAN shall 
advise interested parties that any issued draft documentation shall not 
be considered as a solicitation for award, and that NASA is not 
requesting proposals in response to the draft publication.

[[Page 298]]

    (5) Whenever feasible, agreement officers should include a summary 
of the disposition of significant comments when issuing the final CAN 
and/or CA.
    (b) The evaluation section of the CAN shall notify potential 
recipients of the relative importance of factors, and any subfactors or 
other criteria that will be evaluated during the selection process.
    (c) For its research projects, NASA may publish the expected project 
goals and objectives in terms of ``What'' the commercial recipient is 
expected to accomplish. The commercial recipient may be required to 
submit a proposed statement of work with its proposal stating ``How'' 
the recipient will accomplish the task(s). Depending on its importance 
to the success of the project, for some projects the recipient's 
statement of work may be included as an evaluation criterion for award. 
In these instances, the requirement for submission of the recipient's 
statement of work will be clearly identified as a subfactor or criterion 
that will be evaluated, and its relative weight or ranking in relation 
to other evaluation criteria shall be stated. In all cases, where the 
recipient submits a statement of work in response to NASA project 
objectives, NASA shall have final approval of the acceptability of the 
statement of work.
    (d) Where performance-based milestone payments are planned, the 
potential recipient should be encouraged to suggest in its statement of 
work (which incorporates the project goals and objectives), or elsewhere 
in its proposal, terms and/or performance events upon which milestone 
payments can be negotiated.
    (e) The CAN should provide a description and value for any 
quantifiable non-cash or in-kind Government resources (personnel, 
equipment, facilities, etc.), in addition to any cash funds that will be 
offered by the Government as part of its contributions to the 
cooperative agreement. As part of its proposal package, the recipient 
may also identify additional non-cash or in-kind resources it wishes 
NASA to contribute. The recipient shall verify the suitability of the 
requested resource(s) to the work to be performed under the cooperative 
agreement. Any additional verifiable and suitable non-cash or in-kind 
resources requested, shall be added to NASA's shared cost of performing 
the cooperative agreement, and may require increased cash or in-kind 
contributions from the recipient to meet its percentage of the cost 
share.
    (f) To protect the integrity of the competitive process, upon 
release of the formal CAN the agreement officer shall direct that all 
personnel associated with the source selection refrain from 
communicating with prospective recipients and to refer all inquiries to 
the agreement officer or other authorized representative. The 
notification to potential recipients may be sent in any format (e.g., 
letter or electronic) appropriate to the complexity of the acquisition. 
It is not intended that all communication with potential recipients be 
terminated. Agreement officers should continue to provide information as 
long as it does not create an unfair competitive advantage or reveal 
proprietary data.
    (g) If NASA anticipates that the total Federal share of any award 
made under a funding agreement may exceed, over the period of 
performance, the simplified acquisition threshold, the notice of funding 
opportunity must include the information as required in Appendix 1 to 
Part 200, paragraph E.3, paragraph E.4, and paragraph F.3.

[67 FR 45790, July 10, 2002, as amended at 81 FR 35584, June 3, 2016]



Sec.  1274.204  Costs and payments.

    (a) Cost allowability. (1) Cooperative agreements awarded to 
commercial firms are subject to the cost accounting standards and 
principles of 48 CFR Chapter 99, as implemented by FAR Parts 30 and 31.
    (2) If the recipient is a consortium which includes non-commercial 
entities as members, cost allowability for those members will be 
determined as follows:
    (i) Allowability of costs incurred by state, local or federally-
recognized Indian tribal governments is determined in accordance with 
the provisions of OMB Circular A-87, ``Cost Principles for State and 
Local Governments.''

[[Page 299]]

    (ii) The allowability of costs incurred by non-profit organizations 
is determined in accordance with the provisions of OMB Circular A-122, 
``Cost Principles for Non-Profit Organizations.''
    (iii) The allowability of costs incurred by institutions of higher 
education is determined in accordance with the provisions of OMB 
Circular A-21, ``Cost Principles for Educational nstitutions.''
    (iv) The allowability of costs incurred by hospitals is determined 
in accordance with the provisions of Appendix E of 45 CFR part 74, 
``Principles for Determining Costs Applicable to Research and 
Development Under Grants and Contracts with Hospitals.''
    (3) A recipient's method for accounting for the expenditure of funds 
must be consistent with generally accepted accounting principles.
    (b) Cost sharing. (1) Given the mutually beneficial nature of, in 
particular, potential commercially marketable products expected to 
result from the research activities of the cooperative agreement, 
resource contributions are required from the recipient. The commercial 
recipient is expected to contribute at least 50 percent of the total 
resources necessary to accomplish the cooperative agreement effort. 
Recipient contributions may be cash, non-cash (in-kind) or both. 
Acceptable non-cash or in-kind resources include such items as 
equipment, facilities, labor, office space, etc. In determining the 
incentive to the recipient to share costs, agreement officers must 
consider a variety of factors. For example, while the future 
profitability of intellectual property may serve as an incentive for 
involvement of the commercial firm in the cooperative agreement, the 
actual or imputed value of such items as patent rights, data rights, 
trade secrets, etc., included in intellectual property is generally not 
considered a reliable source for computation of the recipient's 
contributions.
    (2) In most cases these costs are not readily quantifiable. Thus, 
although the value of intellectual property rights should be factored 
into the incentive for the recipient to share at least 50 percent of 
costs, intellectual property rights do not serve as quantifiable amounts 
to determine the equitable dollar amounts of costs to be shared.
    (3) As is expected from the commercial partner, the Government's 
cost share should reflect certain non-cash as well as cash contributions 
to the most practicable extent possible. Where quantifiable, NASA will 
include in the calculation of the Government's cost share, non-cash or 
in-kind contributions, which includes the value of equipment, personnel, 
and facilities. Costs incurred by NASA to provide the services of one or 
more support contractors to perform part of NASA's requirements under a 
cooperative agreement will be counted as part of NASA's in-kind 
contributions. This approach is also supported by the initiative to 
implement full cost accounting methods within the Federal Government.
    (4) When other Government agencies act as partners along with NASA 
(e.g., Department of Defense or Federal Aviation Administration), the 
resources contributed by any Government agency shall be counted as part 
of the Government's total cost share under the cooperative agreement.
    (5) For every cooperative agreement, there should be evidence of the 
recipient's strong commitment and self-interest in the success of the 
research project. A very strong indicator of a recipient's self-interest 
is the willingness to commit to a meaningful level of cost sharing 
(i.e., 50 percent). Before considering whether it is impracticable for 
the recipient to share at least 50% of the performance costs, agreement 
officers should also consider whether other factors exist that 
demonstrate the recipient's financial stake or self-interest in the 
success of the cooperative agreement.
    (6) In cases where a contribution of less than 50 percent is 
anticipated from the commercial recipient, approval of the Assistant 
Administrator for Procurement (Code HS) is required prior to award. The 
request for approval should address the evaluation factor in the 
solicitation and how the proposal accomplishes those objectives to such 
a degree that a share ratio of less than 50 percent is warranted.
    (7) Once accepted for application to costs shared under the 
cooperative

[[Page 300]]

agreement, cash and in-kind contributions including Independent Research 
and Development (IR&D) costs, may not be included as contributions for 
any other federally assisted project or program.
    (c) Fixed funding. (1) Cooperative agreements are funded by NASA 
through the disbursement of agreed upon fixed payment amounts to the 
recipient. NASA makes disbursement of funds to the recipient as 
``Milestone payments'' discussed in paragraph (d) of this section. If 
the recipient achieves the final milestone, final payment is made, which 
completes NASA's financial responsibilities under the agreement.
    (2) Fixed payments on a cooperative agreement are made by NASA based 
on the accomplishment by the recipient of predetermined tangible 
milestones. Any arrangement where payments are made on a basis other 
than accomplished tangible milestones must be approved in accordance 
with the requirements of Sec.  1274.106 Deviations.
    (3) If the cooperative agreement is terminated prior to achievement 
of all milestones, NASA's funding is limited to milestone payments 
already made plus NASA's share of costs incurred to meet commitments of 
the recipient, which had in the judgment of NASA become firm prior to 
the effective date of termination. In no event, however, shall the 
amount of NASA's share of these additional costs exceed the amount of 
the next scheduled milestone payment.
    (d) Milestone obligations and payments. Agreement officers, 
technical officers, accounting and finance officials, and all other 
responsible NASA personnel shall ensure that funds for milestone 
payments are obligated, billed and expended in accordance with the 
guidance set forth by the NASA Financial Management Manual (FMM 9000).
    (1) There must always be sufficient funds obligated to cover the 
next milestone payment. In addition, funds must be made available (but 
not necessarily obligated) to cover all milestone payments expected to 
be made during the current fiscal year of performance.
    (2) Disbursement of funds to the recipient is based on the 
achievement of milestones or performance-related benchmarks. The 
milestone must represent the accomplishment of verifiable, significant 
event(s) and may not be based upon the mere passage of time or the 
performance of a particular level of effort. The Government technical 
officer must verify to and advise the agreement officer that each 
milestone has been achieved prior to authorizing the corresponding 
payment.
    (3) The amount of funds to be disbursed by NASA in recognition of 
the achievement of milestones (``milestone payments'') shall be 
established consistent with the ratio of resource sharing agreed upon 
under the cooperative agreement (see paragraph (e)(2) of this section). 
While the schedule for milestone achievement must reflect the project 
being undertaken, the frequency should not be greater than one payment 
per month. For many projects, scheduling milestones to be accomplished 
about every 60 to 90 days appears to be most workable. Partial or 
interim milestone payments may not be made.
    (4) The final milestone payment should be structured so that the 
associated payment is large enough to provide incentive to the recipient 
to complete its responsibilities under the cooperative agreement. 
Alternatively, funds may be reserved for disbursement after completion 
of the effort.
    (e) Incremental funding. Whenever the period of performance for the 
cooperative agreement crosses fiscal years, the agreement shall be 
incrementally funded using appropriations from different fiscal years. 
In other circumstances, incremental funding may be appropriate. The 
total amount of funds obligated during the course of a fiscal year must 
be sufficient to cover the Government's share of the costs anticipated 
to be incurred by the recipient during that fiscal year. NASA may allot 
funds to an agreement at various times during a fiscal year in 
anticipation of the occurrence of costs. However, there must always be 
sufficient funds obligated to cover all milestone payments expected to 
be made during the current fiscal year.
    (f) Profit applicability. Recipients shall not be paid a profit 
under cooperative agreements. Profit may be paid by the recipient to 
subcontractors, if

[[Page 301]]

the subcontractor is not part of the offering team and the subcontract 
is an arms-length relationship. All entities that are involved in 
performing the research and development effort that is the purpose of 
the cooperative agreement shall be part of the recipient's consortium 
and not subcontractors.
    (g) Independent Research and Development (IR&D) costs. When 
determining the applicable dollar amounts or reasonableness of proposed 
IR&D costs to be included as part of the recipient's cost share, 
agreement officers should seek assistance from DCAA or the cognizant 
audit agency.
    (1) In accordance with FAR 31.205-18(e), IR&D costs may include 
costs contributed by contractors in performing cooperative research and 
development agreements or similar arrangements, entered into under 
sections 203(c)(5) and (6) of the National Aeronautics and Space Act of 
1958, as amended (42 U.S.C. 2473(c)(5) and (6)). IR&D costs incurred by 
a contractor pursuant to these types of cooperative agreements should be 
considered as allowable IR&D costs if the work performed would have been 
allowed as contractor IR&D had there been no cooperative arrangement.
    (2) IR&D costs (or an agreed upon portion of IR&D costs) incurred by 
the recipient's organization and deemed by NASA as the same type of 
research being undertaken by the cooperative agreement between NASA and 
the recipient may serve as part of the recipient's contribution of 
shared costs under the cooperative agreement. When considering the use 
of IR&D costs as part of the recipient's cost share, the IR&D costs 
offered by the recipient shall meet the requirements of FAR 31.205-18. 
Any IR&D costs incurred in a prior period, and offered as part of the 
recipient's cost share shall meet the criteria established by FAR 
31.205-18(d), Deferred IR&D Costs.



Sec.  1274.205  Consortia as recipients.

    (a) The use of consortia as recipients for cooperative agreements is 
encouraged. Such arrangements tend to bring a broader range of 
capabilities and resources to the cooperative agreement. In addition, 
consortium members can better share the projects financial costs (e.g., 
the 50 percent recipient's cost share or other costs of performance).
    (b) NASA enters into an agreement with only one entity (as 
identified by the consortium members). (Also see Sec.  1274.940.) The 
inclusion of non-profit or educational institutions, small businesses, 
or small disadvantaged businesses in the consortium could be 
particularly valuable in ensuring that the results of the consortium's 
activities are disseminated.
    (c) Key to the success of the cooperative agreement with a 
consortium is the consortium's Articles of Collaboration, which is a 
definitive description of the roles and responsibilities of the 
consortium's members. The Articles of Collaboration must designate a 
lead firm to represent the consortium and authority to sign on the 
consortium's behalf. It should also address to the extent appropriate--
    (1) Commitments of financial, personnel, facilities and other 
resources;
    (2) A detailed milestone chart of consortium activities;
    (3) Accounting requirements;
    (4) Subcontracting procedures;
    (5) Disputes;
    (6) Term of the agreement;
    (7) Insurance and liability issues;
    (8) Internal and external reporting requirements;
    (9) Management structure of the consortium;
    (10) Obligations of organizations withdrawing from the consortia;
    (11) Allocation of data and patent rights among the consortia 
members
    (12) Agreements, if any, to share existing technology and data;
    (13) The firm that is responsible for the completion of the 
consortium's responsibilities under the cooperative agreement and has 
the authority to commit the consortium and receive payments from NASA, 
and address employee policy or other personnel issues.
    (d) The consortium's charter or by-laws may be substituted for the 
Articles of Collaboration only if they are inclusive of all of the 
required information.
    (e) An outline of the Articles of Collaboration should be required 
as part of the proposal and evaluated during the source selection 
process. Articles of

[[Page 302]]

Collaboration do not become part of the resulting cooperative agreement.



Sec.  1274.206  Metric Conversion Act.

    The Metric Conversion Act, as amended by the Omnibus Trade and 
Competitiveness Act (15 U.S.C. 205) declares that the metric system is 
the preferred measurement system for U.S. trade and commerce. NASA's 
policy with respect to the metric measurement system is stated in NPD 
8010.2, Use of the Metric System of Measurement in NASA Programs.



Sec.  1274.207  Extended agreements.

    (a) Multiple year cooperative agreements are encouraged, but 
normally they should span no more than three years.
    (b) Cooperative agreements that will exceed $5 million and have a 
period of performance in excess of 5 years shall require the approval of 
the Assistant Administrator for Procurement prior to award. Requests for 
approval shall include a justification for exceeding 5 years and 
evidence that the extended years can be reasonably priced. Requests for 
approval are not required when the 5-year limitation is exceeded due to 
a no cost extension.
    (c) Cooperative agreement renewals provide for the continuation of 
research beyond the original scope, period of performance and funding 
levels; therefore, new proposals, certifications, and technical 
evaluations are required prior to the execution of a cooperative 
agreement renewal. Renewals will be awarded as new cooperative 
agreements. Continued performance within a period specified under a 
multiple year cooperative agreement provision does not constitute a 
renewal.
    (d) The provisions set forth in Sec.  1274.901 are generally 
considered appropriate for agreements not exceeding 3 years and/or a 
Government cash contribution not exceeding $20M. For cooperative 
agreements expected to be longer than 3 years and/or involve Government 
cash contributions exceeding $20M, consideration should be given to 
provisions which place additional restrictions on the recipient in terms 
of validating performance and accounting for funds expended.

[67 FR 45790, July 10, 2002, as amended at 68 FR 14535, Mar. 26, 2003]



Sec.  1274.208  Intellectual property.

    (a) Intellectual property rights. A cooperative agreement covers the 
disposition of rights to intellectual property between NASA and the 
recipient. If the recipient is a consortium or partnership, rights 
flowing between multiple organizations in a consortium must be 
negotiated separately and formally documented, preferably in the 
Articles of Collaboration.
    (b) Rights in patents. Patent rights clauses are required by statute 
and regulation. The clauses exist for recipients of the agreement 
whether they are--
    (1) Other than small business or nonprofit organizations (generally 
referred to as large businesses) or
    (2) Small businesses or nonprofit organizations.
    (c) Inventions. There are five situations in which inventions may 
arise under a cooperative agreement--
    (1) Recipient Inventions;
    (2) Subcontractor Inventions;
    (3) NASA Inventions;
    (4) NASA Support Contractor Inventions; and
    (5) Joint Inventions with Recipient.
    (d) Recipient inventions. (1) A recipient, if a large business, is 
subject to section 305 of the National Aeronautics and Space Act of 1958 
(42 U.S.C. 2457) relating to property rights in inventions. The term 
``invention'' includes any invention, discovery, improvement, or 
innovation. Title to an invention made under a cooperative agreement by 
a large business recipient initially vests with NASA. The recipient may 
request a waiver under the NASA Patent Waiver Regulations to obtain 
title to inventions made under the agreement. Such a request may be made 
in advance of the agreement (or 30 days thereafter) for all inventions 
made under the agreement. Alternatively, requests may be made on a case-
by-case basis any time an individual invention is made. Such waivers are 
liberally and expeditiously granted after review by NASA's Invention and 
Contribution Board and approval by

[[Page 303]]

NASA's General Counsel. When a waiver is granted, any inventions made in 
the performance of work under the agreement are subject to certain 
reporting, election and filing requirements, a royalty-free license to 
the Government, march-in rights, and certain other reservations.
    (2) A recipient, if a small business or nonprofit organization, may 
elect to retain title to its inventions. The term ``nonprofit 
organization'' is defined in 35 U.S.C. 201(i) and includes universities 
and other institutions of higher education or an organization of the 
type described in section 501(c)(3) of the Internal Revenue Code. The 
Government obtains an irrevocable, nonexclusive, royalty-free license.
    (e) Subcontractor inventions--(1) Large business. If a recipient 
enters into a subcontract (or similar arrangement) with a large business 
organization for experimental, developmental, research, design or 
engineering work in support of the agreement to be performed in the 
United States, its possessions, or Puerto Rico, section 305 of the Space 
Act applies. The clause applicable to large business organizations is to 
be used (suitably modified to identify the parties) in any subcontract. 
The subcontractor may request a waiver under the NASA Patent Waiver 
Regulations to obtain rights to inventions made under the subcontract 
just as a large business recipient can (see paragraph (d)(1) of this 
section). It is strongly recommended that a prospective large business 
subcontractor contact the NASA installation Patent Counsel or 
Intellectual Property Counsel to assure that the right procedures are 
followed. Just like the recipient, any inventions made in the 
performance of work under the agreement are subject to certain 
reporting, election and filing requirements, a royalty-free license to 
the Government, march-in rights, and certain other reservations.
    (2) Non-profit organization or small business. In the event the 
recipient enters into a subcontract (or similar arrangement) with a 
domestic nonprofit organization or a small business firm for 
experimental, developmental, or research work to be performed under the 
agreement, the requirements of 35 U.S.C. 200 et seq. regarding ``Patent 
Rights in Inventions Made With Federal Assistance,'' apply. The 
subcontractor has the first option to elect title to any inventions made 
in the performance of work under the agreement, subject to specific 
reporting, election and filing requirements, a royalty-free license to 
the Government, march-in rights, and certain other reservations that are 
specifically set forth.
    (3) Work outside the United States. If the recipient subcontracts 
for work to be done outside the United States, its possessions or Puerto 
Rico, the NASA installation Patent Counsel or Intellectual Property 
Counsel should be contacted for the proper patent rights clause to use 
and the procedures to follow.
    (4) Notwithstanding paragraphs (e)(1), (2), and (3) of this section, 
and in recognition of the recipient's substantial contribution, the 
recipient is authorized, subject to rights of NASA set forth elsewhere 
in the agreement, to:
    (i) Acquire by negotiation and mutual agreement rights to a 
subcontractor's subject inventions as the recipient may deem necessary; 
or
    (ii) If unable to reach agreement pursuant to paragraph (e)(4)(i) of 
this section, request that NASA invoke exceptional circumstances as 
necessary pursuant to 37 CFR 401.3(a)(2) if the prospective 
subcontractor is a small business firm or nonprofit organization, or for 
all other organizations, request that such rights for the recipient be 
included as an additional reservation in a waiver granted pursuant to 14 
CFR 1245.1. The exercise of this exception does not change the flow down 
of the applicable patent rights clause to subcontractors. Applicable 
laws and regulations require that title to inventions made under a 
subcontract must initially reside in either the subcontractor or NASA, 
not the recipient. This exception does not change that. The exception 
does authorize the recipient to negotiate and reach mutual agreement 
with the subcontractor for the grant-back of rights. Such grant-back 
could be an option for an exclusive license or an assignment, depending 
on the circumstances.
    (f) NASA inventions. NASA will use reasonable efforts to report 
inventions

[[Page 304]]

made by its employees as a consequence of, or which bear a direct 
relation to, the performance of specified NASA activities under an 
agreement. Upon timely request, NASA will use its best efforts to a 
grant recipient first option to acquire either an exclusive or 
partially-exclusive, revocable, royalty-bearing license, on terms to be 
negotiated, for any patent applications and patents covering such 
inventions. This exclusive or partially-exclusive license to the 
recipient will be subject to the retention of rights by or on behalf of 
the Government for Government purposes.
    (g) NASA support contractor inventions. It is preferred that NASA 
support contractors be excluded from performing any of NASA's 
responsibilities under an agreement since the rights obtained by a NASA 
support contractor could work against the rights needed by the 
recipient. In the event NASA support contractors are tasked by NASA to 
work under the agreement and inventions are made by support contractor 
employees, the support contractor will normally retain title to its 
employee inventions in accordance with 35 U.S.C. 202, 14 CFR part 1245, 
and E.O. 12591. In the event the recipient decides not to pursue right 
to title in any such invention and NASA obtains title to such 
inventions, upon timely request, NASA will use its best efforts to grant 
the recipient first option to acquire either an exclusive or partially 
exclusive, revocable, royalty-bearing license, upon terms to be 
negotiated, for any patent applications and patents covering such 
inventions. This exclusive or partially-exclusive license to the 
recipient will be subject to the retention of rights by or on behalf of 
the Government for Government purposes.
    (h) Joint inventions. (1) NASA and the recipient agree to use 
reasonable efforts to identify and report to each other any inventions 
made jointly between NASA employees (or employees of NASA support 
contractors) and employees of Recipient. For large businesses, the 
Associate General Counsel (Intellectual Property) may agree that the 
United States will refrain, for a specified period, from exercising its 
undivided interest in a manner inconsistent with the recipient's 
commercial interest. For small business firms and nonprofit 
organizations, the Associate General Counsel (Intellectual Property) may 
agree to assign or transfer whatever rights NASA may acquire in a 
subject invention from its employee to the recipient as authorized by 35 
U.S.C. 202(e). The agreement officer negotiating the agreement with 
small business firms and nonprofit organizations can agree, up front, 
that NASA will assign whatever rights it may acquire in a subject 
invention from its employee to the small business firm or nonprofit 
organization. Requests under this paragraph shall be made through the 
Center Patent Counsel.
    (2) NASA support contractors may be joint inventors. If a NASA 
support contractor employee is a joint inventor with a NASA employee, 
the same provisions apply as those for NASA support contractor 
inventions (see paragraph (g) of this section). The NASA support 
contractor will retain or obtain nonexclusive licenses to those 
inventions in which NASA obtains title. If a NASA support contractor 
employee is a joint inventor with a recipient employee, the NASA support 
contractor and recipient will become joint owners of those inventions in 
which they have elected to retain title or requested and have been 
granted waiver of title. Where the NASA support contractor has not 
elected to retain title or has not been granted waiver of title, NASA 
will jointly own the invention with the Recipient.
    (i) Licenses to recipient(s). (1) Any exclusive or partially 
exclusive commercial licenses are to be royalty-bearing consistent with 
Government-wide policy in licensing its inventions. It also provides an 
opportunity for royalty-sharing with the employee-inventor, consistent 
with Government-wide policy under the Federal Technology Transfer Act.
    (2) Upon application in compliance with 37 CFR Part 404--Licensing 
of Government Owned Inventions, all recipients shall be granted a 
revocable, nonexclusive, royalty-free license in each patent application 
filed in any country on a subject invention and any

[[Page 305]]

resulting patent in which the Government obtains title. Because 
cooperative agreements are cost sharing cooperative arrangements with a 
purpose of benefiting the public by improving the competitiveness of the 
recipient and the Government receives an irrevocable, nonexclusive, 
royalty-free license in each recipient subject invention, it is only 
equitable that the recipient receive, at a minimum, a revocable, 
nonexclusive, royalty-free license in NASA inventions and NASA 
contractor inventions where NASA has acquired title.
    (3) Once a recipient has exercised its option to apply for an 
exclusive or partially exclusive license, a notice, identifying the 
invention and the recipient, is published in the Federal Register, 
providing the public opportunity for filing written objections for 60 
days.
    (j) Preference for United States manufacture. Despite any other 
provision, the recipient agrees that any products embodying subject 
inventions or produced through the use of subject inventions shall be 
manufactured substantially in the United States. ``Manufactured 
substantially in the United States'' means the product must have over 50 
percent of its components manufactured in the United States. This 
requirement is met if the cost to the recipient of the components mined, 
produced, or manufactured in the United States exceeds 50 percent of the 
cost of all components required to make the product. In making this 
determination, only the product and its components shall be considered. 
The cost of each component includes transportation costs to the place of 
incorporation into the product and any applicable duty whether or not a 
duty-free entry certificate is issued. Components of foreign origin of 
the same class or kind for which determinations have been made in 
accordance with FAR 25.101(a) are treated as domestic. Scrap generated, 
collected, and prepared for processing in the United States is 
considered domestic. The intent of this provision is to support 
manufacturing jobs in the United States regardless of the status of the 
recipient as a domestic or foreign controlled company. However, in 
individual cases, the requirement to manufacture substantially in the 
United States, may be waived by the Assistant Administrator for 
Procurement (Code HS) upon a showing by the recipient that under the 
circumstances domestic manufacture is not commercially feasible.
    (k) Space Act agreements. Invention and patent rights in cooperative 
agreements must comply with statutory and regulatory provisions. Where 
circumstances permit, a Space Act Agreement is available as an 
alternative instrument which can be more flexible in the area of 
invention and patent rights.
    (l) Data rights. Data rights provisions can and should be tailored 
to best achieve the needs and objectives of the respective parties 
concerned.
    (1) The data rights clause at Sec.  1274.905 assumes a substantially 
equal cost sharing relationship where collaborative research, 
experimental, developmental, engineering, demonstration, or design 
activities are to be carried out, such that it is likely that 
``proprietary'' information will be developed and/or exchanged under the 
agreement. If cost sharing is unequal or no extensive research, 
experimental, developmental, engineering, demonstration, or design 
activities are likely, a different set of clauses may be appropriate.
    (2) The primary question that must be answered when developing data 
clauses is what does each party need or intend to do with the data 
developed under the agreement. Accordingly, the data rights clauses may 
be tailored to fit the circumstances. Where conflicting goals of the 
parties result in incompatible data provisions, agreement officers for 
the Government must recognize that private companies entering into 
cooperative agreements bring resources to that relationship and must be 
allowed to reap an appropriate benefit for the expenditure of those 
resources. However, since serving a public purpose is a major objective 
of a cooperative agreement, care must be exercised to ensure the 
recipient is not established as a long term sole source supplier of an 
item or service and is not in a position to take unfair advantage of the 
results of the cooperative agreement. Therefore, a reasonable time 
period (i.e., depending on the technology, two to five years after 
production of the data) may be established

[[Page 306]]

after which the data first produced by the recipient in the performance 
of the agreement will be made public.
    (3) Data can be generated from different sources and can have 
various restrictions placed on its dissemination. Recipient data 
furnished to NASA can exist prior to, or be produced outside of, the 
agreement or be produced under the agreement. NASA can also produce data 
in carrying out its responsibilities under the agreement. Each of these 
areas must be covered.
    (4) For data, including software, first produced by the recipient 
under the agreement, the recipient may assert copyright. Data exchanged 
with a notice showing that the data is protected by copyright must 
include appropriate licenses in order for NASA to use the data as 
needed.
    (5) Recognizing that the dissemination of the results of NASA's 
activities is a primary objective of a cooperative agreement, the 
parties should specifically delineate what results will be published and 
under what conditions. This should be set forth in the clause of the 
cooperative agreement entitled ``Publication and Reports: Non-
Proprietary Research Results.'' Any such agreement on the publication of 
results should be stated to take precedence over any other clause in the 
cooperative agreement.
    (6) Section 1274.905(b)(3) requires the recipient to provide NASA a 
government purpose license for data first produced by the Recipient that 
constitutes trade secrets or confidential business or financial 
information. NASA and the recipient shall determine the scope of this 
license at the time of award of the cooperative agreement. In addition 
to the purposes given as examples in Sec.  1274.905(b)(3), the license 
should provide NASA the right to use this data under a separate 
cooperative agreement or contract issued to a party other than the 
recipient for the purpose of continuing the project in the event the 
cooperative agreement is terminated by either party.
    (7) In accordance with section 303(b) of the Space Act, any data 
first produced by NASA under the agreement which embodies trade secrets 
or financial information that would be privileged or confidential if it 
had been obtained from a private participant, will be marked with an 
appropriate legend and maintained in confidence for an agreed to period 
of up to five years (the maximum allowed by law). This does not apply to 
data other than that for which there has been agreement regarding 
publication or distribution. The period of time during which data first 
produced by NASA is maintained in confidence should be consistent with 
the period of time determined in accordance with paragraph (h)(2) of 
this section, before which data first produced by the recipient will be 
made public. Also, NASA itself may use the marked data (under suitable 
protective conditions) for agreed-to purposes.



Sec.  1274.209  Evaluation and selection.

    (a) Factor development. The agreement officer, along with the NASA 
evaluation team has discretion to determine the relevant evaluation 
criteria based upon the project requirements, and the goals and 
objectives of the cooperative agreement.
    (b) Communications during non-competitive awards. For cooperative 
agreements awarded non-competitively (see Sec.  1274.202(b)), there are 
no restrictions on communications between NASA and the recipient. In 
addition, there is no requirement for the development and publication of 
formal evaluation or source selection criteria.
    (c) Communications during competitive awards. As discussed in Sec.  
1274.203(c), when a competitive source selection process will be 
followed to select the recipient, an appropriate level of care shall be 
taken by NASA personnel in order to protect the integrity of the source 
selection process. Therefore, upon release of the formal cooperative 
agreement notice (CAN), the agreement officer shall direct all 
procurement personnel associated with the source selection to refrain 
from communicating with prospective recipients and that all inquiries be 
referred to the agreement officer, or other authorized representative.
    (d) Selection factors and subfactors. (1) At a minimum, the 
selection process for the competitive award of cooperative agreements to 
commercial entities shall include evaluation of potential

[[Page 307]]

recipients' proposals for merit and relevance to NASA's mission 
requirements through their responses to the publication of NASA 
evaluation factors. The evaluation factors should include technical and 
management capabilities (mission suitability), past performance, and 
proposed costs (including proposed cost share).
    (2) For programs that may involve potentially hazardous operations 
related to flight, and/or mission critical ground systems, NASA's 
selection factors and subfactors shall provide for evaluation of the 
recipient's proposed approach to managing risk (e.g., technology being 
applied or developed, technical complexity, performance specifications 
and tolerances, delivery schedule, etc.).
    (3) As part of the evaluation process, the factors, subfactors, or 
other criteria should be tailored to properly address the requirements 
of the cooperative agreement.
    (e)(1) Prior to making a Federal award, agreement officers are 
required by 31 U.S.C. 3321 and 41 U.S.C. 2313 note, to review 
information available through any OMB-designated repositories of 
governmentwide eligibility qualification, currently the System of Award 
Management (SAM), or financial integrity information (currently Federal 
Awardee Performance and Integrity Information System (FAPIIS)), as 
appropriate. See also suspension and debarment requirements at 2 CFR 
part 180 as well as individual Federal agency suspension and debarment 
regulations in title 2 of the Code of Federal Regulations.
    (2) In accordance with 41 U.S.C. 2313, agreement officers are 
required to review the non-public segment of FAPIIS prior to making a 
Federal award where the Federal share is expected to exceed the 
simplified acquisition threshold, defined in 41 U.S.C. 134, over the 
period of performance. At a minimum, the information in the system for a 
prior Federal award recipient must demonstrate a satisfactory record of 
executing programs or activities under Federal grants, cooperative 
agreements, or procurement awards; and integrity and business ethics. 
NASA may make a Federal award to a recipient who does not fully meet 
these standards, if it is determined that the information is not 
relevant to the current Federal award under consideration or there are 
specific conditions that can appropriately mitigate the effects of the 
non-Federal entity's risk in accordance with 2 CFR 200.207, Specific 
conditions.
    (f) Other factors and subfactors. Other factors and subfactors may 
include--
    (1) The composition or appropriateness of the business relationship 
of proposed team members or consortium, articles of collaboration, 
participation of an appropriate mix of small business, veteran-owned 
small business, service-disabled veteran-owned small business, 
historically underutilized small business, small disadvantaged business, 
and women-owned business concerns, as well as non-profits and 
educational institutions, including historically black colleges and 
universities and minority institutions).
    (2) Other considerations may include enhancing U.S. competitiveness, 
developing a capability among U.S. firms, identification of potential 
markets, appropriateness of business risks.
    (g) Proposal evaluation. The proposals shall be evaluated in 
accordance with the criteria published in the CAN. Proposals selected 
for award will be supported by documentation as described in 
1274.211(b). When evaluation results in a proposal not being selected, 
the proposer will be notified in accordance with the CAN.
    (h) Technical evaluation. The technical evaluation of proposals may 
include peer reviews. Because the business sense of a cooperative 
agreement proposal is critical to its success, NASA may reserve the 
right to utilize appropriate outside evaluators to assist in the 
evaluation of such proposal elements as the business base projections, 
the market for proposed products, and/or the impact of anticipated 
product price reductions.
    (i) Cost/price evaluation. (1) Prior to award of a cooperative 
agreement, agreement officers shall ensure that proposed costs are 
accurate and reasonable. In order to do so, cost and pricing data may be 
required. The level of cost and pricing data to be requested shall be 
commensurate with the analysis

[[Page 308]]

necessary to reach agreement on overall proposed project costs. The 
evaluation of costs shall lead to the determination and verification of 
total project costs to be shared by NASA and the recipient, as well as 
establishment of NASA's milestone payment schedule based on its 50 
percent cost share. The guidance at FAR 15.4 and NFS 1815.4 can assist 
in determining whether cost and pricing data are necessary and the level 
of analysis required. While competition may be present (i.e., more than 
one proposal is received), in most cases companies are proposing 
competing technologies and varying approaches that reflect very 
different methods (and accompanying costs) to satisfy NASA's project 
objectives. Consequently, this type of competitive environment is very 
different from an environment where competitive proposals are submitted 
in response to a request for proposals leading to award of a contract 
for relatively well-defined program or project requirements.
    (2) During evaluation of the cost proposal, the agreement officer, 
along with other NASA evaluation team members and/or pricing support 
personnel, shall determine the reasonableness of the overall proposed 
project costs, including verifying the value of the recipient's proposed 
non-cash and in-kind contributions. Commitments should be obtained and 
verified to the extent practicable from the recipient or any associated 
team members, from which proposed contributions will be made.
    (3) If the recipient's proposed contributions include application of 
IR&D costs, see Sec.  1274.204(g).
    (j) Awards to foreign governments and firms. (1) An award may not be 
made to a foreign government. However, if selected as the best available 
source, an award may be made to a foreign firm. If a proposal is 
selected from a foreign firm sponsored by their respective government 
agency, or from entities considered quasi-governmental, approval must be 
obtained from Headquarters, Program Operations Division (Code HS). Such 
requests must include detailed rationale for the selection, to include 
the funding source of the foreign participant. The approval of the 
Assistant Administrator for Procurement is required to exclude foreign 
firms from submitting proposals. Award to a foreign firm shall be on a 
no-exchange-of-funds basis (see NPD 1360.2).
    (2) The Office of External Affairs (Code I), shall be notified prior 
to any announcement of intent to award to a foreign firm. Additionally, 
pursuant to section 126 of Pub. L. 106-391, as part of the evaluation of 
costs and benefits of entering into an obligation to conduct a space 
mission in which a foreign entity will participate as a supplier of the 
spacecraft, spacecraft system, or launch system, NASA shall solicit 
comment on the potential impact of such participation, through notice 
published in the FedBizOpps or NAIS.
    (k) Safe-guarding proposals. Competitive proposal information shall 
be protected in accordance with FAR 15.207, Handling proposals and 
information. Unsolicited proposals shall be protected in accordance with 
FAR 15.608, Prohibitions, and FAR 15.609, Limited use of data.
    (1) Evaluation team members, the source selection authority, and 
agreement officers are responsible for protecting sensitive information 
on the award of a grant or cooperative agreement and for determining who 
is authorized to receive such information. Sensitive information 
includes: information contained in proposals; information prepared for 
NASA's evaluation of proposals; the rankings of proposals for an award; 
reports and evaluations of source selection panels, boards, or advisory 
councils; and other information deemed sensitive by the source selection 
authority or by the agreement officer.
    (2) No sensitive information shall be disclosed to persons not on 
the evaluation team or evaluation panel, unless the Selecting Official 
or the agreement officer has approved disclosure based upon an 
unequivocal ``need-to-know'' and the individual receiving the 
information has signed a Non-Disclosure Certificate. All attendees at 
formal source selection presentations and briefings shall be required to 
sign an Attendance Roster and a Disclosure Certificate. The attendance 
rosters and certificates shall be maintained in official files for a 
minimum of six months after award.

[[Page 309]]

    (3) The improper disclosure of sensitive information could result in 
criminal prosecution or an adverse action.
    (l) Controls on the use of outside evaluators. The use of outside 
evaluators shall be approved in accordance with NFS 1815.207-70(b). A 
cover sheet with the following legend shall be affixed to data provided 
to outside evaluators:

                Government Notice for Handling Proposals

    This proposal shall be used and disclosed for evaluation purposes 
only, and a copy of this Government notice shall be applied to any 
reproduction or abstract thereof. Any authorized restrictive notices 
which the submitter places on this proposal shall also be strictly 
complied with.
    (m) Printing, binding, and duplicating. Proposals for efforts that 
involve printing, binding, and duplicating in excess of 25,000 pages are 
subject to the regulations of the Congressional Joint Committee on 
Printing. The technical office will refer such proposals to the 
Installation Central Printing Management Officer (ICPMO) to ensure 
compliance with NPD 1490.1. The Agreement Officer will be advised in 
writing of the results of the ICPMO review.

[67 FR 45790, July 10, 2002, as amended at 81 FR 35584, June 3, 2016]



Sec.  1274.210  Unsolicited proposals.

    (a) For a proposal to be considered a valid unsolicited proposal, 
the submission must--
    (1) Be innovative and unique;
    (2) Be independently originated and developed by the recipient;
    (3) Be prepared without Government supervision, endorsement, 
direction or direct Government involvement;
    (4) Include sufficient technical and cost detail to permit a 
determination that Government support could be worthwhile and the 
proposed work could benefit the agency's research and development or 
other mission responsibilities; and
    (5) Not be an advance proposal for a known agency requirement that 
can be acquired by competitive methods.
    (b) For each unsolicited proposal selected for award, the cognizant 
technical office will prepare and furnish to the Agreement Officer, a 
justification for acceptance of an unsolicited proposal (JAUP). The JAUP 
shall be submitted for the approval of the agreement officer after 
review and concurrence at a level above the technical officer. The 
evaluator shall consider the following factors, in addition to any 
others appropriate for the particular proposal:
    (1) Unique and innovative methods, approaches or concepts 
demonstrated by the proposal.
    (2) Overall scientific or technical merits of the proposal.
    (3) The offeror's capabilities, related experience, facilities, 
techniques, or unique combinations of these which are integral factors 
for achieving the proposal objectives.
    (4) The qualifications, capabilities, and experience of the proposed 
key personnel who are critical in achieving the proposal objectives.
    (5) Current, open solicitations under which the unsolicited proposal 
could be evaluated.
    (c) Unsolicited proposals shall be handled in accordance with NFS 
1815.606, ``Agency Procedures''.
    (d) Unsolicited proposals from foreign sources are subject to NPD 
1360.2, ``Development of International Cooperation in Space and 
Aeronautics Programs''.
    (e) There is no requirement for a public announcement of the award 
of a cooperative agreement. In addition, there is no requirement for 
announcement of awards resulting from unsolicited proposals. However, in 
those instances where a public announcement is planned and the award is 
the result of an unsolicited proposal, in addition to the requirements 
of NFS 1805.303-71(a)(3), NASA personnel must take measures that ensure 
protection of the data and intellectual property rights of submitters of 
unsolicited proposals as provided by FAR 5.202(a)(8).
    (f) Additional information regarding unsolicited proposals is 
available in the handbook entitled, ``Guidance for the Preparation and 
Submission of Unsolicited Proposals'', which is available on the NASA 
Acquisition Internet Service Website at: http://

[[Page 310]]

ec.msfc.nasa.gov/hq/library/unSol-Prop.html.



Sec.  1274.211  Award procedures.

    (a) In accordance with NFS 1805.303-71, the NASA Administrator shall 
be notified at least three (3) workdays before a planned public 
announcement for award of a cooperative agreement (regardless of dollar 
value), if it is thought the agreement may be of significant interest to 
Headquarters.
    (b) For awards that are the result of a competitive source 
selection, the technical officer will prepare and furnish to the 
agreement officer a signed selection statement based on the selection 
criteria stated in the solicitation.
    (1) Bilateral award. All cooperative agreements shall be awarded on 
a bilateral basis.
    (2) Consortium awards. If the cooperative agreement is to be awarded 
to a consortium, a completed, formally executed Articles of 
Collaboration is required prior to award.
    (c) System for Award Management (SAM) Prior to implementation of the 
Integrated Financial Management (IFM) System at each center, all grant 
and cooperative agreement recipients are required to register in the 
System for Award Management database. Registration is required in order 
to obtain a Commercial and Government Entity (CAGE) code, which will be 
used as a grant and cooperative agreement identification number for the 
new system. The agreement officer shall verify that the prospective 
awardee is registered in the SAM database using the DUNS number or, if 
applicable, the DUNS+4 number, via the Internet at https://www.sam.gov.
    (d) Certifications, Disclosures, and Assurances. (1) Agreement 
officers are required to ensure that all necessary certifications, 
disclosures, and assurances have been obtained prior to awarding a 
cooperative agreement.
    (2) Each new proposal shall include a certification for debarment 
and suspension under the requirements of 2 CFR 180.510 and 1260.117.
    (3) Each new proposal for an award exceeding $100,000 shall include 
a certification, and a disclosure form (SF LLL) if required, on Lobbying 
under the requirements of 14 CFR 1271.110 and 1260.117.
    (4) Unless a copy is on file at the NASA center, recipients must 
furnish an assurance on NASA Form (NF) 1206 on compliance with Civil 
Rights statutes specified in 14 CFR parts 1250 through 1253.
    (5) The non-Federal entity or applicant for a Federal award must 
disclose, in a timely manner, in writing to the assigned agreement 
officer or pass-through entity all violations of Federal criminal law 
involving fraud, bribery, or gratuity violations potentially affecting 
the Federal award. Non-Federal entities that have received a Federal 
award including the term and condition outlined in Appendix XII--Award 
Term and Condition for Recipient Integrity and Performance Matters are 
required to report certain civil, criminal, or administrative 
proceedings to SAM. Failure to make required disclosures can result in 
any of the remedies described in Sec.  200.338 Remedies for 
noncompliance, including suspension or debarment. (See also 2 CFR part 
180, 31 U.S.C. 3321, and 41 U.S.C. 2313.)

[67 FR 45790, July 10, 2002, as amended at 71 FR 62210, Oct. 24, 2006; 
72 FR 19785, Apr. 20, 2007; 81 FR 35584, June 3, 2016]



Sec.  1274.212  Award information.

    (a) Formats. Agreement officers shall use NF 1687A (available via 
the Internet at https://extranet.hq.nasa.gov/nef/user/form_search.cfm), 
with minimum modification, as the standard cooperative agreement cover 
page for the award of all cooperative agreements.
    (b) Cooperative agreement numbering system. Cooperative agreement 
numbering may be changed once the Integrated Financial Management (IFM) 
is implemented. Until IFM is implemented, cooperative agreement 
numbering shall conform to NFS 1804.7102, except that a NCC prefix will 
be used in lieu of the NAS prefix. Along with the prefix NCC, a one or 
two digit Center Identification Number, and a sequence number of up to 
five digits will be used. Inclusive of the prefix and fiscal year, the 
total number of characters, digits, and spaces cannot exceed 11.
    (c) Recipient integrity and performance matters. If the total 
Federal share of the Federal award is more than $500,000

[[Page 311]]

over the period of performance, agreement officers must include the 
terms and conditions in Sec.  1274.944 of this chapter.

[67 FR 45790, July 10, 2002, as amended at 81 FR 35584, June 3, 2016]



Sec.  1274.213  Distribution of cooperative agreements.

    Copies of cooperative agreements and modifications will be provided 
to: payment office, technical officer, administrative agreement officer 
when delegation has been made (particularly when administrative 
functions are delegated to DOD or another agency), NASA Center for 
Aerospace Information (CASI), Attn: Document Processing Section, 7121 
Standard Drive, Hanover, MD 21076, and any other appropriate recipient. 
Copies of the statement of work, contained in the recipient's proposal 
and accepted by NASA, will be provided to the administrative agreement 
officer and CASI. The cooperative agreement file will contain a record 
of the addresses for distributing agreements and supplements.



Sec.  1274.214  Inquiries and release of information.

    NASA personnel shall follow the procedures established in NFS 
1805.402 prior to releasing information to the news media or the general 
public. The procedures established by NFS 1805.403 shall be followed 
when responding to inquiries from members of Congress.



Sec.  1274.215  Federal and federally funded construction projects.

    (a) In accordance with E.O. 13202 of February 17, 2001, 
``Preservation of Open Competition and Government Neutrality Towards 
Government Contractors' Labor Relations on Federal and Federally Funded 
Construction Projects'', as amended on April 6, 2001, the Government, or 
any construction manager acting on behalf of the Government, shall not--
    (1) Require or prohibit recipients, potential recipients or 
subrecipients to enter into or adhere to agreements with one or more 
labor organizations (as defined in 42 U.S.C. 2000e(d)) on the same or 
other related construction projects; or
    (2) Otherwise discriminate against recipients, potential recipients 
or subrecipients for becoming, refusing to become, or remaining 
signatories or otherwise adhering to agreements with one or more 
organizations, on the same or other related construction projects.
    (b) Nothing in this section prohibits the recipient, potential 
recipients or subrecipients from voluntarily entering into project labor 
agreements.
    (c) The Assistant Administrator for Procurement may exempt a 
construction project from this policy if, as of February 17, 2001--
    (1) The agency or a construction manager acting on behalf of the 
Government had issued or was party to bid specifications, project 
agreements, agreements with one or more labor organizations, or other 
controlling documents with respect to that particular project, which 
contained any of the requirements or prohibitions in paragraph (d)(1) of 
this section; and
    (2) One or more construction contracts (includes any contract 
awarded by the recipient) subject to such requirements or prohibitions 
had been awarded.
    (d) The Assistant Administrator for Procurement may exempt a 
particular project, contract, or subcontract from this policy upon a 
finding that special circumstances require an exemption in order to 
avert an imminent threat to public health or safety, or to serve the 
national security. A finding of ``special circumstances'' may not be 
based on the possibility or presence of a labor dispute concerning the 
use of contractors or subcontractors who are nonsignatories to, or 
otherwise do not adhere to, agreements with one or more labor 
organizations, or concerning employees on the project who are not 
members of, or affiliated with, a labor organization.

[67 FR 77668, Dec. 19, 2002]



                      Subpart 1274.3_Administration



Sec.  1274.301  Delegation of administration.

    Cooperative agreements may be administered by the awarding activity 
or the awarding activity may obtain additional administration services 
in accordance with the procedures provided by NFS 1842.202. NASA Form 
1678,

[[Page 312]]

NASA Technical Officer Delegation for Cooperative Agreements with 
Commercial Firms, will be used to delegate responsibilities to the NASA 
Technical Officer.



Sec.  1274.302  Transfers, novations, and change of name agreements.

    (a) Transfer of cooperative agreements. Novation is the only means 
by which a cooperative agreement may be transferred from one recipient 
to another.
    (b) Novation and change of name. NASA legal counsel shall review, 
for legal sufficiency, all novation agreements or change of name 
agreements of the recipient, prior to formal execution by the agreement 
officer.



Sec.  1274.303  Public access to Federal award information.

    (a) In accordance with statutory requirements for Federal spending 
transparency (e.g., FFATA), except as noted in this section, for 
applicable Federal awards NASA must announce all Federal awards publicly 
and publish the required information at www.USAspending.gov.
    (b) All information posted in FAPIIS, accessible through SAM, on or 
after April 15, 2011 will be publicly available after a waiting period 
of 14 calendar days, except for--
    (1) Past performance reviews required by Federal Government 
contractors in accordance with the Federal Acquisition Regulation (FAR) 
42.15;
    (2) Information that was entered prior to April 15, 2011; or
    (3) Information that is withdrawn during the 14-calendar day waiting 
period by the Federal Government official.
    (c) Nothing in this section may be construed as requiring the 
publication of information otherwise exempt under the Freedom of 
Information Act (5 U.S.C. 552), or controlled unclassified information 
pursuant to Executive Order 13556.

[81 FR 35584, June 3, 2016]



Sec.  1274.304  Reporting a determination that a non-Federal entity
is not qualified for a Federal award.

    (a) If NASA does not make a Federal award to a non-Federal entity 
because the agreement officer determines that the non-Federal entity 
does not meet either or both of the minimum qualification standards, as 
described in paragraph (a)(2) of 2 CFR 200.205, the agreement officer 
must report that determination in FAPIIS, accessible through SAM, only 
if all of the following apply:
    (1) The only basis for the determination described in paragraph (a) 
of this section is the non-Federal entity's prior record of executing 
programs or activities under Federal awards or its record of integrity 
and business ethics, as described in paragraph (a)(2) of 2 CFR 200.205, 
(i.e., the entity was determined to be qualified based on all factors 
other than those two standards); and
    (2) The total Federal share of the Federal award that otherwise 
would be made to the non-Federal entity is expected to exceed the 
simplified acquisition threshold over the period of performance.
    (b) Agreement officers are not required to report a determination 
that a non-Federal entity is not qualified for a Federal award if they 
make the Federal award to the non-Federal entity and includes specific 
award terms and conditions (see Sec.  1274.209).
    (c) If the agreement officer reports a determination that a non-
Federal entity is not qualified for a Federal award, as described in 
paragraph (a) of this section, the agreement officer also must notify 
the non-Federal entity that--
    (1) The determination was made and reported to FAPIIS, accessible 
through SAM, and include with the notification an explanation of the 
basis for the determination;
    (2) The information will be kept in the system for a period of five 
years from the date of the determination, as required by section 872 of 
Public Law 110-417, as amended (41 U.S.C. 2313), then archived;
    (3) Agreement officers making a Federal award to the non-Federal 
entity during that five year period must consider the information found 
in FAPIIS when judging whether the non-Federal entity is qualified to 
receive the Federal award when the total Federal share of the Federal 
award is expected

[[Page 313]]

to include an amount of Federal funding in excess of the simplified 
acquisition threshold over the period of performance of the award;
    (4) The non-Federal entity may go to the awardee integrity and 
performance portal accessible through SAM (currently the Contractor 
Performance Assessment Reporting System (CPARS)) and comment on any 
information the system contains about the non-Federal entity itself; and
    (5) Agreement officers will consider that non-Federal entity's 
comments in determining whether the non-Federal entity is qualified for 
a future Federal award.
    (d) If the agreement officer enters information into FAPIIS about a 
determination that a non-Federal entity is not qualified for a Federal 
award and subsequently--
    (1) Learns that any of that information is erroneous, the agreement 
officer must correct the information in the system within three business 
days; and
    (2) Obtains an update to that information that could be helpful to 
other Federal awarding agencies, the agreement officer is strongly 
encouraged to amend the information in the system to incorporate the 
update in a timely way.
    (e) The agreement officer shall not post any information that will 
be made publicly available in the non-public segment of designated 
integrity and performance system that is covered by a disclosure 
exemption under the Freedom of Information Act. If the recipient asserts 
within seven calendar days to NASA that some or all of the information 
made publicly available is covered by a disclosure exemption under the 
Freedom of Information Act, agreement officers must remove the posting 
within seven calendar days of receiving the assertion. Prior to 
reposting the releasable information, agreement officers must resolve 
the issue in accordance with the agency's Freedom of Information Act 
procedures.

[81 FR 35584, June 3, 2016]



                         Subpart 1274.4_Property



Sec.  1274.401  Government furnished property.

    Property or equipment owned by the Government that will be used in 
the performance of a cooperative agreement shall be included as part of 
the Government's percentage (usually 50 percent) of shared costs. In 
most cases the property or equipment will be categorized as non-cash 
contributions. Agreement officers may use the procedures promulgated by 
FAR Subpart 45.2, as guidelines to calculate the value of the property 
or equipment.



Sec.  1274.402  Contractor acquired property.

    As provided in Sec.  1274.923(c), title to property acquired with 
government funds vests in the government. Under a cost shared 
cooperative agreement, joint ownership of property equal to the cost-
sharing ratio will result if the parties make no specific arrangements 
regarding such property. The disposition of acquired property should be 
addressed in the cooperative agreement at the time of award. The 
cooperative agreement may provide that all such property be contributed 
by the recipient as a non-cash contribution. A reasonable dollar value 
must be specified and adequately supported. In this case, title will 
vest in the recipient. Alternatively, NASA and the recipient may include 
in the cooperative agreement any other appropriate arrangement for the 
disposition of acquired property upon completion of the effort.



                  Subpart 1274.5_Procurement Standards



Sec.  1274.501  Purpose of procurement standards.

    (a) The procurement standards stated in Sec. Sec.  1274.502 through 
1274.510, may not apply to or may supplement the procedures of a 
commercial recipient that has a purchasing system approved in accordance 
with the requirements of FAR Subpart 44.3 and NFS 1844.3.
    (b) Sections 1274.502 through 1274.510 set forth standards for use 
by recipients in establishing procedures for the procurement of supplies 
and other expendable property, equipment, real

[[Page 314]]

property and other services with Federal funds. These standards are 
furnished to ensure that such materials and services are obtained in an 
effective manner and in compliance with the provisions of applicable 
Federal statutes and executive orders.



Sec.  1274.502  Recipient responsibilities.

    The standards contained in this section do not relieve the recipient 
of the contractual responsibilities arising under its contract(s). The 
recipient is the responsible authority, without recourse to NASA, 
regarding the settlement and satisfaction of all contractual and 
administrative issues arising out of procurements entered into in 
support of an award or other agreement. This includes disputes, claims, 
protests of award, source evaluation or other matters of a contractual 
nature. Matters concerning violation of statute are to be referred to 
such Federal, State or local authority as may have proper jurisdiction.



Sec.  1274.503  Codes of conduct.

    The recipient shall maintain written standards of conduct governing 
the performance of its employees engaged in the award and administration 
of contracts. No employee, officer, or agent shall participate in the 
selection, award, or administration of a contract supported by Federal 
funds if a real or apparent conflict of interest would be involved. Such 
a conflict would arise when the employee, officer, or agent, any member 
of his or her immediate family, his or her partner, or an organization 
which employs or is about to employ any of the parties indicated herein, 
has a financial or other interest in the firm selected for an award. The 
officers, employees, and agents of the recipient shall neither solicit 
nor accept gratuities, favors, or anything of monetary value from 
contractors, or parties to subagreements. However, recipients may set 
standards for situations in which the financial interest is not 
substantial or the gift is an unsolicited item of nominal value. The 
standards of conduct shall provide for disciplinary actions to be 
applied for violations of such standards by officers, employees, or 
agents of the recipient.



Sec.  1274.504  Competition.

    All procurement transactions shall be conducted in a manner to 
provide, to the maximum extent practical, open and free competition. The 
recipient shall be alert to organizational conflicts of interest as well 
as noncompetitive practices among contractors that may restrict or 
eliminate competition or otherwise restrain trade. In order to ensure 
objective contractor performance and eliminate unfair competitive 
advantage, contractors that develop or draft specifications, 
requirements, statements of work, invitations for bids and/or requests 
for proposals shall normally be excluded from competing for such 
procurements, unless conflicts or apparent conflicts of interest issues 
have been resolved. Awards shall be made to the bidder or offeror whose 
bid or offer is responsive to the solicitation and is most advantageous 
to the recipient, price, quality and other factors considered. 
Solicitations shall clearly set forth all requirements that the bidder 
or offeror shall fulfill in order for the bid or offer to be evaluated 
by the recipient. Any and all bids or offers may be rejected when it is 
in the recipient's interest to do so.



Sec.  1274.505  Procurement procedures.

    (a) All recipients shall establish written procurement procedures. 
These procedures shall provide at a minimum, that the conditions in 
paragraphs (a)(1), (2) and (3) of this section apply.
    (1) Recipients avoid purchasing unnecessary items.
    (2) Where appropriate, an analysis is made of lease and purchase 
alternatives to determine which would be the most economical and 
practical procurement for the Federal Government.
    (3) Solicitations for goods and services provide for all of the 
following:
    (i) A clear and accurate description of the technical requirements 
for the material, product or service to be procured. In competitive 
procurements, such a description shall not contain features that unduly 
restrict competition.
    (ii) Requirements that the bidder/offeror must fulfill and all other 
factors to be used in evaluating bids or proposals.

[[Page 315]]

    (iii) A description, whenever practicable, of technical requirements 
in terms of functions to be performed or performance required, including 
the range of acceptable characteristics or minimum acceptable standards.
    (iv) The specific features of ``brand name or equal'' descriptions 
that bidders are required to meet when such items are included in the 
solicitation.
    (v) The acceptance, to the extent practicable and economically 
feasible, of products and services dimensioned in the metric system of 
measurement.
    (vi) Preference, to the extent practicable and economically 
feasible, for products and services that conserve natural resources and 
protect the environment and are energy efficient.
    (b) Positive efforts shall be made by recipients to utilize small 
business, veteran-owned small business, service-disabled veteran-owned 
small business, historically underutilized small business, small 
disadvantaged business, women-owned business concerns, Historically 
Black Colleges and Universities, and minority educational institutions 
as subcontractors to the maximum extent practicable. Recipients of NASA 
awards shall take all of the following steps to further this goal.
    (1) Make information on forthcoming opportunities available and 
arrange time frames for purchases and contracts.
    (2) Consider in the contract process whether firms competing for 
larger contracts intend to subcontract with these businesses and 
institutions.
    (3) Encourage contracting with consortiums or teams of these 
businesses and institutions when a contract is too large for one of 
these firms to handle individually.
    (4) Use the services and assistance, as appropriate, of such 
organizations as the Small Business Administration and the Department of 
Commerce's Minority Business Development Agency in the solicitation and 
utilization of small businesses, minority-owned firms and women's 
business enterprises.
    (c) The type of procuring instruments used (e.g., fixed price 
contracts, cost reimbursable contracts, purchase orders, and incentive 
contracts) shall be determined by the recipient but shall be appropriate 
for the particular procurement and for promoting the best interest of 
the program or project involved. The ``cost-plus-a-percentage-of-cost'' 
or ``percentage of construction cost'' methods of contracting shall not 
be used.
    (d) Contracts shall be made only with responsible contractors who 
possess the potential ability to perform successfully under the terms 
and conditions of the proposed procurement. Consideration shall be given 
to such matters as contractor integrity, record of past performance, 
financial and technical resources or accessibility to other necessary 
resources. In certain circumstances, contracts with certain parties are 
restricted by 2 CFR part 180, the implementation of Executive Orders 
12549 and 12689, ``Debarment and Suspension.''
    (e) Recipients shall, on request, make available for NASA, pre-award 
review and procurement documents, such as request for proposals or 
invitations for bids, independent cost estimates, etc., when any of the 
following conditions apply:
    (1) A recipient's procurement procedures or operation fails to 
comply with the procurement standards in NASA's implementation of this 
subpart.
    (2) The procurement is expected to exceed the simplified acquisition 
threshold and is to be awarded without competition or only one bid or 
offer is received in response to a solicitation.
    (3) The procurement, which is expected to exceed the simplified 
acquisition threshold, specifies a ``brand name'' product.
    (4) The proposed award over the simplified acquisition threshold is 
to be awarded to other than the apparent low bidder under a sealed bid 
procurement.
    (5) A proposed contract modification changes the scope of a contract 
or increases the contract amount by more than the amount of the 
simplified acquisition threshold.

[67 FR 45790, July 10, 2002, as amended at 72 FR 19785, Apr. 20, 2007]



Sec.  1274.506  Cost and price analysis.

    Some form of cost or price analysis shall be made and documented in 
the procurement files in connection with

[[Page 316]]

every procurement action. Price analysis may be accomplished in various 
ways, including the comparison of price quotations submitted, market 
prices and similar indicies, together with discounts. Cost analysis is 
the review and evaluation of each element of cost to determine 
reasonableness, allocability and allowability.



Sec.  1274.507  Procurement records.

    Procurement records and files for purchases in excess of the 
simplified acquisition threshold shall include the following at a 
minimum:
    (a) Basis for contractor selection.
    (b) Justification for lack of competition when competitive bids or 
offers are not obtained.
    (c) Basis for award cost or price.



Sec.  1274.508  Contract administration.

    A system for contract administration shall be maintained to ensure 
contractor conformance with the terms, conditions and specifications of 
the contract and to ensure adequate and timely follow-up of all 
purchases. Recipients shall evaluate contractor performance and 
document, as appropriate, whether contractors have met the terms, 
conditions and specifications of the contract.



Sec.  1274.509  Contract provisions.

    The recipient shall include, in addition to provisions to define a 
sound and complete agreement, the following provisions in all contracts. 
The following provisions shall also be applied to subcontracts:
    (a) Contracts in excess of the simplified acquisition threshold 
(currently $100,000) shall contain contractual provisions or conditions 
that allow for administrative, contractual, or legal remedies in 
instances in which a contractor violates or breaches the contract terms, 
and provide for such remedial actions as may be appropriate.
    (b) All contracts in excess of the simplified acquisition threshold 
shall contain suitable provisions for termination by the recipient, 
including the manner by which termination shall be effected and the 
basis for settlement. In addition, such contracts shall describe 
conditions under which the contract may be terminated for default as 
well as conditions where the contract may be terminated because of 
circumstances beyond the control of the contractor.
    (c) All negotiated contracts (except those for less than the 
simplified acquisition threshold) awarded by recipients shall include a 
provision to the effect that the recipient, NASA, the Comptroller 
General of the United States, or any of their duly authorized 
representatives, shall have access to any books, documents, papers and 
records of the contractor which are directly pertinent to a specific 
program for the purpose of making audits, examinations, excerpts and 
transcriptions.
    (d) For Construction and facility improvements, except as otherwise 
required by statute, an award that requires the contracting (or 
subcontracting) for construction or facility improvements shall provide 
for the recipient to follow its own requirements relating to bid 
guarantees, performance bonds, and payment bonds unless the construction 
contract or subcontract exceeds $100,000. For those contracts or 
subcontracts exceeding $100,000, NASA may accept the bonding policy and 
requirements of the recipient, provided NASA has made a determination 
that the Federal Government's interest is adequately protected. If such 
a determination has not been made, the minimum requirements shall be as 
follows:
    (1) A bid guarantee from each bidder equivalent to five percent of 
the bid price. The ``bid guarantee'' shall consist of a firm commitment 
such as a bid bond, certified check, or other negotiable instrument 
accompanying a bid as assurance that the bidder shall, upon acceptance 
of his bid, execute such contractual documents as may be required within 
the time specified.
    (2) A performance bond on the part of the contractor for 100 percent 
of the contract price. A ``performance bond'' is one executed in 
connection with a contract to secure fulfillment of all the contractor's 
obligations under such contract.
    (3) A payment bond on the part of the contractor for 100 percent of 
the contract price. A ``payment bond'' is one executed in connection 
with a contract

[[Page 317]]

to assure payment as required by statute of all persons supplying labor 
and material in the execution of the work provided for in the contract.
    (4) Where bonds are required in the situations described in this 
section, the bonds shall be obtained from companies holding certificates 
of authority as acceptable sureties pursuant to 31 CFR part 223, 
``Surety companies doing business with the United States.''



Sec.  1274.510  Subcontracts.

    Recipients (individual firms or consortia) are not authorized to 
issue grants or cooperative agreements to subrecipients. All entities 
that are involved in performing the research and development effort that 
is the purpose of the cooperative agreement shall be part of the 
recipient's consortium and not subcontractors. All contracts, including 
small purchases, awarded by recipients and their contractors shall 
contain the procurement provisions of Exhibit A to this part, as 
applicable and may be subject to approval requirements cited in Sec.  
1274.925.



                   Subpart 1274.6_Reports and Records



Sec.  1274.601  Retention and access requirements for records.

    (a) This subpart sets forth requirements for record retention and 
access to records for awards to recipients.
    (b) Financial records, supporting documents, statistical records, 
and all other records pertinent to an award shall be retained for a 
period of three years from the date of submission of the final invoice. 
The only exceptions are the following:
    (1) If any litigation, claim, or audit is started before the 
expiration of the 3-year period, the records shall be retained until all 
litigation, claims or audit findings involving the records have been 
resolved and final action taken.
    (2) Records for real property and equipment acquired with Federal 
funds shall be retained for 3 years after final disposition.
    (3) When records are transferred to or maintained by NASA, the 3-
year retention requirement is not applicable to the Recipient.
    (4) Indirect cost rate proposals, cost allocations plans, etc., as 
specified in paragraph (g) of this section.
    (c) Copies of original records may be substituted for the original 
records if authorized by NASA.
    (d) NASA shall request transfer of certain records to its custody 
from recipients when it determines that the records possess long term 
retention value. However, in order to avoid duplicate record keeping, 
NASA may make arrangements for recipients to retain any records that are 
continuously needed for joint use.
    (e) NASA, the Inspector General, Comptroller General of the United 
States, or any of their duly authorized representatives, have the right 
of timely and unrestricted access to any books, documents, papers, or 
other records of Recipients that are pertinent to the awards, in order 
to make audits, examinations, excerpts, transcripts and copies of such 
documents. This right also includes timely and reasonable access to a 
recipient's personnel for the purpose of interview and discussion 
related to such documents. The rights of access in this paragraph are 
not limited to the required retention period, but shall last as long as 
records are retained.
    (f) Unless required by statute, NASA shall not place restrictions on 
recipients that limit public access to the records of recipients that 
are pertinent to an award, except when NASA can demonstrate that such 
records shall be kept confidential and would have been exempted from 
disclosure pursuant to the Freedom of Information Act (5 U.S.C. 552) if 
the records had belonged to NASA.
    (g) Indirect cost rate proposals, cost allocations plans, etc., 
applies to the following types of documents, and their supporting 
records: indirect cost rate computations or proposals, cost allocation 
plans, and any similar accounting computations of the rate at which a 
particular group of costs is chargeable (such as computer usage 
chargeback rates or composite fringe benefit rates).
    (1) If submitted for negotiation. If the recipient submits to NASA 
or the subrecipient submits to the recipient the proposal, plan, or 
other computation to

[[Page 318]]

form the basis for negotiation of the rate, then the 3-year retention 
period for its supporting records starts on the date of such submission.
    (2) If not submitted for negotiation. If the recipient is not 
required to submit to NASA or the subrecipient is not required to submit 
to the recipient the proposal, plan, or other computation for 
negotiation purposes, then the 3-year retention period for the proposal, 
plan, or other computation and its supporting records starts at the end 
of the fiscal year (or other accounting period) covered by the proposal, 
plan, or other computation.



                Subpart 1274.7_Suspension or Termination



Sec.  1274.701  Suspension or termination.

    (a) Suspension. NASA or the recipient may suspend the cooperative 
agreement for a mutually agreeable period of time, if an assessment is 
required to determine whether the agreement should be terminated.
    (b) Termination. (1) A cooperative agreement provides both NASA and 
the recipient the ability to terminate the Agreement if it is in their 
best interests to do so, by giving the other party prior written notice. 
Upon receipt of a notice of termination, the receiving party shall take 
immediate steps to stop the accrual of any additional obligations, which 
might require payment.
    (2) NASA may, for example, terminate the Agreement if the recipient 
is not making anticipated technical progress, if the recipient 
materially changes the objectives of the agreement, or if appropriated 
funds are not available to support the program.
    (3) Similarly, the recipient may terminate the agreement if, for 
example, technical progress is not being made, if the commercial 
recipient shifts its technical emphasis, or if other technological 
advances have made the effort obsolete.
    (4) If the cooperative agreement is terminated by either NASA or the 
recipient and NASA elects to continue the project with a party other 
than the recipient, the right of the government to use data first 
produced by either NASA or the recipient in the performance of this 
agreement is covered by 1274.905(b). See Sec.  1274.208(l)(6) to assure 
that appropriate language is contained in Sec.  1274.905(b).
    (5) When NASA terminates a Federal award prior to the end of the 
period of performance due to the non-Federal entity's material failure 
to comply with the Federal award terms and conditions, NASA must report 
the termination in FAPIIS.
    (6) The information required under paragraph (b) of this section is 
not to be reported to designated integrity and performance system until 
the non-Federal entity either--
    (i) Has exhausted its opportunities to object or challenge the 
decision, see Sec.  200.341 Opportunities to object, hearings and 
appeals; or
    (ii) Has not, within 30 calendar days after being notified of the 
termination, informed the agreement officer that it intends to appeal 
the decision to terminate.
    (7) If the agreement officer, after entering information into FAPIIS 
about a termination, subsequently:
    (i) Learns that any of that information is erroneous, the agreement 
officer must correct the information in the system within three business 
days;
    (ii) Obtains an update to that information that could be helpful to 
other Federal awarding agencies, the agreement officer is strongly 
encouraged to amend the information in the system to incorporate the 
update in a timely way.
    (8) Agreement officers shall not post any information that will be 
made publicly available in the non-public segment of designated 
integrity and performance system that is covered by a disclosure 
exemption under the Freedom of Information Act. If the non-Federal 
entity asserts within seven calendar days to the Federal awarding agency 
who posted the information that some of the information made publicly 
available is covered by a disclosure exemption under the Freedom of 
Information Act, agreement officers must remove the posting within seven 
calendar days of receiving the assertion. Prior to reposting the 
releasable information, agreement officers must resolve the issue in 
accordance with the agency's Freedom of Information Act procedures.

[[Page 319]]

    (c) When a Federal award is terminated or partially terminated, both 
NASA or the pass-through entity and the non-Federal entity remain 
responsible for compliance with the closeout and post-closeout 
requirements and continuing responsibilities.
    (d) Notification of termination requirement. If the Federal award is 
terminated for the non-Federal entity's material failure to comply with 
the Federal statutes, regulations, or terms and conditions of the 
Federal award, the notification must state that--
    (1) The termination decision will be reported in FAPIIS, accessible 
through SAM;
    (2) The information will be available in FAPIIS for a period of five 
years from the date of the termination, then archived;
    (3) When considering making a Federal award to the non-Federal 
entity during that five year period, NASA must consider that information 
in judging whether the non-Federal entity is qualified to receive the 
Federal award, when the Federal share of the Federal award is expected 
to exceed the simplified acquisition threshold over the period of 
performance;
    (4) The non-Federal entity may comment on any information that the 
OMB-designated integrity and performance system contains about the non-
Federal entity for future consideration by NASA. The non-Federal entity 
may submit comments to the awardee integrity and performance portal 
accessible through SAM (currently (CPARS).
    (5) Agreement officers will consider non-Federal entity comments 
when determining whether the non-Federal entity is qualified for a 
future Federal award.

[67 FR 45790, July 10, 2002, as amended at 81 FR 35585, June 3, 2016]



          Subpart 1274.8_Post-Award/Administrative Requirements



Sec.  1274.801  Adjustments to performance costs.

    In order to accomplish program objectives, there may be occasions 
where additional contributions (cash and/or in-kind contributions) by 
NASA and the recipient beyond the initial agreement may be needed. There 
may also be occasions where actual costs of NASA and the recipient may 
be less than initially agreed. In cases where program costs are 
adjusted, prior to execution of a modification to the agreement, mutual 
agreement between NASA and the recipient shall also be reached on the 
corresponding changes in program requirements such as schedule, work 
statements and milestone payments. Funding for any work required beyond 
the initial funding level of the cooperative agreement, shall require 
submission by the recipient of a detailed proposal to the agreement 
officer. Prior to execution of a modification increasing NASA's initial 
cost share or funding levels, detailed cost analysis techniques may be 
applied, which may include requests for audits services and/or 
application of other pricing support techniques. Any adjustments or 
modifications that result in a change to the performance costs of the 
cooperative agreement shall continue to maintain the share ratio 
requirements (normally 50/50) stated in Sec.  1274.204(b).



Sec.  1274.802  Modifications.

    Modifications to the cooperative agreement in particular, 
modifications that affect funding, milestone payments, program schedule 
and statement of work requirements shall be executed on a bilateral 
basis.



Sec.  1274.803  Suspension and Debarment.

    Non-federal entities are subject to the non-procurement debarment 
and suspension regulations implementing Executive Orders 12549 and 
12689, 2 CFR part 180, adopted by NASA at 2 CFR part 1880. These 
regulations restrict awards, subawards, and contracts with certain 
parties that are debarred, suspended, or otherwise excluded from or 
ineligible for participation in Federal assistance programs or 
activities.

[81 FR 35585, June 3, 2016]

[[Page 320]]



Sec. Sec.  ;1274.804  [Reserved]



         Subpart 1274.9_Other Provisions and Special Conditions



Sec.  1274.901  Other provisions and special conditions.

    Where applicable, the provisions set forth in this subpart are to be 
incorporated in and made a part of all cooperative agreements with 
commercial firms. When included, the provisions at Sec.  1274.902 
through Sec.  1274.909 and the provisions at Sec.  1274.933 through 
Sec.  1274.942 are to be incorporated in full text substantially as 
stated in this regulation. When required, the provisions at Sec.  
1274.910 through Sec.  1274.932, may be incorporated by reference in an 
enclosure to each cooperative agreement. For inclusion of provisions in 
subcontracts, see Exhibit A of this part, and Sec.  1274.925.



Sec.  1274.902  Purpose.

                                 Purpose

                                July 2002

    The purpose of this cooperative agreement is to conduct a shared 
resource project that will lead to ________. This cooperative agreement 
will advance the technology developments and research which have been 
performed on _________. The specific objective is to __________. This 
work will culminate in __________.

                           [End of provision]



Sec.  1274.903  Responsibilities.

                            Responsibilities

                                July 2002

    (a) This Cooperative Agreement will include substantial NASA 
participation during performance of the effort. NASA and the Recipient 
agree to the following Responsibilities, a statement of cooperative 
interactions to occur during the performance of this effort. NASA and 
the Recipient shall exert all reasonable efforts to fulfill the 
responsibilities stated below.
    (b) NASA Responsibilities. The following NASA responsibilities are 
hereby set forth effective upon the start date, which unless stated 
otherwise, shall be the execution date of this bilateral Cooperative 
Agreement. The end date stated below, may be changed by a written 
bilateral modification:

Responsibilities Start Date End Date

    (c) Recipient Responsibilities. The Recipient shall be responsible 
for particular aspects of project performance as set forth in the 
technical proposal dated ________, attached hereto (or Statement of Work 
dated __________, attached hereto). The following responsibilities are 
hereby set forth effective upon the start date, which unless stated 
otherwise, shall be the execution date of this bilateral Cooperative 
Agreement. The end date stated below, may be changed by a written 
bilateral modification:

Responsibilities Start Date End Date

    (d) Since NASA contractors may obtain certain intellectual property 
rights arising from work for NASA in support of this agreement, NASA 
will inform Recipient whenever NASA intends to use NASA contractors to 
perform technical engineering services in support of this agreement.
    (e) Unless the Cooperative Agreement is terminated by the parties, 
end date can only be changed by execution of a bilateral modification.

                           [End of provision]



Sec.  1274.904  Resource sharing requirements.

                      Resource Sharing Requirements

                                July 2002

    Where NASA and other Government agencies are involved in the 
cooperative agreement, ``NASA'' shall also mean ``Federal Government''.
    (a) NASA and the Recipient will share in providing the resources 
necessary to perform the agreement. NASA funding and non-cash 
contributions (personnel, equipment, facilities, etc.) and the dollar 
value of the Recipient's cash and/or non-cash contribution will be on a 
__ percent (NASA)--__ percent (Recipient) basis. Criteria and procedures 
for the allowability and allocability of cash and non-cash contributions 
shall be governed by FAR Parts 30 and 31, and NFS Parts 1830 and 1831.
    (b) The funding and non-cash contributions by both parties are 
represented by the following dollar amounts:

 Government Share_______________________________________________________

 Recipient Share________________________________________________________

 Total Amount___________________________________________________________

    (c) The Recipient's share shall not be charged to the Government 
under this Agreement or under any other contract, grant, or cooperative 
agreement, except to the extent that the Recipient's contribution may be 
allowable IR&D costs pursuant to FAR 31.205-18(e).

[[Page 321]]

                           [End of provision]

[67 FR 45790, July 10, 2002, as amended at 71 FR 51714, Aug. 31, 2006]



Sec.  1274.905  Rights in data.

    As noted in Sec.  1274.208(l)(1), the following provision assumes a 
substantially equal cost sharing relationship where collaborative 
research, experimental, developmental, engineering, demonstration, or 
design activities are to be carried out, such that it is likely that 
``proprietary'' information will be developed and/or exchanged under the 
agreement. If cost sharing is unequal or no extensive research, 
experimental, developmental, engineering, demonstration, or design 
activities are likely, a different set of provisions may be appropriate. 
The Agreement Officer is expected to complete and/or select the 
appropriate bracketed language under the provision for those paragraphs 
dealing with data first produced under the cooperative agreement. In 
addition, the Agreement Officer may, in consultation with the Center's 
Patent or Intellectual Property Counsel, tailor the provision to fit the 
particular circumstances of the program and/or the recipient's need to 
protect specific proprietary information.

                             Rights in Data

                                July 2002

    (a) Definitions.
    ``Data,'' means recorded information, regardless of form, the media 
on which it may be recorded, or the method of recording. The term 
includes, but is not limited to, data of a scientific or technical 
nature, computer software and documentation thereof, and data comprising 
commercial and financial information.
    (b) Data categories.
    (1) General. Data exchanged between NASA and Recipient under this 
cooperative agreement will be exchanged without restriction as to its 
disclosure, use or duplication except as otherwise provided below in 
this provision.
    (2) Background Data. In the event it is necessary for Recipient to 
furnish NASA with Data which existed prior to, or produced outside of, 
this cooperative agreement, and such Data embodies trade secrets or 
comprises commercial or financial information which is privileged or 
confidential, and such Data is so identified with a suitable notice or 
legend, the Data will be maintained in confidence and disclosed and used 
by NASA and its contractors (under suitable protective conditions) only 
for the purpose of carrying out NASA's responsibilities under this 
cooperative agreement. Upon completion of activities under this 
agreement, such Data will be disposed of as requested by Recipient.
    (3) Data first produced by Recipient. In the event Data first 
produced by Recipient in carrying out Recipient's responsibilities under 
this cooperative agreement is furnished to NASA, and Recipient considers 
such Data to embody trade secrets or to comprise commercial or financial 
information which is privileged or confidential, and such Data is so 
identified with a suitable notice or legend, the Data will be maintained 
in confidence for a period of [insert ``two'' to ``five''] years after 
development of the data and be disclosed and used by [``NASA'' or ``the 
Government,'' as appropriate] and its contractors (under suitable 
protective conditions) only for [insert appropriate purpose; for 
example: experimental; evaluation; research; development, etc.] by or on 
behalf of [``NASA'' or ``the Government'' as appropriate] during that 
period. In order that [``NASA'' or the ``Government'', as appropriate] 
and its contractors may exercise the right to use such Data for the 
purposes designated above, NASA, upon request to the Recipient, shall 
have the right to review and request delivery of Data first produced by 
Recipient. Delivery shall be made within a time period specified by 
NASA.
    (4) Data first produced by NASA. As to data first produced by NASA 
in carrying out NASA's responsibilities under this cooperative agreement 
and which Data would embody trade secrets or would comprise commercial 
or financial information that is privileged or confidential if it had 
been obtained from the Recipient, will be marked with an appropriate 
legend and maintained in confidence for an agreed to period of up to ( ) 
years [INSERT A PERIOD UP TO 5 YEARS] after development of the 
information, with the express understanding that during the aforesaid 
period such Data may be disclosed and used (under suitable protective 
conditions) by or on behalf of the Government for Government purposes 
only, and thereafter for any purpose whatsoever without restriction on 
disclosure and use. Recipient agrees not to disclose such Data to any 
third party without NASA's written approval until the aforementioned 
restricted period expires. Use of this data under a separate cooperative 
agreement or contract issued to a party other than the Recipient for the 
purpose of continuing the project in the event this cooperative 
agreement is terminated by either party shall constitute a government 
purpose.
    (5) Copyright. (i) In the event Data is exchanged with a notice 
indicating the Data is protected under copyright as a published 
copyrighted work, or are deposited for registration as a published work 
in the U.S.

[[Page 322]]

Copyright Office, the following paid-up licenses shall apply:
    (A) If it is indicated on the Data that the Data existed prior to, 
or was produced outside of, this agreement, the receiving party and 
others acting on its behalf, may reproduce, distribute, and prepare 
derivative works for the purpose of carrying out the receiving party's 
responsibilities under this cooperative agreement; and
    (B) If the furnished Data does not contain the indication of 
paragraph (b)(5)(i)(A) of this section, it will be assumed that the Data 
was first produced under this agreement, and the receiving party and 
others acting on its behalf, shall be granted a paid up, nonexclusive, 
irrevocable, world-wide license for all such Data to reproduce, 
distribute copies to the public, prepare derivative works, distribute 
copies to the public, and perform publicly and display publicly, by or 
on behalf of the receiving party. For Data that is computer software, 
the right to distribute shall be limited to potential users in the 
United States.
    (ii) When claim is made to copyright, the Recipient shall affix the 
applicable copyright notice of 17 U.S.C. 401 or 402 and acknowledgment 
of Government sponsorship to the data when and if the data are delivered 
to the Government.
    (6) Oral and visual information. If information which the Recipient 
considers to embody trade secrets or to comprise commercial or financial 
information which is privileged or confidential is disclosed orally or 
visually to NASA, such information must be reduced to tangible, recorded 
form (i.e., converted into Data as defined herein), identified and 
marked with a suitable notice or legend, and furnished to NASA within 10 
days after such oral or visual disclosure, or NASA shall have no duty to 
limit or restrict, and shall not incur any liability for, any disclosure 
and use of such information.
    (7) Disclaimer of liability. Notwithstanding the above, NASA shall 
not be restricted in, nor incur any liability for, the disclosure and 
use of:
    (i) Data not identified with a suitable notice or legend as set in 
paragraph (b)(2) of this section; nor
    (ii) Information contained in any Data for which disclosure and use 
is restricted under paragraphs (b)(2) or (3) of this section, if such 
information is or becomes generally known without breach of the above, 
is known to or is generated by NASA independently of carrying out 
responsibilities under this agreement, is rightfully received from a 
third party without restriction, or is included in data which 
Participant has, or is required to furnish to the U.S. Government 
without restriction on disclosure and use.
    (c) Marking of data. Any Data delivered under this cooperative 
agreement, by NASA or the Recipient, shall be marked with a suitable 
notice or legend indicating the data was generated under this 
cooperative agreement.
    (d) Lower tier agreements. The Recipient shall include this 
provision, suitably modified to identify the parties, in all 
subcontracts or lower tier agreements, regardless of tier, for 
experimental, developmental, or research work.

                           [End of provision]



Sec.  1274.906  Designation of New Technology Representative and
Patent Representative.

 Designation of New Technology Representative and Patent Representative

                                July 2002

    (a) For purposes of administration of the clause of this cooperative 
agreement entitled ``PATENT RIGHTS--RETENTION BY THE CONTRACTOR (LARGE 
BUSINESS)'' or ``PATENT RIGHTS--RETENTION BY THE CONTRACTOR (SMALL 
BUSINESS)'' the following named representatives are hereby designated by 
the Agreement Officer to administer such clause:

------------------------------------------------------------------------
         Title                Office code                Address
------------------------------------------------------------------------
New Technology
Representative
Patent
Representative
------------------------------------------------------------------------

    (b) Reports of reportable items, and disclosure of subject 
inventions, interim reports, final reports, utilization reports, and 
other reports required by the clause, as well as any correspondence with 
respect to such matters, should be directed to the New Technology 
Representative unless transmitted in response to correspondence or 
request from the Patent Representative. Inquiries or requests regarding 
disposition of rights, election of rights, or related matters should be 
directed to the Patent Representative. This clause shall be included in 
any subcontract hereunder requiring ``PATENT RIGHTS--RETENTION BY THE 
CONTRACTOR (LARGE BUSINESS)'' clause or ``PATENT RIGHTS--RETENTION BY 
THE CONTRACTOR (SMALL BUSINESS)'' clause, unless otherwise authorized or 
directed by the Agreement Officer. The respective responsibilities and 
authorities of the above-named representatives are set forth in NFS 
1827.305-370.

[[Page 323]]

                           [End of provision]



Sec.  1274.907  Disputes.

                                Disputes

                                July 2002

    (a) In the event that a disagreement arises, representatives of the 
parties shall enter into discussions in good faith and in a timely and 
cooperative manner to seek resolution. If these discussions do not 
result in a satisfactory solution, the aggrieved party may seek a 
decision from the Dispute Resolution Official under paragraph (b) of 
this provision. This request must be presented no more than (3) three 
months after the events giving rise to the disagreement have occurred.
    (b) The aggrieved party may submit a written request for a decision 
to the Center Ombudsman, who is designated as the Dispute Resolution 
Official. The written request shall include a statement of the relevant 
facts, a discussion of the unresolved issues, and a specification of the 
clarification, relief, or remedy sought. A copy of this written request 
and all accompanying materials must be provided to the other party at 
the same time. The other party shall submit a written position on the 
matters in dispute within thirty (30) calendar days after receiving this 
notification that a decision has been requested. The Dispute Resolution 
Official shall conduct a review of the matters in dispute and render a 
decision in writing within thirty (30) calendar days of receipt of such 
written position.

                           [End of provision]



Sec.  1274.908  Milestone payments.

                           Milestone Payments

                                July 2002

    (a) By submission of the first invoice, the Recipient is certifying 
that it has an established accounting system which complies with 
generally accepted accounting principles, with the requirements of this 
agreement, and that appropriate arrangements have been made for 
receiving, distributing, and accounting for Federal funds received under 
this agreement.
    (b) Payments will be made upon the following milestones: [The 
schedule for payments may be based upon the Recipient's completion of 
specific tasks, submission of specified reports, or whatever is 
appropriate.]

Date                Payment                         Amount
                    Milestone
 

    (c) Upon submission by the recipient of invoices in accordance with 
the provisions of the agreement and upon certification by NASA of 
completion of the payable milestone, the Agreement Officer shall 
authorize payment. Payment shall be made within 30 calendar days after 
receipt of proper invoice. Payment shall be considered as being made on 
the date of electronic funds transfer. A proper invoice must include the 
following:
    (i) Name and address of the recipient.
    (ii) Invoice date (The Recipient is encouraged to date invoices as 
close as possible to the date of the mailing or transmission).
    (iii) Cooperative agreement number.
    (iv) Description, milestone, and extended price of efforts/tasks 
performed.
    (v) Payment terms.
    (vi) Name and address of Recipient official to whom payment is to be 
sent. (Must be the same as that in the cooperative agreement or in a 
proper notice of assignment).
    (vii) Name (where practicable), title, phone number, and mailing 
address of the person to be notified in the event of a defective 
invoice.
    (viii) Any other information or documentation required by the 
cooperative agreement.
    (ix) Taxpayer identification number (TIN).
    (x) While not required, the recipient is strongly encouraged to 
assign an identification number to each invoice.
    (d) A payment milestone may be successfully completed in advance of 
the date appearing in paragraph (b) of this section. However, payment 
shall not be made prior to that date without the written consent of the 
Agreement Officer.
    (e) The recipient is not entitled to partial payment for partial 
completion of a payment milestone.
    (f) Unless approved by the Agreement Officer, all preceding payment 
milestones must be completed before payment can be made for the next 
payment milestone.
    (g) (i) If the Recipient is authorized to submit invoices directly 
to the NASA paying office, the original invoice should be submitted to:
    [Insert the mailing address for submission of cost vouchers]
    (ii) If the Recipient is not authorized to submit invoices directly 
to the NASA paying office, the original invoice should be submitted to 
the Agreement Officer for certification.
    (iii) Copies of the recipient's invoice should be submitted to the 
following offices:
    (A) Copy 1--NASA Agreement Officer.
    (B) Copy 2--Auditor.
    (C) Copy 3--Contract administration office.
    (D) Copy 4--Project management office.
    (E) Copy 5--Other recipients as designated by the Agreement Officer.

[[Page 324]]

                           [End of provision]



Sec.  1274.909  Term of agreement.

                            Term of Agreement

                                July 2002

    (a) The agreement commences on the effective date indicated on the 
attached cover sheet and continues until the expiration date indicated 
on the attached cover sheet unless terminated by either party. If all 
resources are expended prior to the expiration date of the agreement, 
the parties have no obligation to continue performance and may elect to 
cease at that point. The parties may extend the expiration date if 
additional time is required to complete the milestones at no increase in 
Government resources. Requests for approval for no-cost extensions must 
be forwarded to the NASA Agreement Officer no later than ten days prior 
to the expiration of the award to be considered.
    (b) Provisions of this Agreement, which, by their express terms or 
by necessary implication, apply for periods of time other than that 
specified as the agreement term, shall be given effect, notwithstanding 
expiration of the term of the agreement.

                           [End of provision]



Sec.  1274.910  Authority.

                                Authority

                                July 2002

    This is a cooperative agreement as defined in 31 U.S.C. 6305 (the 
Chiles Act) and is entered into pursuant to the authority of 42 U.S.C. 
2451, et seq. (the Space Act).

                           [End of provision]



Sec.  1274.911  Patent rights.

                              Patent Rights

                                July 2002

    (a) Definitions. (1) Administrator means the Administrator or Deputy 
Administrator of NASA.
    (2) Invention means any invention or discovery which is or may be 
patentable or otherwise protectable under Title 35 of the United States 
Code.
    (3) Made when used in relation to any invention means the conception 
or first actual reduction to practice such invention.
    (4) Nonprofit organization means a domestic university or other 
institution of higher education or an organization of the type described 
in Section 501(c)(3) of the Internal Revenue Code of 1954 (26 U.S.C. 
501(c)) and exempt from taxation under Section 501(a) of the Internal 
Revenue Code (26 U.S.C. 501(a)), or any domestic nonprofit scientific or 
educational organization qualified under a State nonprofit organization 
statute.
    (5) Practical application means to manufacture, in the case of a 
composition or product; to practice, in the case of a process or method; 
or to operate, in the case of a machine or system; and, in each case, 
under such conditions as to establish that the invention is being 
utilized and that its benefits are, to the extent permitted by law or 
Government regulations, available to the public on reasonable terms.
    (6) Recipient means:
    (i) The signatory Recipient party or parties or;
    (ii) The Consortium, where a Consortium has been formed for carrying 
out Recipient responsibilities under this agreement.
    (7) Small Business Firm means a domestic small business concern as 
defined at 15 U.S.C. 632 and implementing regulations of the 
Administrator of the Small Business Administration. (For the purpose of 
this definition, the size standard contained in 13 CFR 121.901 through 
121.911 will be used.)
    (8) Subject Invention means any invention of a Recipient and/or 
Government employee conceived or first actually reduced to practice in 
the performance of work under this Agreement.
    (9) Manufactured substantially in the United States means the 
product must have over 50 percent of its components manufactured in the 
United States. This requirement is met if the cost to the Recipient of 
the components mined, produced, or manufactured in the United States 
exceeds 50 percent of the cost of all components required to make the 
product. (In making this determination only the product and its 
components shall be considered.) The cost of each component includes 
transportation costs to the place of incorporation into the product and 
any applicable duty (whether or not a duty-free entry certificate is 
issued). Components of foreign origin of the same class or kind for 
which determinations have been made in accordance with FAR 25.102(a)(3) 
and (4) are treated as domestic. Scrap generated, collected, and 
prepared for processing in the United States is considered domestic.
    (b) Allocation of principal rights--(1) Recipient Inventions. For 
other than Small Business Firm or Nonprofit organization Recipients, the 
``PATENT RIGHTS--RETENTION BY RECIPIENT (LARGE BUSINESS)'' provision 
applies. For Small Business Firm and Nonprofit organization Recipients, 
the ``PATENT RIGHTS--RETENTION BY RECIPIENT (SMALL BUSINESS)'' provision 
applies.
    (2) NASA Inventions. NASA will use reasonable efforts to report 
inventions made by NASA employees as a consequence of, or which bear a 
direct relation to, the performance of specified NASA activities under 
this

[[Page 325]]

cooperative agreement and, upon timely request, NASA will use its best 
efforts to grant the Recipient or designated Consortium Member (if 
applicable) the first option to acquire either an exclusive or partially 
exclusive, revocable, royalty-bearing license, on terms to be 
subsequently negotiated, for any patent applications and patents 
covering such inventions, and subject to the license reserved in 
paragraph (b)(5)(i) of this section. Upon application in compliance with 
37 CFR Part 404--Licensing of Government Owned Inventions, the Recipient 
or each Consortium Member (if applicable), shall be granted a revocable, 
nonexclusive, royalty-free license in each patent application filed in 
any country on a subject invention and any resulting patent in which the 
Government acquires title. Each nonexclusive license may extend to 
subsidiaries and affiliates, if any, within the corporate structure of 
the licensee and includes the right to grant sublicenses of the same 
scope to the extent the licensee was legally obligated to do so at the 
time the cooperative agreement was signed.
    (3) NASA Contractor Inventions. In the event NASA contractors are 
tasked to perform work in support of specified NASA activities under 
this cooperative agreement and inventions are made by contractor 
employees, the recipient will normally retain title to its employee 
inventions in accordance with 35 U.S.C. 202, 14 CFR Part 1245, and E.O. 
12591. In the event the recipient decides not to pursue right to title 
in any such invention and NASA obtains title to such inventions, NASA 
will use reasonable efforts to report such inventions and, upon timely 
request, NASA will use its best efforts to grant the Recipient or 
designated Consortium Member (if applicable) the first option to acquire 
either an exclusive or partially exclusive, revocable, royalty-bearing 
license, upon terms to be subsequently negotiated, for any patent 
applications and patents covering such inventions, and subject to the 
license reserved in paragraph (b)(5)(ii) of this section. Upon 
application in compliance with 37 CFR Part 404--Licensing of Government 
Owned Inventions, the Recipient or each Consortium Member (if 
applicable), shall be granted a revocable, nonexclusive, royalty-free 
license in each patent application filed in any country on a subject 
invention and any resulting patent in which the Government acquires 
title. Each nonexclusive license may extend to subsidiaries and 
affiliates, if any, within the corporate structure of the licensee and 
includes the right to grant sublicenses of the same scope to the extent 
the licensee was legally obligated to do so at the time the cooperative 
agreement was signed.
    (4) Joint NASA and Recipient Inventions. NASA and Recipient agree to 
use reasonable efforts to identify and report to each other any 
inventions made jointly between NASA employees (or employees of NASA 
contractors) and employees of Recipient.
    (i) For other than small business firms and nonprofit organizations 
the Administrator may agree that the United States will refrain from 
exercising its undivided interest in a manner inconsistent with 
Recipient's commercial interest and to cooperate with Recipient in 
obtaining patent protection on its undivided interest on any waived 
inventions subject, however, to the condition that Recipient makes its 
best efforts to bring the invention to the point of practical 
application at the earliest practicable time. In the event that the 
Administrator determines that such efforts are not undertaken, the 
Administrator may void NASA's agreement to refrain from exercising its 
undivided interest and grant licenses for the practice of the invention 
so as to further its development. In the event that the Administrator 
decides to void NASA's agreement to refrain from exercising its 
undivided interest and grant licenses for this reason, notice shall be 
given to the Inventions and Contributions Board as to why such action 
should not be taken. Either alternative will be subject to the 
applicable license or licenses reserved in paragraph (b)(5) of this 
section.
    (ii) For small business firms and nonprofit organization, NASA may 
assign or transfer whatever rights it may acquire in a subject invention 
from its employee to the Recipient as authorized by 35 U.S.C. 202(e).
    (5) Minimum rights reserved by the Government. Any license or 
assignment granted Recipient pursuant to paragraphs (b)(2), (b)(3), or 
(b)(4) of this section will be subject to the reservation of the 
following licenses:
    (i) As to inventions made solely or jointly by NASA employees, the 
irrevocable, royalty-free right of the Government of the United States 
to practice and have practiced the invention by or on behalf of the 
United States; and
    (ii) As to inventions made solely by, or jointly with, employees of 
NASA contractors, the rights in the Government of the United States as 
set forth in paragraph (b)(5)(i) of this section, as well as the 
revocable, nonexclusive, royalty-free license in the contractor as set 
forth in 14 CFR 1245.108.
    (6) Preference for United States manufacture. The Recipient agrees 
that any products embodying subject inventions or produced through the 
use of subject inventions shall be manufactured substantially in the 
United States. However, in individual cases, the requirement to 
manufacture substantially in the United States may be waived by the 
Assistant Administrator for Procurement (Code HS) with the concurrence 
of the Associate General Counsel for Intellectual Property upon a 
showing by the Recipient that under the circumstances domestic 
manufacture is not commercially feasible.

[[Page 326]]

    (7) Work performed by the Recipient under this cooperative agreement 
is considered undertaken to carry out a public purpose of support and/or 
stimulation rather than for acquiring property or services for the 
direct benefit or use of the Government. Accordingly, such work by the 
Recipient is not considered ``by or for the United States'' and the 
Government assumes no liability for infringement by the Recipient under 
28 U.S.C. 1498.

                           [End of provision]



Sec.  1274.912  Patent rights--retention by the recipient (large business).

       Patent Rights--Retention by the Recipient (Large Business)

                                July 2002

    (a) Definitions. (1) Administrator, as used in this clause, means 
the Administrator of the National Aeronautics and Space Administration 
(NASA) or duly authorized representative.
    (2) Invention, as used in this clause, means any invention or 
discovery which is or may be patentable or otherwise protectable under 
title 35 of the U.S.C.
    (3) Made, as used in relation to any invention, means the conception 
or first actual reduction to practice such invention.
    (4) Nonprofit organization, as used in this clause, means a domestic 
university or other institution of higher education or an organization 
of the type described in section 501(c)(3) of the Internal Revenue Code 
of 1954 (26 U.S.C. 501(c)) and exempt from taxation under section 501(a) 
of the Internal Revenue Code (26 U.S.C. 501(a)), or any domestic 
nonprofit scientific or educational organization qualified under a State 
nonprofit organization statute.
    (5) Practical application, as used in this clause, means to 
manufacture, in the case of a composition or product; to practice, in 
the case of a process or method; or to operate, in case of a machine or 
system; and, in each, case, under such conditions as to establish that 
the invention is being utilized and that its benefits are, to the extent 
permitted by law or Government regulations, available to the public on 
reasonable terms.
    (6) Reportable item, as used in this clause, means any invention, 
discovery, improvement, or innovation of the Recipient, whether or not 
the same is or may be patentable or otherwise protectable under Title 35 
of the United States Code, conceived or first actually reduced to 
practice in the performance of any work under this contract or in the 
performance of any work that is reimbursable under any clause in this 
contract providing for reimbursement of costs incurred prior to the 
effective date of this contract.
    (7) Small business firm, as used in this clause, means a domestic 
small business concern as defined at 15 U.S.C. 632 and implementing 
regulations of the Administrator of the Small Business Administration. 
(For the purpose of this definition, the size standard contained in 13 
CFR 121.901 through 121.911 will be used.)
    (8) Subject invention, as used in this clause, means any reportable 
item which is or may be patentable or otherwise protectable under Title 
35 of the United States Code, or any novel variety of plant that is or 
may be protectable under the Plant Variety Protection Act (7 U.S.C. 
2321, et seq).
    (9) Manufactured substantially in the United States means the 
product must have over 50 percent of its components manufactured in the 
United States. This requirement is met if the cost to the Recipient of 
the components mined, produced, or manufactured in the United States 
exceeds 50 percent of the cost of all components required to make the 
product. (In making this determination only the product and its 
components shall be considered.) The cost of each component includes 
transportation costs to the place of incorporation into the product and 
any applicable duty (whether or not a duty-free entry certificate is 
issued). Components of foreign origin of the same class or kind for 
which determinations have been made in accordance with Federal 
Acquisition Regulation 25.102(a)(3) and (4) are treated as domestic. 
Scrap generated, collected, and prepared for processing in the United 
States is considered domestic.
    (b) Allocation of principal rights--(1) Presumption of title. (i) 
Any reportable item that the Administrator considers to be a subject 
invention shall be presumed to have been made in the manner specified in 
paragraph (1) or (2) of section 305(a) of the National Aeronautics and 
Space Act of 1958 (42 U.S.C. 2457(a)) (hereinafter called ``the Act''), 
and the above presumption shall be conclusive unless at the time of 
reporting the reportable item the Recipient submits to the Agreement 
Officer a written statement, containing supporting details, 
demonstrating that the reportable item was not made in the manner 
specified in paragraph (1) or (2) of section 305(a) of the Act.
    (ii) Regardless of whether title to a given subject invention would 
otherwise be subject to an advance waiver or is the subject of a 
petition for waiver, the Recipient may nevertheless file the statement 
described in paragraph (b)(1)(i) of this section. The Administrator will 
review the information furnished by the Recipient in any such statement 
and any other available information relating to the circumstances 
surrounding the making of the subject invention and will notify the 
Recipient whether the Administrator has determined that the subject 
invention was

[[Page 327]]

made in the manner specified in paragraph (1) or (2) of section 305(a) 
of the Act.
    (2) Property rights in subject inventions. Each subject invention 
for which the presumption of paragraph (b)(1)(i) of this section is 
conclusive or for which there has been a determination that it was made 
in the manner specified in paragraph (1) or (2) of section 305(a) of the 
Act shall be the exclusive property of the United States as represented 
by NASA unless the Administrator waives all or any part of the rights of 
the United States, as provided in paragraph (b)(3) of this section.
    (3) Waiver of rights. (i) Section 305(f) of the Act provides for the 
promulgation of regulations by which the Administrator may waive the 
rights of the United States with respect to any invention or class of 
inventions made or that may be made under conditions specified in 
paragraph (1) or (2) of section 305(a) of the Act. The promulgated NASA 
Patent Waiver Regulations, 14 CFR part 1245, subpart 1, have adopted the 
Presidential memorandum on Government Patent Policy of February 18, 
1983, as a guide in acting on petitions (requests) for such waiver of 
rights.
    (ii) As provided in 14 CFR part 1245, subpart 1, Recipients may 
petition, either prior to execution of the Agreement or within 30 days 
after execution of the Agreement, for advance waiver of rights to any or 
all of the inventions that may be made under an Agreement. If such a 
petition is not submitted, or if after submission it is denied, the 
Recipient (or an employee inventor of the Recipient may petition for 
waiver of rights to an identified subject invention within eight months 
of first disclosure of invention in accordance with paragraph (e)(2) of 
this section or within such longer period as may be authorized in 
accordance with 14 CFR 1245.105. Further procedures are provided in the 
REQUESTS FOR WAIVER OF RIGHTS--LARGE BUSINESS provision.
    (c) Minimum rights reserved by the Government. (1) With respect to 
each Recipient subject invention for which a waiver of rights is 
applicable in accordance with 14 CFR part 1245, subpart 1, the 
Government reserves--
    (i) An irrevocable, royalty-free license for the practice of such 
invention throughout the world by or on behalf of the United States or 
any foreign government in accordance with any treaty or agreement with 
the United States; and
    (ii) Such other rights as stated in 14 CFR 1245.107.
    (2) Nothing contained in this paragraph shall be considered to grant 
to the Government any rights with respect to any invention other than a 
subject invention.
    (d) Minimum rights to the Recipient. (1) The Recipient is hereby 
granted a revocable, nonexclusive, royalty-free license in each patent 
application filed in any country on a Recipient subject invention and 
any resulting patent in which the Government acquires title, unless the 
Recipient fails to disclose the subject invention within the times 
specified in paragraph (e)(2) of this section. The Recipient's license 
extends to its domestic subsidiaries and affiliates, if any, within the 
corporate structure of which the Recipient is a party and includes the 
right to grant sublicenses of the same scope to the extent the Recipient 
was legally obligated to do so at the time the contract was awarded. The 
license is transferable only with the approval of the Administrator 
except when transferred to the successor of that part of the Recipient's 
business to which the invention pertains.
    (2) The Recipient's domestic license may be revoked or modified by 
the Administrator to the extent necessary to achieve expeditious 
practical application of the subject invention pursuant to an 
application for an exclusive license submitted in accordance with 14 CFR 
part 1245, subpart 3, Licensing of NASA Inventions. This license will 
not be revoked in that field of use or the geographical areas in which 
the Recipient has achieved practical application and continues to make 
the benefits of the invention reasonably accessible to the public. The 
license in any foreign country may be revoked or modified at the 
discretion of the Administrator to the extent the Recipient, its 
licensees, or its domestic subsidiaries or affiliates have failed to 
achieve practical application in that foreign country.
    (3) Before revocation or modification of the license, the Recipient 
will be provided a written notice of the Administrator's intention to 
revoke or modify the license, and the Recipient will be allowed 30 days 
(or such other time as may be authorized by the Administrator for good 
cause shown by the Recipient) after the notice to show cause why the 
license should not be revoked or modified. The Recipient has the right 
to appeal, in accordance with 14 CFR 1245.112, any decision concerning 
the revocation or modification of its license.
    (e) Invention identification, disclosures, and reports. (1) The 
Recipient shall establish and maintain active and effective procedures 
to assure that reportable items are promptly identified and disclosed to 
Recipient personnel responsible for the administration of this clause 
within six months of conception and/or first actual reduction to 
practice, whichever occurs first in the performance of work under this 
contract. These procedures shall include the maintenance of laboratory 
notebooks or equivalent records and other records as are reasonably 
necessary to document the conception and/or the first actual reduction 
to practice of the reportable items, and records that show that the 
procedures for identifying and disclosing reportable items are followed. 
Upon request, the

[[Page 328]]

Recipient shall furnish the Agreement Officer a description of such 
procedures for evaluation and for determination as to their 
effectiveness.
    (2) The Recipient will disclose each reportable item to the 
Agreement Officer within two months after the inventor discloses it in 
writing to Recipient personnel responsible for the administration of 
this clause or, if earlier, within six months after the Recipient 
becomes aware that a reportable item has been made, but in any event for 
subject inventions before any on sale, public use, or publication of 
such invention known to the Recipient. The disclosure to the agency 
shall be in the form of a written report and shall identify the 
Agreement under which the reportable item was made and the inventor(s) 
or innovator(s). It shall be sufficiently complete in technical detail 
to convey a clear understanding, to the extent known at the time of the 
disclosure, of the nature, purpose, operation, and physical, chemical, 
biological, or electrical characteristics of the reportable item. The 
disclosure shall also identify any publication, on sale, or public use 
of any subject invention and whether a manuscript describing such 
invention has been submitted for publication and, if so, whether it has 
been accepted for publication at the time of disclosure. In addition, 
after disclosure to the agency, the Recipient will promptly notify the 
agency of the acceptance of any manuscript describing a subject 
invention for publication or of any on sale or public use planned by the 
Recipient for such invention.
    (3) The Recipient shall furnish the Agreement Officer the following:
    (i) Interim reports every 12 months (or such longer period as may be 
specified by the Agreement Officer) from the date of the Agreement, 
listing reportable items during that period, and certifying that all 
reportable items have been disclosed (or that there are no such 
inventions) and that the procedures required by paragraph (e)(1) of this 
section have been followed.
    (ii) A final report, within three months after completion of the 
work, listing all reportable items or certifying that there were no such 
reportable items, and listing all subcontracts at any tier containing a 
patent rights clause or certifying that there were no such subcontracts.
    (4) The Recipient agrees, upon written request of the Agreement 
Officer, to furnish additional technical and other information available 
to the Recipient as is necessary for the preparation of a patent 
application on a subject invention and for the prosecution of the patent 
application, and to execute all papers necessary to file patent 
applications on subject inventions and to establish the Government's 
rights in the subject inventions.
    (5) The Recipient agrees, subject to 48 CFR (FAR) 27.302(j), that 
the Government may duplicate and disclose subject invention disclosures 
and all other reports and papers furnished or required to be furnished 
pursuant to this clause.
    (f) Examination of records relating to inventions. (1) The Agreement 
Officer or any authorized representative shall, pursuant to the 
Retention and Examination of Records provision of this cooperative 
agreement, have the right to examine any books (including laboratory 
notebooks), records, and documents of the Recipient relating to the 
conception or first actual reduction to practice of inventions in the 
same field of technology as the work under this contract to determine 
whether--
    (i) Any such inventions are subject inventions;
    (ii) The Recipient has established and maintained the procedures 
required by paragraph (e)(1) of this section; and
    (iii) The Recipient and its inventors have complied with the 
procedures.
    (2) If the Agreement Officer learns of an unreported Recipient 
invention that the Agreement Officer believes may be a subject 
inventions, the Recipient may be required to disclose the invention to 
the agency for a determination of ownership rights.
    (3) Any examination of records under this paragraph will be subject 
to appropriate conditions to protect the confidentiality of the 
information involved.
    (g) Subcontracts. (1) Unless otherwise authorized or directed by the 
Agreement Officer, the Recipient shall--
    (i) Include this Clause Patent Rights--Retention by the Recipient--
(Large Business) (suitably modified to identify the parties) in any 
subcontract hereunder (regardless of tier) with other than a small 
business firm or nonprofit organization for the performance of 
experimental, developmental, or research work; and
    (ii) Include the clause Patent Right--Retention by the Recipient--
(Small Business) (suitably modified to identify the parties) in any 
subcontract hereunder (regardless of tier) with a small business firm or 
nonprofit organization for the performance of experimental, 
developmental, or research work.
    (2) In the event of a refusal by a prospective subcontractor to 
accept such a clause the Recipient--
    (i) Shall promptly submit a written notice to the Agreement Officer 
setting forth the subcontractor's reasons for such refusal and other 
pertinent information that may expedite disposition of the matter; and
    (ii) Shall not proceed with such subcontract without the written 
authorization of the Agreement Officer.
    (3) The Recipient shall promptly notify the Agreement Officer in 
writing upon the award of any subcontract at any tier containing a 
patent rights clause by identifying the subcontractor, the applicable 
patent rights

[[Page 329]]

clause, the work to be performed under the subcontract, and the dates of 
award and estimated completion. Upon request of the Agreement Officer, 
the Recipient shall furnish a copy of such subcontract, and, no more 
frequently than annually, a listing of the subcontracts that have been 
awarded.
    (4) The subcontractor will retain all rights provided for the 
Recipient in the clause of paragraph (g)(1)(i) or (1)(ii) of this 
section, whichever is included in the subcontract, and the Recipient 
will not, as part of the consideration for awarding the subcontract, 
obtain rights in the subcontractor's subject inventions.
    (5) Notwithstanding paragraph (g)(4) of this section, and in 
recognition of the contractor's substantial contribution of funds, 
facilities and/or equipment to the work performed under this cooperative 
agreement, the Recipient is authorized, subject to the rights of NASA 
set forth elsewhere in this clause, to:
    (i) Acquire by negotiation and mutual agreement rights to a 
subcontractor's subject inventions as the Recipient may deem necessary 
to obtaining and maintaining of such private support; and
    (ii) Request, in the event of inability to reach agreement pursuant 
to paragraph (g)(5)(i) of this section, that NASA invoke exceptional 
circumstances as necessary pursuant to 37 CFR 401.3(a)(2) if the 
prospective subcontractor is a small business firm or organization, or 
for all other organizations, request that such rights for the Recipient 
be included as an additional reservation in a waiver granted pursuant to 
14 CFR part 1245, subpart 1. Any such requests to NASA should be 
prepared in consideration of the following guidance and submitted to the 
contract officer.
    (A) Exceptional circumstances. A request that NASA make an 
``exceptional circumstances'' determination pursuant to 37 CFR 
401.3(a)(2) must state the scope of rights sought by the Recipient 
pursuant to such determination; identify the proposed subcontractor and 
the work to be performed under the subcontract; and state the need for 
the determination.
    (B) Waiver petition. The subcontractor should be advised that unless 
it requests a waiver of title pursuant to the NASA Patent Waiver 
Regulations (14 CFR part 1245, subpart 1), NASA will acquire title to 
the subject invention (42 U.S.C. 2457, as amended, sec. 305). If a 
waiver is not requested or granted, the Recipient may request a license 
from NASA (see licensing of NASA inventions, 14 CFR part 1245, subpart 
3). A subcontractor requesting a waiver must follow the procedures set 
forth in the attached clause REQUESTS FOR WAIVER OF RIGHTS--LARGE 
BUSINESS.
    (h) Preference for United States manufacture. The Recipient agrees 
that any products embodying subject inventions or produced through the 
use of subject inventions shall be manufactured substantially in the 
United States. However, in individual cases, the requirement to 
manufacture substantially in the United States may be waived by the 
Assistant Administrator for Procurement (Code HS) with the concurrence 
of the Associate General Counsel for Intellectual Property upon a 
showing by the Recipient that under the circumstances domestic 
manufacture is not commercially feasible.
    (i) March-in rights. The Recipient agrees that, with respect to any 
subject invention in which it has acquired title, NASA has the right in 
accordance with the procedures in 37 CFR 401.6 and any supplemental 
regulations of the agency to require the Recipient, an assignee or 
exclusive licensee of a subject invention to grant a nonexclusive, 
partially exclusive, or exclusive license in any field of use to a 
responsible applicant or applicants, upon terms that are reasonable 
under the circumstances, and if the Subcontractor, assignee, or 
exclusive licensee refuses such a request NASA has the right to grant 
such a license itself if the Federal agency determines that--
    (1) Such action is necessary because the Recipient or assignee has 
not taken, or is not expected to take within a reasonable time, 
effective steps to achieve practical application of the subject 
invention in such field of use;
    (2) Such action is necessary to alleviate health or safety needs 
which are not reasonably satisfied by the Recipient, assignee, or their 
licensees;
    (3) Such action is necessary to meet requirements for public use 
specified by Federal regulations and such requirements are not 
reasonably satisfied by the Recipient, assignee, or licensees; or
    (4) Such action is necessary because the agreement required by 
paragraph (i) of this clause has not been obtained or waived or because 
a licensee of the exclusive right to use or sell any subject invention 
in the United States is in breach of such agreement.

                           [End of provision]



Sec.  1274.913  Patent rights--retention by the recipient (small business).

       Patent Rights--Retention by the Recipient (Small Business)

                                July 2002

    (a) Definitions. (1) Invention, as used in this clause, means any 
invention or discovery which is or may be patentable or otherwise 
protectable under title 35 of the U.S.C.
    (2) Made, as used in this clause, when used in relation to any 
invention means the conception or first actual reduction to practice 
such invention.

[[Page 330]]

    (3) Nonprofit organization, as used in this clause, means a 
university or other institution of higher education or an organization 
of the type described in section 501(c)(3) of the Internal Revenue Code 
of 1954 (26 U.S.C. 501(c)) and exempt from taxation under section 501(a) 
of the Internal Revenue Code (26 U.S.C. 501(a)) or any nonprofit 
scientific or educational organization qualified under a state nonprofit 
organization statute.
    (4) Practical application, as used in this clause, means to 
manufacture, in the case of a composition of product; to practice, in 
the case of a process or method, or to operate, in the case of a machine 
or system; and, in each case, under such conditions as to establish that 
the invention is being utilized and that its benefits are, to the extent 
permitted by law or Government regulations, available to the public on 
reasonable terms.
    (5) Small business firm, as used in this clause, means a small 
business concern as defined at Section 2 of Pub. L. 85-536 (15 U.S.C. 
632) and implementing regulations of the Administrator of the Small 
Business Administration. For the purpose of this clause, the size 
standards for small business concerns involved in Government procurement 
and subcontracting at 13 CFR 121.901 through 121.911 will be used.
    (6) Subject invention, as used in this clause, means any invention 
of the Subcontractor conceived or first actually reduced to practice in 
the performance of work under this Agreement.
    (7) Manufactured substantially in the United States means the 
product must have over 50 percent of its components manufactured in the 
United States. This requirement is met if the cost to the Recipient of 
the components mined, produced, or manufactured in the United States 
exceeds 50 percent of the cost of all components required to make the 
product. (In making this determination only the product and its 
components shall be considered.) The cost of each component includes 
transportation costs to the place of incorporation into the product and 
any applicable duty (whether or not a duty-free entry certificate is 
issued). Components of foreign origin of the same class or kind for 
which determinations have been made in accordance with FAR 25.102(a)(3) 
and (4) are treated as domestic. Scrap generated, collected, and 
prepared for processing in the United States is considered domestic.
    (b) Allocation of principal rights. The Recipient may retain the 
entire right, title, and interest throughout the world to each subject 
invention subject to the provisions of this clause and 35 U.S.C. 203. 
With respect to any subject invention in which the Recipient retains 
title, the Federal Government shall have a nonexclusive, 
nontransferable, irrevocable, paid-up license to practice or have 
practiced for or on behalf of the United States the subject invention 
throughout the world.
    (c) Invention disclosure, election of title, and filing of patent 
application by Recipient. (1) The Recipient will disclose each subject 
invention to NASA within two months after the inventor discloses it in 
writing to Recipient personnel responsible for patent matters. The 
disclosure to the agency shall be in the form of a written report and 
shall identify the contract under which the invention was made and the 
inventor(s). It shall be sufficiently complete in technical detail to 
convey a clear understanding to the extent known at the time of the 
disclosure, of the nature, purpose, operation, and the physical, 
chemical, biological or electrical characteristics of the invention. The 
disclosure shall also identify any publication, on sale or public use of 
the invention and whether a manuscript describing the invention has been 
submitted for publication and, if so, whether it has been accepted for 
publication at the time of disclosure. In addition, after disclosure to 
the agency, the Recipient will promptly notify the agency of the 
acceptance of any manuscript describing the invention for publication or 
of any sale or public use planned by the Recipient.
    (2) The Recipient will elect in writing whether or not to retain 
title to any such invention by notifying NASA within two years of 
disclosure to the Federal agency. However, in any case where 
publication, on sale or public use has initiated the one-year statutory 
period wherein valid patent protection can still be obtained in the 
United States, the period for election of title may be shortened by the 
agency to a date that is no more than 60 days prior to the end of the 
statutory period.
    (3) The Recipient will file its initial patent application on a 
subject invention to which it elects to retain title within one year 
after election of title or, if earlier, prior to the end of any 
statutory period wherein valid patent protection can be obtained in the 
United States after a publication, on sale, or public use. The Recipient 
will file patent applications in additional countries or international 
patent offices within either 10 months of the corresponding initial 
patent application of six months from the date permission is granted by 
the Commissioner of Patents and Trademarks to file foreign patent 
applications where such filing has been prohibited by a Secrecy Order.
    (4) Requests for extension of the time for disclosure election, and 
filing under paragraphs (c)(1), (2), and (3) of this section may, at the 
discretion of the agency, be granted.
    (d) Conditions when the Government may obtain title. The Recipient 
will convey to NASA, upon written request, title to any subject 
invention--
    (1) If the Recipient fails to disclose or elect title to the subject 
invention within the

[[Page 331]]

times specified in paragraph (c) of this section, or elects not to 
retain title; provided, that the agency may only request title within 60 
days after learning of the failure of the Recipient to disclose or elect 
within the specified times.
    (2) In those countries in which the Recipient fails to file patent 
applications within the times specified in paragraph (c) of this 
section; provided, however, that if the Recipient has filed a patent 
application in a country after the times specified in paragraph (c) of 
this section, but prior to its receipt of the written request of the 
Federal agency, the Recipient shall continue to retain title in that 
country.
    (3) In any country in which the Recipient decides not to continue 
the prosecution of any application for, to pay the maintenance fees on, 
or defend in reexamination or opposition proceeding on, a patent on a 
subject invention.
    (e) Minimum rights to Recipient and protection of the Recipient 
right to file. (1) The Recipient will retain a nonexclusive, royalty-
free license throughout the world in each subject invention to which the 
Government obtains title, except if the Recipient fails to disclose the 
invention within the times specified in paragraph (c) of this section. 
The Recipient's license extends to its domestic subsidiary and 
affiliates, if any, within the corporate structure of which the 
Recipient is a party and includes the right to grant sublicenses of the 
same scope to the extent the Recipient was legally obligated to do so at 
the time the agreement was awarded. The license is transferable only 
with the approval of NASA, except when transferred to the successor of 
that part of the Recipient's business to which the invention pertains.
    (2) The Contractor's domestic license may be revoked or modified by 
NASA to the extent necessary to achieve expeditious practical 
application of subject invention pursuant to an application for an 
exclusive license submitted in accordance with applicable provisions at 
37 CFR Part 404 and agency licensing regulations (if any). This license 
will not be revoked in that field of use or the geographical areas in 
which the Subcontractor has achieved practical application and continues 
to make the benefits of the invention reasonable accessible to the 
public. The license in any foreign country may be revoked or modified at 
the discretion of NASA to the extent the Subcontractor, its licensees, 
or the domestic subsidiaries or affiliates have failed to achieve 
practical application in that foreign country.
    (3) Before revocation or modification of the license, NASA will 
furnish the Recipient a written notice of its intention to revoke or 
modify the license, and the Recipient will be allowed 30 days (or such 
other time as may be authorized by NASA for good cause shown by the 
Recipient) after the notice to show cause why the license should not be 
revoked or modified. The Recipient has the right to appeal, in 
accordance with applicable regulations in 37 CFR Part 404 and 14 CFR 
Subpart 1245.1, concerning the licensing of Government-owned inventions, 
any decision concerning the revocation or modification of the license.
    (f) Recipient action to protect the Government's interest. (1) The 
Recipient agrees to execute or to have executed and promptly deliver to 
NASA all instruments necessary to:
    (i) establish or confirm the rights the Government has throughout 
the world in those subject inventions to which the Subcontractor elects 
to retain title, and,
    (ii) convey title to the Federal agency when requested under 
paragraph (d) of this section and to enable the Government to obtain 
patent protection throughout the world in that subject invention.
    (2) The Recipient agrees to require, by written agreement, its 
employees, other than clerical and nontechnical employees, to disclose 
promptly in writing to personnel identified as responsible for the 
administration of patent matters and in a format suggested by the 
Recipient each subject invention made under contract in order that the 
Recipient can comply with the disclosure provisions of paragraph (c) of 
this section, and to execute all papers necessary to file patent 
applications on subject inventions and to establish the Government's 
rights in the subject inventions. This disclosure format should require, 
as a minimum, the information required by paragraph (c)(1) of this 
section. The Recipient shall instruct such employees, through employee 
agreements or other suitable educational programs, on the importance of 
reporting inventions in sufficient time to permit the filing of patent 
applications prior to U.S. or foreign statutory bars.
    (3) The Recipient will notify NASA of any decisions not to continue 
the prosecution of a patent application, pay maintenance fees, or defend 
in a reexamination or opposition proceeding on a patent, in any country, 
not less than 30 days before the expiration of the response period 
required by the relevant patent office.
    (4) The Recipient agrees to include, within the specification of any 
United States patent application and any patent issuing thereon covering 
a subject invention the following statement, ``This invention was made 
with Government support under (identify the agreement) awarded by NASA. 
The Government has certain rights in the invention.''
    (5) The Recipient shall provide the Agreement Officer the following:
    (i) A listing every 12 months (or such longer period as the 
Agreement Officer may specify) from the date of the Agreement, of

[[Page 332]]

all subject inventions required to be disclosed during the period.
    (ii) A final report prior to closeout of the Agreement listing all 
subject inventions or certifying that there were none.
    (iii) Upon request, the filing date, serial number, and title, a 
copy of the patent application, and patent number and issue date for any 
subject invention in any country in which the Recipient has applied for 
patents.
    (iv) An irrevocable power to inspect and make copies of the patent 
application file, by the Government, when a Federal Government employee 
is a co-inventor.
    (g) Subcontracts. (1) Unless otherwise authorized or directed by the 
Agreement Officer, the Recipient shall--
    (i) Include this clause (Patent Rights--Retention by the Recipient 
(Small Business)), suitably modified to identify the parties, in all 
subcontracts, regardless of tier, for experimental, developmental, or 
research work to be performed by a small business firm or domestic 
nonprofit organization; and
    (ii) Include in all other subcontracts, regardless of tier, for 
experimental, developmental, or research work the patent rights clause 
(Patent Rights--Retention by the Recipient (Large Business).
    (2) In the event of a refusal by a prospective subcontractor to 
accept such a clause the Recipient--
    (i) Shall promptly submit a written notice to the Agreement Officer 
setting forth the subcontractor's reasons for such refusal and other 
pertinent information that may expedite disposition of the matter; and
    (ii) Shall not proceed with such subcontract without the written 
authorization of the Agreement Officer.
    (3) The Recipient shall promptly notify the Agreement Officer in 
writing upon the award of any subcontract at any tier containing a 
patent rights clause by identifying the subcontractor, the applicable 
patent rights clause, the work to be performed under the subcontract, 
and the dates of award and estimated completion. Upon request of the 
Agreement Officer, the Recipient shall furnish a copy of such 
subcontract, and, no more frequently than annually, a listing of the 
subcontracts that have been awarded.
    (4) The subcontractor will retain all rights provided for the 
Recipient in the clause under paragraph (g)(1)(i) or (g)(1)(ii) of this 
section, whichever is included in the subcontract, and the Recipient 
will not, as part of the consideration for awarding the subcontract, 
obtain rights in the subcontractor's subject inventions.
    (5) Notwithstanding paragraph (g)(4) of this section, and in 
recognition of the contractor's substantial contribution of funds, 
facilities and/or equipment to the work performed under this cooperative 
agreement, the Recipient is authorized, subject to the rights of NASA 
set forth elsewhere in this clause, to--
    (i) Acquire by negotiation and mutual agreement rights to a 
subcontractor's subject inventions as the Recipient may deem necessary 
to obtaining and maintaining of such private support; and
    (ii) Request, in the event of inability to reach agreement pursuant 
to paragraph (g)(5)(i) of this section that NASA invoke exceptional 
circumstances as necessary pursuant to 37 CFR 401.3(a)(2) if the 
prospective subcontractor is a small business firm or organization, or 
for all other organizations, request that such rights for the Recipient 
be included as an additional reservation in a waiver granted pursuant to 
14 CFR part 1245, subpart 1. Any such requests to NASA should be 
prepared in consideration of the following guidance and submitted to the 
contract office:
    (A) Exceptional circumstances. A request that NASA make an 
``exceptional circumstances'' determination pursuant to 37 CFR 
401.3(a)(2) must state the scope of rights sought by the Recipient 
pursuant to such determination; identify the proposed subcontractor and 
the work to be performed under the subcontract; and state the need for 
the determination.
    (B) Waiver petition. The subcontractor should be advised that unless 
it requests a waiver of title pursuant to the NASA Patent Waiver 
Regulations (14 CFR part 1245, subpart 1), NASA will acquire title to 
the subject invention (42 U.S.C. 2457, as amended, sec. 305). If a 
waiver is not requested or granted, the Recipient may request a license 
from NASA (see licensing of NASA inventions, 14 CFR part 1245, subpart 
3). A subcontractor requesting a waiver must follow the procedures set 
forth in the REQUESTS FOR WAIVER OF RIGHTS--LARGE BUSINESS provision.
    (h) Reporting on utilization of subject inventions. The Recipient 
agrees to submit, on request, periodic reports no more frequently than 
annually on the utilization of a subject invention or on efforts at 
obtaining such utilization that are being made by the Recipient or its 
licensees or assignees. Such reports shall include information regarding 
the status of development, date of first commercial sale or use, gross 
royalties received by the Recipient, and such other data and information 
as the agency may reasonably specify. The Recipient also agrees to 
provide additional reports as may be requested by the agency in 
connection with any march-in proceeding under-taken by the agency in 
accordance with paragraph (i) of this section. As required by 35 U.S.C. 
202(c)(5), the agency agrees it will not disclose such information to 
persons outside the Government without permission of the Recipient.

[[Page 333]]

    (i) Preference for United States manufacture. The Recipient agrees 
that any products embodying subject inventions or produced through the 
use of subject inventions shall be manufactured substantially in the 
United States. However, in individual cases, the requirement to 
manufacture substantially in the United States may be waived by the 
Assistant Administrator for Procurement (Code HS) with the concurrence 
of the Associate General Counsel for Intellectual Property upon a 
showing by the Recipient that under the circumstances domestic 
manufacture is not commercially feasible.
    (j) March-in rights. The Recipient agrees that, with respect to any 
subject invention in which it has acquired title, NASA has the right in 
accordance with the procedures in 37 CFR 401.6 and any supplemental 
regulations of the agency to require the Recipient, an assignee or 
exclusive licensee of a subject invention to grant a nonexclusive, 
partially exclusive, or exclusive license in any field of use to a 
responsible applicant or applicants, upon terms that are reasonable 
under the circumstances, and if the Subcontractor, assignee, or 
exclusive licensee refuses such a request NASA has the right to grant 
such a license itself if the Federal agency determines that--
    (1) Such action is necessary because the Recipient or assignee has 
not taken, or is not expected to take within a reasonable time, 
effective steps to achieve practical application of the subject 
invention in such field of use;
    (2) Such action is necessary to alleviate health or safety needs 
which are not reasonably satisfied by the Recipient, assignee, or their 
licensees;
    (3) Such action is necessary to meet requirements for public use 
specified by Federal regulations and such requirements are not 
reasonably satisfied by the Recipient, assignee, or licensees; or
    (4) Such action is necessary because the agreement required by 
paragraph (i) of this section has not been obtained or waived or because 
a licensee of the exclusive right to use or sell any subject invention 
in the United States is in breach of such agreement.
    (k) Special provisions for Agreements with nonprofit organizations. 
If the Recipient is a nonprofit organization, it agrees that--
    (1) Rights to a subject invention in the United States may not be 
assigned without the approval of NASA, except where such assignment is 
made to an organization which has one of its primary functions the 
management of inventions; provided, that such assignee will be subject 
to the same provisions as the Recipient;
    (2) The Recipient will share royalties collected on a subject 
invention with the inventor, including Federal employee co-inventors 
(when NASA deems it appropriate) when the subject invention is assigned 
in accordance with 35 U.S.C. 202(e) and 37 CFR 401.10;
    (3) The balance of any royalties or income earned by the Recipient 
with respect to subject inventions, after payment of expenses (including 
payments to inventors) incidental to the administration of subject 
inventions will be utilized for the support of scientific research or 
education; and
    (4) It will make efforts that are reasonable under the circumstances 
to attract licensees of subject inventions that are small business 
firms, and that it will give a preference to a small business firm when 
licensing a subject invention if the Recipient determines that the small 
business firm has a plan or proposal for marketing the invention which, 
if executed, is equally as likely to bring the invention to practical 
application as any plans or proposals from applicants that are not small 
business firms; provided that the Recipient is also satisfied that the 
small business firm has the capability and resources to carry out its 
plan or proposal. The decision whether to give a preference in any 
specific case will be at the discretion of the Recipient. However, the 
Recipient agrees that the Secretary of Commerce may review the 
Contractor's licensing program and decisions regarding small business 
applicants, and the Recipient will negotiate changes to its licensing 
policies, procedures, or practices with the Secretary of Commerce when 
the Secretary's review discloses that the Recipient could take 
reasonable steps to more effectively implement the requirements of this 
paragraph.
    (l) Documentation submissions. A copy of all submissions or requests 
required by this clause, plus a copy of any reports, manuscripts, 
publications, or similar material bearing on patent matters, shall be 
sent to the installation Patent Counsel in addition to any other 
submission requirements in the cooperative agreement. If any reports 
contain information describing a ``subject invention'' for which the 
Recipient has elected or may elect title, NASA will use reasonable 
efforts to delay public release by NASA or publication by NASA in a NASA 
technical series, in order for a patent application to be filed, 
provided that the Recipient identify the information and the ``subject 
invention'' to which it relates at the time of submittal. If required by 
the Agreement Officer, the Recipient shall provide the filing date, 
serial number and title, a copy of the patent application, and a patent 
number and issue date for any ``subject invention'' in any country in 
which the Recipient has applied for patents.

[[Page 334]]

                           [End of provision]



Sec.  1274.914  Requests for waiver of rights--large business.

              Requests for Waiver of Rights--Large Business

                                July 2002

    (a) In accordance with the NASA Patent Waiver Regulations, 14 CFR 
part 1245, subpart 1, waiver of rights to any or all inventions made or 
that may be made under a NASA agreement, contract or subcontract with 
other than a small business firm or a domestic nonprofit organization 
may be requested at different time periods. Advance waiver of rights to 
any or all inventions that may be made under a contract or subcontract 
may be requested prior to the execution of the agreement, contract or 
subcontract, or within 30 days after execution by the selected 
Recipient. In addition, waiver of rights to an identified invention made 
and reported under an agreement, contract or subcontract may be 
requested, even though a request for an advance waiver was not made or, 
if made, was not granted.
    (b) Each request for waiver of rights shall be by petition to the 
Administrator and shall include an identification of the petitioner; 
place of business and address; if petitioner is represented by counsel, 
the name, address, and telephone number of the counsel; the signature of 
the petitioner or authorized representative; and the date of signature. 
No specific forms need be used, but the request should contain a 
positive statement that waiver of rights is being requested under the 
NASA Patent Waiver Regulations; a clear indication of whether the 
request is for an advance waiver or for a waiver of rights for an 
individual identified invention; whether foreign rights are also 
requested and, if so, the countries, and a citation of the specific 
Section or Sections of the regulations under which such rights are 
requested; and the name, address, and telephone number of the party with 
whom to communicate when the request is acted upon. Requests for advance 
waiver of rights should, preferably, be included with the proposal, but 
in any event in advance of negotiations.
    (c) Petitions for advance waiver, prior to agreement execution, must 
be submitted to the Agreement Officer. All other petitions will be 
submitted to the Patent Representative designated in the contract.
    (d) Petitions submitted with proposals selected for negotiation of 
an agreement will be forwarded by the Contracting or Officer to the 
installation Patent Counsel for processing and then to the Inventions 
and Contributions Board. The Board will consider these petitions and 
where the Board makes the findings to support the waiver, the Board will 
recommend to the Administrator that waiver be granted, and will notify 
the petitioner and the Agreement Officer of the Administrator's 
determination. The Agreement Officer will be informed by the Board 
whenever there is insufficient time or information or other reasons to 
permit a decision to be made without unduly delaying the execution of 
the agreement. In the latter event, the petitioner will be so notified 
by the Agreement Officer. All other petitions will be processed by 
installation Patent Counsel and forwarded to the Board. The Board shall 
notify the petitioner of its action and if waiver is granted, the 
conditions, reservations, and obligations thereof will be included in 
the Instrument of Waiver. Whenever the Board notifies a petitioner of a 
recommendation adverse to, or different from, the waiver requested, the 
petitioner may request reconsideration under procedures set forth in the 
Regulations.

                           [End of provision]



Sec.  1274.915  Restrictions on sale or transfer of technology to
foreign firms or institutions.

   Restrictions on Sale or Transfer of Technology to Foreign Firms or 
                              Institutions

                                July 2002

    (a) The parties agree that access to technology developments under 
this Agreement by foreign firms or institutions must be carefully 
controlled. For purposes of this clause, a transfer includes a sale of 
the company, or sales or licensing of the technology. Transfers include:
    (1) Sales of products or components,
    (2) Licenses of software or documentation related to sales of 
products or components, or
    (3) Transfers to foreign subsidiaries of the Recipient for purposes 
related to this Agreement.
    (b) The Recipient shall provide timely notice to the Agreement 
Officer in writing of any proposed transfer of technology developed 
under this Agreement. If NASA determines that the transfer may have 
adverse consequences to the national security interests of the United 
States, or to the establishment of a robust United States industry, NASA 
and the Recipient shall jointly endeavor to find alternatives to the 
proposed transfer which obviate or mitigate potential adverse 
consequences of the transfer.

                           [End of provision]



Sec.  1274.916  Liability and risk of loss.

    The following provision is applicable to all cooperative agreements 
with commercial firms, except programs or

[[Page 335]]

projects that are subject to Section 431 of Public Law 105-276, which 
addresses insurance for, or indemnification of, developers of 
experimental aerospace vehicles.

                       Liability and Risk of Loss

                                July 2002

    (a) With regard to activities undertaken pursuant to this agreement, 
neither party shall make any claim against the other, employees of the 
other, the other's related entities (e.g., contractors, subcontractors, 
etc.), or employees of the other's related entities for any injury to or 
death of its own employees or employees of its related entities, or for 
damage to or loss of its own property or that of its related entities, 
whether such injury, death, damage or loss arises through negligence or 
otherwise, except in the case of willful misconduct.
    (b) To the extent that a risk of damage or loss is not dealt with 
expressly in this agreement, each party's liability to the other party 
arising out of this Agreement, whether or not arising as a result of an 
alleged breach of this Agreement, shall be limited to direct damages 
only, and shall not include any loss of revenue or profits or other 
indirect or consequential damages.

                           [End of provision]



Sec.  1274.917  Additional funds.

                            Additional Funds

                                July 2002

    Pursuant to this Agreement, NASA is providing a fixed amount of 
funding for activities to be undertaken under the terms of this 
cooperative agreement. NASA is under no obligation to provide additional 
funds. Under no circumstances shall the Recipient undertake any action 
which could be construed to imply an increased commitment on the part of 
NASA under this cooperative agreement.

                           [End of provision]



Sec.  1274.918  Incremental funding.

                           Incremental Funding

                                July 2002

    (a) Of the award amount indicated on the cover page of this 
Agreement, only the obligated amount indicated on the cover page of this 
agreement is available for payment. NASA may supplement the Agreement, 
as required, until it is fully funded. Any work beyond the funding limit 
will be at the recipient's risk.
    (b) These funds will be obligated as appropriated funds become 
available without any action required of the Recipient. NASA is not 
obligated to make payments in excess of the total funds obligated.

                           [End of provision]



Sec.  1274.919  Cost principles and accounting standards.

                Cost Principles and Accounting Standards

                                July 2002

    The expenditure of Government funds by the Recipient and the 
allowability of costs recognized as a resource contribution by the 
Recipient (See clause entitled ``Resource Sharing Requirements'') shall 
be governed by the FAR cost principles implemented by FAR Parts 30, 31, 
and 48 CFR part 99. (If the Recipient is a consortium which includes 
non-commercial firm members, cost allowability for those members will be 
determined as follows: Allowability of costs incurred by State, local or 
federally-recognized Indian tribal governments is determined in 
accordance with the provisions of OMB Circular A-87, ``Cost Principles 
for State and Local Governments.'' The allowability of costs incurred by 
non-profit organizations is determined in accordance with the provisions 
of OMB Circular A-122, ``Cost Principles for Non-Profit Organizations.'' 
The allowability of costs incurred by institutions of higher education 
is determined in accordance with the provisions of OMB Circular A-21, 
``Cost Principles for Educational Institutions.'' The allowability of 
costs incurred by hospitals is determined in accordance with the 
provisions of Appendix E of 45 CFR part 74, ``Principles for Determining 
Costs Applicable to Research and Development Under Grants and Contracts 
with Hospitals.'')

                           [End of provision]



Sec.  1274.920  Responsibilities of the NASA technical officer.

             Responsibilities of the NASA Technical Officer

                                July 2002

    (a) The NASA Agreement Officer and Technical Officer for this 
cooperative agreement are identified on the cooperative agreement cover 
sheet.
    (b) The Agreement Officer shall serve as NASA's authorized 
representative for the administrative elements of all work to be 
performed under the agreement.
    (c) The Technical Officer shall have the authority to issue written 
Technical Advice which suggests redirecting the project work (e.g., by 
changing the emphasis among different tasks), or pursuing specific lines 
of inquiry likely to assist in accomplishing the effort. The Technical 
Officer shall have the

[[Page 336]]

authority to approve or disapprove those technical reports, plans, and 
other technical information the Recipient is required to submit to NASA 
for approval. The Technical Officer is not authorized to issue and the 
Recipient shall not follow any Technical Advice which constitutes work 
which is not contemplated under this agreement; which in any manner 
causes an increase or decrease in the resource sharing or in the time 
required for performance of the project; which has the effect of 
changing any of the terms or conditions of the cooperative agreement; or 
which interferes with the Recipient's right to perform the project in 
accordance with the terms and conditions of this cooperative agreement. 
In the event of perceived interference, dispute resolution procedures 
apply as set forth in 1274.907.

                           [End of provision]



Sec.  1274.921  Publications and reports: non-proprietary research results.

    The requirements set forth under this provision may be modified by 
the Agreement Officer based on specific report needs for the particular 
grant or cooperative agreement.

       Publications and Reports: Non-Proprietary Research Results

                                July 2002

    (a) NASA encourages the widest practicable dissemination of research 
results at all times during the course of the investigation consistent 
with the other terms of this agreement.
    (b) All information disseminated as a result of the cooperative 
agreement shall contain a statement which acknowledges NASA's support 
and identifies the cooperative agreement by number.
    (c) Prior approval by the NASA Technical Officer is required only 
where the Recipient requests that the results of the research be 
published in a NASA scientific or technical publication. Two copies of 
each draft publication shall accompany the approval request.
    (d) Reports shall contain full bibliographic references, abstracts 
of publications and lists of all other media in which the research was 
discussed. The Recipient shall submit the following technical reports:
    (1) A progress report for every year of the cooperative agreement 
(except the final year). Each report is due 60 days before the 
anniversary date of the cooperative agreement and shall describe 
research accomplished during the report period.
    (2) A summary of research is due by 90 days after the expiration 
date of the cooperative agreement, regardless of whether or not support 
is continued under another cooperative agreement. This report is 
intended to summarize the entire research accomplished during the 
duration of the cooperative agreement.
    (e) Progress reports and summaries of research shall display the 
following on the first page:
    (1) Title of the cooperative agreement.
    (2) Type of report.
    (3) Period covered by the report.
    (4) Name and address of the Recipient's organization.
    (5) Cooperative agreement number.
    (f) An original and two copies, one of which shall be of suitable 
quality to permit micro-reproduction, shall be sent as follows:
    (1) Original--Agreement Officer.
    (2) Copy--Technical Officer
    (3) Micro-reproducible copy--NASA Center for Aerospace Information 
(CASI), Parkway Center, Attn: Document Processing Section, 7121 Standard 
Drive, Hanover, MD 21076.

                           [End of provision]



Sec.  1274.922  Suspension or termination.

                        Suspension or Termination

                                July 2002

    (a) This cooperative agreement may be suspended or terminated in 
whole or in part by the Recipient or by NASA after consultation with the 
other party. With prior written notice, NASA may terminate the 
agreement, for example, if the Recipient is not making anticipated 
technical progress, if the Recipient materially fails to comply with the 
terms of the agreement, if the Recipient materially changes the 
objective of the agreement, or if appropriated funds are not available 
to support the program.
    (b) Upon fifteen (15) days written notice to the other party, either 
party may temporarily suspend the cooperative agreement, pending 
corrective action or a decision to terminate the cooperative agreement. 
The notice should express the reasons why the agreement is being 
suspended.
    (c) In the event of termination by either party, the Recipient shall 
not be entitled to additional funds or payments except as may be 
required by the Recipient to meet NASA's share of commitments which had 
in the judgment of NASA become firm prior to the effective date of 
termination and are otherwise appropriate. In no event, shall these 
additional funds or payments exceed the amount of the next payable 
milestone billing amount.

[[Page 337]]

                           [End of provision]



Sec.  1274.923  Equipment and other property.

                      Equipment and Other Property

                              February 2004

    (a) Under no circumstances shall cooperative agreement funds be used 
to acquire land or any interest therein, to acquire or construct 
facilities (as defined in 48 CFR (FAR) 45.301), or to procure passenger 
carrying vehicles.
    (b) Contractor acquired equipment or property used in performance of 
the Cooperative Agreement shall be controlled in accordance with 48 CFR 
(FAR) 45.6.
    (c) The government shall have title to equipment and other personal 
property acquired with government funds. Such property shall be disposed 
of pursuant to 48 CFR (FAR) 45.603. The Recipient shall have title to 
equipment and other personal property acquired with Recipient funds. 
Such property shall remain with the Recipient at the conclusion of the 
cooperative agreement. Under a shared cost arrangement, the Government 
and the Recipient have joint ownership of acquired property in 
accordance with the cost share ratio. Jointly owned property shall be 
disposed of as agreed to by the parties.
    (d) Title to Government furnished equipment (including equipment, 
title to which has been transferred to the Government prior to 
completion of the work) will remain with the Government.
    (e) The Recipient shall establish and maintain property management 
standards for Government property and otherwise manage such property as 
set forth in 48 CFR (FAR) 45.5 and 48 CFR (NFS) 1845.5.
    (f) Recipients shall submit annually a NASA Form 1018, NASA Property 
in the Custody of Contractors, in accordance with the instructions on 
the form, the provisions of 48 CFR (NFS) 1845.71 and any supplemental 
instructions that may be issued by NASA for the current reporting 
period. The original NF 1018 shall be submitted to the center Deputy 
Chief Financial Officer, Finance, with three copies sent concurrently to 
the center Industrial Property Officer. The annual reporting period 
shall be from October 1 of each year through September 30 of the 
following year. The report shall be submitted in time to be received by 
October 15. Negative reports (i.e. no reportable property) are required. 
The information contained in the reports is entered into the NASA 
accounting system to reflect current asset values for agency financial 
statement purposes. Therefore, it is essential that required reports be 
received no later than October 15. A final report is required within 30 
days after expiration of the agreement.
    (g) As of the date of this rewrite, process changes have been made 
to facilitate electronic submission of NF 1018. Recipients may use the 
procedures established by NASA Procurement Notice (PN) 97-64, issued on 
August 9, 2001.

                           [End of provision]

[67 FR 45790, July 10, 2002, as amended at 69 FR 5017, Feb. 3, 2004]



Sec.  1274.924  Civil rights.

                              Civil Rights

                                July 2002

    Work on NASA cooperative agreements is subject to the provisions of 
Title VI of the Civil Rights Act of 1964 (Public Law 88-352; 42 U.S.C. 
2000d-l), Title IX of the Education Amendments of 1972 (20 U.S.C. 1680 
et seq.), section 504 of the Rehabilitation Act of 1973, as amended (29 
U.S.C. 794), the Age Discrimination Act of 1975 (42 U.S.C. 6101 et 
seq.), and the NASA implementing regulations (14 CFR parts 1250, 1251, 
1252 and 1253).

                           [End of provision]



Sec.  1274.925  Subcontracts.

                              Subcontracts

                                July 2002

    (a) Recipients are not authorized to issue grants or cooperative 
agreements.
    (b) NASA Agreement Officer consent is required for subcontracts 
over[dollar threshold inserted by Agreement Officer] and/or subcontracts 
for [critical systems, subsystems, components, or services inserted by 
Agreement Officer and Cognizant NASA Project Office]___.
    (c) If not submitted by the Recipient and accepted by NASA in the 
original proposal. The Recipient shall provide the following information 
to the Agreement Officer:
    (1) A copy of the proposed subcontract.
    (2) Basis for subcontractor selection.
    (3) Justification for lack of competition when competitive bids or 
offers are not obtained.
    (4) Basis for award cost or award price.
    (d) The Recipient shall utilize small business, veteran-owned small 
business, service-disabled veteran-owned small business, historically 
underutilized small business, small disadvantaged business, women-owned 
business concerns, Historically Black Colleges and Universities, and 
minority educational institutions as subcontractors to the maximum 
extent practicable.
    (e) All entities that are involved in performing the research and 
development effort

[[Page 338]]

that is the purpose of the cooperative agreement shall be part of the 
Recipient's consortium and not subcontractors.

                           [End of provision]



Sec.  1274.926  Clean Air-Water Pollution Control Acts.

                 Clean Air-Water Pollution Control Acts

                                July 2002

    If this cooperative agreement or supplement thereto is in excess of 
$100,000, the Recipient agrees to notify the Agreement Officer promptly 
of the receipt, whether prior or subsequent to the Recipient's 
acceptance of this cooperative agreement, of any communication from the 
Director, Office of Federal Activities, Environmental Protection Agency 
(EPA), indicating that a facility to be utilized under or in the 
performance of this cooperative agreement or any subcontract thereunder 
is under consideration to be listed on the EPA ``List of Violating 
Facilities'' published pursuant to 40 CFR 15.20. By acceptance of a 
cooperative agreement in excess of $100,000, the Recipient--
    (a) Stipulates that any facility to be utilized thereunder is not 
listed on the EPA ``List of Violating Facilities'' as of the date of 
acceptance;
    (b) Agrees to comply with all requirements of section 114 of the 
Clean Air Act, as amended (42 U.S.C. 1857 et seq. as amended by Public 
Law 91-604) and section 308 of the Federal Water Pollution Control Act, 
as amended (33 U.S.C. 1251 et seq. as amended by Public Law 92-500) 
relating to inspection, monitoring, entry, reports and information, and 
all other requirements specified in the aforementioned sections, as well 
as all regulations and guidelines issued thereunder after award of and 
applicable to the cooperative agreement; and
    (c) Agrees to include the criteria and requirements of this clause 
in every subcontract hereunder in excess of $100,000, and to take such 
action as the Contracting or Grant Officer may direct to enforce such 
criteria and requirements.

                           [End of provision]



Sec.  1274.927  Debarment and Suspension and Drug-Free Workplace.

       Debarment and Suspension and Drug-Free Workplace (SEP 2014)

    NASA cooperative agreements are subject to the provisions of 2 CFR 
Part 180, Government-wide Debarment and Suspension (Nonprocurement) and 
2 CFR Part 182, Government-wide requirements for Drug-Free Workplace, 
unless excepted by 2 CFR 180.110 or 180.610.

                           [End of Provision]

[79 FR 56488, Sept. 22, 2014]



Sec.  1274.928  Foreign national employee investigative requirements.

          Foreign National Employee Investigative Requirements

                                July 2002

    (a) The Recipient shall submit a properly executed Name Check 
Request (NASA Form 531) and a completed applicant fingerprint card 
(Federal Bureau of Investigation Card FD-258) for each foreign national 
employee requiring access to a NASA Installation. These documents shall 
be submitted to the Installation's Security Office at least 75 days 
prior to the estimated duty date. The NASA Installation Security Office 
will request a National Agency Check (NAC) for foreign national 
employees requiring access to NASA facilities. The NASA Form 531 and 
fingerprint card may be obtained from the NASA Installation Security 
Office.
    (b) The Installation Security Office will request from NASA 
Headquarters, Code I, approval for each foreign national's access to the 
Installation prior to providing access to the Installation. If the 
access approval is obtained from NASA Headquarters prior to completion 
of the NAC and performance of the cooperative agreement requires a 
foreign national to be given access immediately, the Technical Officer 
may submit an escort request to the Installation's Chief of Security.

                           [End of provision]



Sec.  1274.929  Restrictions on lobbying.

                        Restrictions on Lobbying

                                July 2002

    This award is subject to the provisions of 14 CFR part 1271 ``New 
Restrictions on Lobbying.''

                           [End of provision]



Sec.  1274.930  Travel and transportation.

                        Travel and Transportation

                                July 2002

    (a) For travel funded by the government under this agreement, 
section 5 of the International Air Transportation Fair Competitive 
Practices Act of 1974 (49 U.S.C. 40118) (Fly America Act) requires the 
Recipient to use U.S.-flag air carriers for international air 
transportation of personnel and property to the extent that service by 
those carriers is available.

[[Page 339]]

    (b) Department of Transportation regulations, 49 CFR part 173, 
govern Recipient shipment of hazardous materials and other items.

                           [End of provision]



Sec.  1274.931  Electronic funds transfer payment methods.

                Electronic Funds Transfer Payment Methods

                                July 2002

    Payments under this cooperative agreement will be made by the 
Government by electronic funds transfer through the Treasury Fedline 
Payment System (FEDLINE) or the Automated Clearing House (ACH), at the 
option of the Government. After award, but no later than 14 days before 
an invoice is submitted, the Recipient shall designate a financial 
institution for receipt of electronic funds transfer payments, and shall 
submit this designation to the Agreement Officer or other Government 
official, as directed.
    (a) For payment through FEDLINE, the Recipient shall provide the 
following information:
    (1) Name, address, and telegraphic abbreviation of the financial 
institution receiving payment.
    (2) The American Bankers Association 9-digit identifying number for 
wire transfers of the financing institution receiving payment if the 
institution has access to the Federal Reserve Communication System.
    (3) Payee's account number at the financial institution where funds 
are to be transferred.
    (4) If the financial institution does not have access to the Federal 
Reserve Communications System, name, address, and telegraphic 
abbreviation of the correspondent financial institution through which 
the financial institution receiving payment obtains wire transfer 
activity. Provide the telegraphic abbreviation and American Bankers 
Association identifying number for the correspondent institution.
    (b) For payment through ACH, the Recipient shall provide the 
following information:
    (1) Routing transit number of the financial institution receiving 
payment (same as American Bankers Association identifying number used 
for FEDLINE).
    (2) Number of account to which funds are to be deposited.
    (3) Type of depositor account (``C'' for checking, ``S'' for 
savings).
    (4) If the Recipient is a new enrollee to the ACH system, a 
``Payment Information Form,'' SF 3881, must be completed before payment 
can be processed.
    (c) In the event the Recipient, during the performance of this 
cooperative agreement, elects to designate a different financial 
institution for the receipt of any payment made using electronic funds 
transfer procedures, notification of such change and the required 
information specified above must be received by the appropriate 
Government official 30 days prior to the date such change is to become 
effective.
    (d) The documents furnishing the information required in this clause 
must be dated and contain the signature, title, and telephone number of 
the Recipient official authorized to provide it, as well as the 
Recipient's name and contract number.
    (e) Failure to properly designate a financial institution or to 
provide appropriate payee bank account information may delay payments of 
amounts otherwise properly due.

                           [End of provision]



Sec.  1274.932  Retention and examination of records.

                  Retention and Examination of Records

                                July 2002

    Financial records, supporting documents, statistical records, and 
all other records (or microfilm copies) pertinent to this cooperative 
agreement shall be retained for a period of 3 years, except that records 
for nonexpendable property acquired with cooperative agreement funds 
shall be retained for 3 years after its final disposition and, if any 
litigation, claim, or audit is started before the expiration of the 3-
year period, the records shall be retained until all litigation, claims, 
or audit findings involving the records have been resolved. The 
retention period starts from the date of the submission of the final 
invoice. The Administrator of NASA and the Comptroller General of the 
United States, or any of their duly authorized representatives, shall 
have access to any pertinent books, documents, papers, and records of 
the Recipient and of subcontractors to make audits, examinations, 
excerpts, and transcripts. All provisions of this clause shall apply to 
any subcontractor performing substantive work under this cooperative 
agreement.

                           [End of provision]



Sec.  1274.933  Summary of recipient reporting responsibilities.

             Summary of Recipient Reporting Responsibilities

                                July 2004

    This cooperative agreement requires the recipient to submit a number 
of reports. These reporting requirements are summarized below. In the 
event of a conflict between this provision and other provisions of

[[Page 340]]

the cooperative agreement requiring reporting, the other provisions take 
precedence.
    [The Agreement Officer may add/delete reporting requirements as 
appropriate.]

------------------------------------------------------------------------
           Report                   Frequency             Reference
------------------------------------------------------------------------
Report of Joint NASA/         As required.........  1274.911 Patent
 Recipient Inventions.                               Rights
                                                    (Paragraph (b)(4))
Interim Report of Reportable  Every 12 months.....  1274.912 Patent
 Items.                                              Rights--Retention
                                                     by the Recipient
                                                     (Large Business)
                                                    (Paragraph
                                                     (e)(3)(i))
Final Report of Reportable    3 months after        1274.912 Patent
 Items.                        completion.           Rights--Retention
                                                     by the Recipient
                                                     (Large Business)
                                                     (Paragraph
                                                     (e)(3)(ii))
Disclosure of Subject         Within 2 months       1274.912 Patent
 Inventions.                   after inventor        Rights Retention by
                               discloses it to       the Recipient
                               Recipient.            (Large Business)
                                                     (Paragraph (e)(2))
                                                     or
                                                    1274.913 Patent
                                                     Rights--Retention
                                                     by the Recipient
                                                     (Small Business)
                                                    (Paragraph (c)(1))
Election of Title to a        1 year after          1274.913 Patent
 Subject Invention.            disclosure of the     Rights--Retention
                               subject invention     by the Recipient
                               if a statutory bar    (Small Business)
                               exists, otherwise    (Paragraph (c)(2))
                               within 2 years.
Listing of Subject            Every 12 months from  1274.913 Patent
 Inventions.                   the date of the       Rights--Retention
                               agreement.            by the Recipient
                                                     (Small Business)
                                                    (Paragraph
                                                     (f)(5)(i))
Subject Inventions Final      Prior to close-out    1274.913 Retention
 Report.                       of the agreement.     by the Recipient
                                                     (Small Business)
                                                    (Paragraph
                                                     (f)(5)(ii))
Notification of Decision to   30 days before        1274.913 Patent
 Forego Patent Protection.     expiration of the     Rights--Retention
                               response period.      by the Recipient
                                                     (Small Business)
                                                    (Paragraph (f)(3))
Notification of a             Promptly upon award   1274.912 Patent
 Subcontract Award.            of a subcontract.     Rights--Retention
                                                     by the Recipient
                                                     (Large
                                                     Business)(Paragraph
                                                     (g)(3))
                                                    or 1274.913 Patent
                                                     Rights--Retention
                                                     by the Recipient
                                                     (Small Business)
                                                    (Paragraph (g)(3))
Utilization of Subject        Annually............  1274.913 Patent
 Invention.                                          Rights--Retention
                                                     by the Recipient
                                                     (Small Business)
                                                    (Paragraph (h))
Notice of Proposed Transfer   Prior to              1274.915
 of Technology.                transferring          Restrictions on
                               technology to         Sale or Transfer of
                               foreign firm or       Technology to
                               institution.          Foreign Firms or
                                                     Institutions
                                                    (Paragraph (b))
Progress Report.............  60 days prior to the  1274.921
                               anniversary date of   Publications and
                               the agreement         Reports: Non-
                               (except final year).  Proprietary
                                                     Research Results
                                                    (Paragraph (d)(1))
Summary of Research.........  90 days after         1274.921
                               completion of         Publications and
                               agreement.            Reports: Non-
                                                     Proprietary
                                                     Research Results
                                                    (Paragraph (d)(2))
NASA Form 1018 Property in    Annually by October   1274.923 Equipment
 the Custody of Contractors.   15.                   and Other Property
                                                    (Paragraph (f))
NASA Form 1018 Property in    60 days after         1274.923 Equipment
 the Custody of Contractors.   expiration date of    and Other Property
                               agreement.           (Paragraph (f))
------------------------------------------------------------------------


[67 FR 45790, July 10, 2002, as amended at 69 FR 41936, July 13, 2004]



Sec.  1274.934  Safety.

                                 Safety

                                July 2002

    NASA's safety priority is to protect: (1) The public, (2) astronauts 
and pilots, (3) the NASA workforce (including contractor employees 
working on NASA contracts), and (4) high-value equipment and property.
    (a) The Recipient shall act responsibly in matters of safety and 
shall take all reasonable safety measures in performing under this 
cooperative agreement. The recipient shall comply with all applicable 
federal, state, and local laws relating to safety. The Recipient shall 
maintain a record of, and will notify the NASA Agreement Officer 
immediately (within one workday) of any accident involving death, 
disabling injury or substantial loss of property. The Recipient will 
immediately (within one workday) advise NASA of hazards that come to its 
attention as a result of the work performed.
    (b) Where the work under this cooperative agreement involves flight 
hardware, the hazardous aspects, if any, of such hardware will be 
identified, in writing, by the Recipient.

[[Page 341]]

Compliance with this provision by subcontractors shall be the 
responsibility of the Recipient.

                           [End of provision]



Sec.  1274.935  Security classification requirements.

                  Security Classification Requirements

                                July 2002

    Performance under this Cooperative Agreement will involve access to 
and/or generation of classified information, work in a secure area, or 
both, up to the level of [insert the applicable security clearance 
level]. Federal Acquisition Regulation clause 52.204-2 shall apply to 
this Agreement and DD Form 254, Contract Security Classification 
Specification Attachment ___ [Insert the attachment number of the DD 
Form 254.]

                           [End of provision]



Sec.  1274.936  Breach of safety or security.

                      Breach of Safety or Security

                                July 2002

    Safety is the freedom from those conditions that can cause death, 
injury, occupational illness, damage to or loss of equipment or 
property, or damage to the environment. Safety is essential to NASA and 
is a material part of this contract. NASA's safety priority is to 
protect: The public; astronauts and pilots; the NASA workforce 
(including contractor employees working on NASA contracts); and high-
value equipment and property. A major breach of safety by the Recipient 
entitles the Government to remedies (pending corrective measures by the 
Recipient) which includes, suspension or termination of the Cooperative 
Agreement, require removal or change of Recipient's personnel from 
performing under the Agreement. A major breach of safety must be related 
directly to the work on the Agreement. A major breach of safety is an 
act or omission of the Recipient that consists of an accident, incident, 
or exposure resulting in a fatality or mission failure; or in damage to 
equipment or property equal to or greater than $1 million; or in any 
``willful'' or ``repeat'' violation cited by the Occupational Safety and 
Health Administration (OSHA) or by a state agency operating under an 
OSHA approved plan.
    (a) Security is the condition of safeguarding against espionage, 
sabotage, crime (including computer crime), or attack. A major breach of 
security by the Recipient entitles the Government to remedies (pending 
corrective measures by the Recipient) which includes, suspension or 
termination of the Cooperative Agreement, require removal or change of 
Recipient's personnel from performing under the Cooperative Agreement. A 
major breach of security may occur on or off Government installations, 
but must be related directly to the work on the Cooperative Agreement. A 
major breach of security may arise from any of the following: compromise 
of classified information; illegal technology transfer; workplace 
violence resulting in criminal conviction; sabotage; compromise or 
denial of information technology services; damage or loss greater than 
$250,000 to the Government; or theft.
    (b) In the event of a major breach of safety or security, the 
Recipient shall report the breach to the Agreement Officer. If directed 
by the Agreement Officer, the Recipient shall conduct its own 
investigation and report the results to the Government. The Recipient 
shall cooperate with the Government investigation, if conducted.

                           [End of provision]



Sec.  1274.937  Security requirements for unclassified information
technology resources.

 Security Requirements for Unclassified Information Technology Resources

                                July 2002

    (a) The Recipient shall be responsible for Information Technology 
security for all systems connected to a NASA network or operated by the 
Recipient for NASA, regardless of location. This provision is applicable 
to all or any part of the cooperative agreement that includes 
information technology resources or services in which the Recipient must 
have physical or electronic access to NASA's sensitive information 
contained in unclassified systems that directly support the mission of 
the Agency. This includes information technology, hardware, software, 
and the management, operation, maintenance, programming, and system 
administration of computer systems, networks, and telecommunications 
systems. Examples of tasks that require security provisions include:
    (1) Computer control of spacecraft, satellites, or aircraft or their 
payloads;
    (2) Acquisition, transmission or analysis of data owned by NASA with 
significant replacement cost should the Recipient's copy be corrupted; 
and
    (3) Access to NASA networks or computers at a level beyond that 
granted the general public, e.g. bypassing a firewall.
    (b) The Recipient shall provide, implement, and maintain an IT 
Security Plan. This plan shall describe the processes and procedures 
that will be followed to ensure appropriate security of IT resources 
that are developed, processed, or used under this cooperative agreement. 
The plan shall describe

[[Page 342]]

those parts of the cooperative agreement to which this provision 
applies. The Recipient's IT Security Plan shall be compliant with 
Federal laws that include, but are not limited to, the Computer Security 
Act of 1987 (40 U.S.C. 1441 et seq.) and the Government Information 
Security Reform Act of 2000. The plan shall meet IT security 
requirements in accordance with Federal and NASA policies and procedures 
that include, but are not limited to:
    (1) OMB Circular A-130, Management of Federal Information Resources, 
Appendix III, Security of Federal Automated Information Resources;
    (2) NASA Procedures and Guidelines (NPG) 2810.1, Security of 
Information Technology; and
    (3) Chapter 3 of NPG 1620.1, NASA Security Procedures and 
Guidelines.
    (c) Within __ days after cooperative agreement award, the Recipient 
shall submit for NASA approval an IT Security Plan. This plan must be 
consistent with and further detail the approach contained in the 
Recipient's proposal that resulted in the award of this cooperative 
agreement and in compliance with the requirements stated in this 
provision. The plan, as approved by the Agreement Officer, shall be 
incorporated into the cooperative agreement as a compliance document.
    (d)(1) Recipient personnel requiring privileged access or limited 
privileged access to systems operated by the Recipient for NASA or 
interconnected to a NASA network shall be screened at an appropriate 
level in accordance with NPG 2810.1, Section 4.5; NPG 1620.1, Chapter 3; 
and paragraph (d)(2) of this provision. Those Recipient personnel with 
non-privileged access do not require personnel screening. NASA shall 
provide screening using standard personnel screening National Agency 
Check (NAC) forms listed in paragraph (d)(3) of this provision, unless 
Recipient screening in accordance with paragraph (d)(4) is approved. The 
Recipient shall submit the required forms to the NASA Center Chief of 
Security (CCS) within fourteen (14) days after cooperative agreement 
award or assignment of an individual to a position requiring screening. 
The forms may be obtained from the CCS. At the option of the government, 
interim access may be granted pending completion of the NAC.
    (2) Guidance for selecting the appropriate level of screening is 
based on the risk of adverse impact to NASA missions. NASA defines three 
levels of risk for which screening is required (IT-1 has the highest 
level of risk):
    (i) IT-1--Individuals having privileged access or limited privileged 
access to systems whose misuse can cause very serious adverse impact to 
NASA missions. These systems include, for example, those that can 
transmit commands directly modifying the behavior of spacecraft, 
satellites or aircraft.
    (ii) IT-2--Individuals having privileged access or limited 
privileged access to systems whose misuse can cause serious adverse 
impact to NASA missions. These systems include, for example, those that 
can transmit commands directly modifying the behavior of payloads on 
spacecraft, satellites or aircraft; and those that contain the primary 
copy of ``level 1'' data whose cost to replace exceeds one million 
dollars.
    (iii) IT-3--Individuals having privileged access or limited 
privileged access to systems whose misuse can cause significant adverse 
impact to NASA missions. These systems include, for example, those that 
interconnect with a NASA network in a way that exceeds access by the 
general public, such as bypassing firewalls; and systems operated by the 
Recipient for NASA whose function or data has substantial cost to 
replace, even if these systems are not interconnected with a NASA 
network.
    (3) Screening for individuals shall employ forms appropriate for the 
level of risk as follows:
    (i) IT-1: Fingerprint Card (FC) 258 and Standard Form (SF) 85P, 
Questionnaire for Public Trust Positions;
    (ii) IT-2: FC 258 and SF 85, Questionnaire for Non-Sensitive 
Positions; and
    (iii) IT-3: NASA Form 531, Name Check, and FC 258.
    (4) The Agreement Officer may allow the Recipient to conduct its own 
screening of individuals requiring privileged access or limited 
privileged access provided the Recipient can demonstrate that the 
procedures used by the Recipient are equivalent to NASA's personnel 
screening procedures. As used here, equivalent includes a check for 
criminal history, as would be conducted by NASA, and completion of a 
questionnaire covering the same information as would be required by 
NASA.
    (5) Screening of Recipient personnel may be waived by the Agreement 
Officer for those individuals who have proof of--
    (i) Current or recent national security clearances (within last 
three years);
    (ii) Screening conducted by NASA within last three years; or
    (iii) Screening conducted by the Recipient, within last three years, 
that is equivalent to the NASA personnel screening procedures as 
approved by the Agreement Officer under paragraph (d)(4) of this 
provision.
    (e) The Recipient shall ensure that its employees, in performance of 
the cooperative agreement, receive annual IT security training in NASA 
IT Security policies, procedures, computer ethics, and best practices in 
accordance with NPG 2810.1, Section 4.3 requirements. The Recipient may 
use web-based training available from NASA to meet this requirement.

[[Page 343]]

    (f) The Recipient shall afford NASA, including the Office of 
Inspector General, access to the Recipient's, subcontractors' or 
subawardees' facilities, installations, operations, documentation, 
databases and personnel used in performance of the cooperative 
agreement. Access shall be provided to the extent required to carry out 
a program of IT inspection, investigation and audit to safeguard against 
threats and hazards to the integrity, availability and confidentiality 
of NASA data or to the function of computer systems operated on behalf 
of NASA, and to preserve evidence of computer crime.
    (g) The Recipient shall incorporate the substance of this clause in 
all subcontracts or subagreements that meet the conditions in paragraph 
(a) of this provision.

                           [End of provision]



Sec.  1274.938  Modifications.

                              Modifications

                                July 2002

    During the term of this agreement and in the interest of achieving 
program objectives, the parties may agree to changes that affect the 
responsibility statements, milestones, or other provisions of this 
agreement. Any changes to this agreement will be accomplished by a 
written bilateral modification.

                           [End of provision]



Sec.  1274.939  Application of Federal, State, and Local laws
and regulations.

      Application of Federal, State, and Local Laws and Regulations

                                July 2002

    (a) Federal Laws and Regulations. This Cooperative Agreement shall 
be governed by the Federal Laws, regulations, policies, and related 
administrative practices applicable to this Cooperative Agreement on the 
date the Agreement is executed. The Recipient understands that such 
Federal laws, regulations, policies, and related administrative 
practices may be modified from time to time. The Recipient agrees to 
consider modifying this Agreement to be governed by those later modified 
Federal laws, regulations, policies, and related administrative 
practices that directly affect performance of the Project.
    (b) State or Territorial Law and Local Law. Except to the extent 
that a Federal statute or regulation preempts State or territorial law, 
nothing in the Cooperative Agreement shall require the Recipient to 
observe or enforce compliance with any provision thereof, perform any 
other act, or do any other thing in contravention of any applicable 
State or territorial law; however, if any of the provisions of the 
Cooperative Agreement violate any applicable State or territorial law, 
or if compliance with the provisions of the Agreement would require the 
Recipient to violate any applicable State or territorial law, the 
Recipient agrees to notify the Government (NASA) immediately in writing 
in order that the Government and the Recipient may make appropriate 
arrangements to proceed with the Project as soon as possible.
    (c) Changed Conditions of Performance (Including Litigation). The 
Recipient agrees to notify the Government (NASA) immediately of any 
change in State or local law, conditions, or any other event that may 
significantly affect its ability to perform the Project in accordance 
with the terms of this Cooperative Agreement. In addition, the Recipient 
agrees to notify the Government (NASA) immediately of any decision 
pertaining to the Recipient's conduct of litigation that may affect the 
Government's interests in the Project or the Government's administration 
or enforcement of applicable Federal laws or regulations. Before the 
Recipient may name the Government as a party to litigation for any 
reason, the Recipient agrees to inform the Government; this proviso 
applies to any type of litigation whatsoever, in any forum.
    (d) No Government Obligations to Third Parties. Absent the 
Government's express written consent, and notwithstanding any 
concurrence by the Government in or approval of the award of any 
Agreement of the Recipient (third party contract) or subcontract of the 
Recipient (third party subcontract) or the solicitation thereof, the 
Government shall not be subject to any obligations or liabilities to 
third party contractors or third party subcontractors or any other 
person(s).

                           [End of provision]



Sec.  1274.940  Changes in recipient's membership.

                    Changes in Recipient's Membership

                                July 2002

    The Recipient shall notify the cognizant Agreement Officer within 
seven (7) days of any change in the corporate membership (ownership) 
structure of the Recipient, including the addition or withdrawal of any 
of the Recipient's affiliated members (e.g., Consortium Member). If NASA 
reasonably determines that any change in the corporate membership 
(ownership) of Recipient will conflict with NASA's objectives for the 
___ Project or any statutory or regulatory restriction applicable to the 
agency, NASA may terminate this Agreement after giving the Agreement 
Recipient at least ninety (90) days prior written notice of such 
perceived

[[Page 344]]

conflict and a reasonable opportunity to cure such conflict.

                           [End of provision]



Sec.  1274.941  Insurance and indemnification.

    The following provision is applicable to all cooperative agreements 
with commercial firms that involve programs or projects that are subject 
to Section 431 of Public Law 105-276, which addresses insurance for, or 
indemnification of, developers of experimental aerospace vehicles.

                      Insurance and Indemnification

                                July 2002

    (a) General. The Recipient has applied, under the provisions of 
Section 431 of Public Law 105-276 (Section 431), for indemnification by 
the Government against certain third party damage claims that might 
arise under the Agreement. Under Section 431, a necessary prerequisite 
to, and consideration for, the Government's granting such 
indemnification is the Recipient's obtaining insurance against an 
initial increment of such damages arising from certain third party 
claims. This provision sets forth the requirements for this insurance 
prerequisite to a Government grant of indemnification.
    (b) Definitions. The definitions at 14 CFR 1266, Cross-Waivers and 
Indemnification, apply to this provision.
    (c) Insurance. The Recipient shall obtain, as part of its financial 
contribution, insurance that meets the following parameters:
    (1) The insurance policy or policies shall insure against damages 
incurred by third parties arising from covered activities;
    (2) The amount of insurance applicable to each launch shall be 
[Amount to be inserted by the contracting officer]. The Government may 
subsequently increase the amount of insurance the Recipient is required 
to maintain to qualify for indemnification, for one or more launches, 
and the Recipient shall pay the additional cost of such increases from 
its financial contribution; and
    (3) The insurance policy or policies shall name the parties and 
their related entities, and the employees of the parties and their 
related entities, as named insureds.
    Nothing in this provision precludes the Recipient from obtaining, at 
no cost to the Government, such other insurance as the Recipient 
determines advisable to protect its business interests.
    (d) Proof of Insurance. The Recipient shall provide proof of 
insurance that meets the parameters in paragraph (c) of this provision 
and that is acceptable to the Agreement Officer:
    (1) Within 30/60 days after the execution of the modification adding 
this provision to the Agreement;
    (2) No later than 30 days before each launch; and
    (3) Within 7 days after a request by the Agreement Officer.
    Moreover, the Recipient shall promptly notify the Agreement Officer 
of any termination, or of any change to the terms or conditions of an 
insurance policy or policies for which proof of insurance was provided.
    (e) Notification of Claims. The Recipient shall--
    (1) Promptly notify the Agreement Officer of any third party claim 
or suit against the Recipient, one of its related entities, any employee 
of the Recipient or its related entities, or any insurer of the 
Recipient for damages resulting from covered activities;
    (2) Furnish evidence or proof of any such claim, suit or damages, in 
the form required by NASA; and
    (3) Immediately furnish to NASA, or its designee, copies of all 
information received by the Recipient, or by any related entity, 
employee or insurer that is pertinent to such claim, suit or damages.
    (f) NASA Concurrence in Settlements. NASA shall concur or not concur 
in each settlement of a third party claim by the Recipient's insurer(s). 
For purposes of determining the amount of indemnification under this 
cooperative agreement. Adjudicated claims shall be deemed concurred in 
by NASA.

                           [End of provision]



Sec.  1274.942  Export licenses.

                             Export Licenses

                                July 2002

    (a) The Recipient shall comply with all U.S. export control laws and 
regulations, including the International Traffic in Arms Regulations 
(ITAR), 22 CFR Parts 120 through 130, and the Export Administration 
Regulations (EAR), 15 CFR parts 730 through 799, in the performance of 
this Cooperative Agreement. In the absence of available license 
exemptions/exceptions, the Recipient shall be responsible for obtaining 
the appropriate licenses or other approvals, if required, for exports of 
hardware, technical data, and software, or for the provision of 
technical assistance.
    (b) The Recipient shall be responsible for obtaining export 
licenses, if required, before utilizing foreign persons in the 
performance of this Cooperative Agreement, including instances where the 
work is to be performed on-site at [insert name of NASA installation], 
where the foreign person will have access to export-controlled technical 
data or software.

[[Page 345]]

    (c) The Recipient shall be responsible for all regulatory record 
keeping requirements associated with the use of licenses and license 
exemptions/exceptions.
    (d) The Recipient shall be responsible for ensuring that the 
requirements of this provision apply to its subcontractors.
    (e) The Recipient may request, in writing, that the Agreement 
Officer authorize it to export ITAR-controlled technical data (including 
software) pursuant to the exemption at 22 CFR 125.4(b)(3). The Agreement 
Officer or designated representative may authorize or direct the use of 
the exemption where the data does not disclose details of the design, 
development, production, or manufacture of any defense article.

                           [End of provision]



Sec.  1274.943  Investigation of research misconduct.

                  Investigation of Research Misconduct

                                May 2005

    Recipients of this cooperative agreement are subject to the 
requirements of 14 CFR part 1275, ``Investigation of Research 
Misconduct.''

                           [End of provision]

[70 FR 28809, May 19, 2005]



Sec.  1274.944  Award term and condition for recipient integrity
and performance matters.

    (a) Reporting of matters related to recipient integrity and 
performance--(1) General reporting requirement. (i) If the total value 
of your currently active grants, cooperative agreements, and procurement 
contracts from all Federal awarding agencies exceeds $10,000,000 for any 
period during the period of performance of this Federal award, then you 
as the recipient during that period of time must maintain the currency 
of information reported in FAPIIS about civil, criminal, or 
administrative proceedings described in paragraph (a)(2) of this 
section. This is a statutory requirement under section 872 of Public Law 
110-417, as amended (41 U.S.C. 2313).
    (ii) As required by section 3010 of Public Law 111-212, all 
information posted in FAPIIS on or after April 15, 2011, except past 
performance reviews required for Federal procurement contracts, will be 
publicly available.
    (2) Proceedings about which you must report. Submit the information 
required about each proceeding that--
    (i) Is in connection with the award or performance of a grant, 
cooperative agreement, or procurement contract from the Federal 
Government;
    (ii) Reached its final disposition during the most recent five year 
period; and
    (iii) Is one of the following:
    (A) A criminal proceeding that resulted in a conviction, as defined 
in paragraph (a)(5)(ii) of this section.
    (B) A civil proceeding that resulted in a finding of fault and 
liability and payment of a monetary fine, penalty, reimbursement, 
restitution, or damages of $5,000 or more.
    (C) An administrative proceeding, as defined in paragraph (a)(5)(i) 
of this award term and condition, that resulted in a finding of fault 
and liability and your payment of either a monetary fine or penalty of 
$5,000 or more or reimbursement, restitution, or damages in excess of 
$100,000.
    (D) Any other criminal, civil, or administrative proceeding if--
    (1) It could have led to an outcome described in paragraph 
(a)(2)(iii)(A), (B), or (C) of this section;
    (2) It had a different disposition arrived at by consent or 
compromise with an acknowledgment of fault on your part; and
    (3) The requirement in this award term and condition to disclose 
information about the proceeding does not conflict with applicable laws 
and regulations.
    (3) Reporting procedures. Enter in the SAM Entity Management area 
the information that SAM requires about each proceeding described in 
paragraph (a)(4) of this section. You do not need to submit the 
information a second time under assistance awards that you received if 
you already provided the information through SAM, because you were 
required to do so under Federal procurement contracts that you were 
awarded.
    (4) Reporting frequency. During any period of time when you are 
subject to the requirement in paragraph (a)(1) of this section, you must 
report proceedings information through SAM for the most recent five year 
period, either

[[Page 346]]

to report new information about any proceeding(s) that you have not 
reported previously or affirm that there is no new information to 
report. Recipients that have Federal contract, grant, and cooperative 
agreement awards with a cumulative total value greater than $10,000,000 
must disclose semiannually any information about the criminal, civil, 
and administrative proceedings.
    (5) Definitions. For purposes of this section:
    (i) Administrative proceeding means a non-judicial process that is 
adjudicatory in nature in order to make a determination of fault or 
liability (e.g., Securities and Exchange Commission Administrative 
proceedings, Civilian Board of Contract Appeals proceedings, and Armed 
Services Board of Contract Appeals proceedings). This includes 
proceedings at the Federal and State level but only in connection with 
performance of a Federal contract or grant. It does not include audits, 
site visits, corrective plans, or inspection of deliverables.
    (ii) Conviction, for purposes of this award term and condition, 
means a judgment or conviction of a criminal offense by any court of 
competent jurisdiction, whether entered upon a verdict or a plea, and 
includes a conviction entered upon a plea of nolo contendere.
    (6) Total value of currently active grants, cooperative agreements, 
and procurement contracts includes--
    (i) Only the Federal share of the funding under any Federal award 
with a recipient cost share or match; and
    (ii) The value of all expected funding increments under a Federal 
award and options, even if not yet exercised.
    (b) [Reserved]

[81 FR 35586, June 3, 2016]



             Sec. Appendix to Part 1274--Listing of Exhibits

               Exhibit A to Part 1274--Contract Provisions

    All contracts awarded by a recipient, including small purchases, 
shall contain the following provisions if applicable:
    1. Equal Employment Opportunity--All contracts shall contain a 
provision requiring compliance with E.O. 11246, ``Equal Employment 
Opportunity,'' as amended by E.O. 11375, ``Amending Executive Order 
11246 Relating to Equal Employment Opportunity,'' and as supplemented by 
regulations at 41 CFR Part 60, ``Office of Federal Contract Compliance 
Programs, Equal Employment Opportunity, Department of Labor.''
    2. Copeland ``Anti-Kickback'' Act (18 U.S.C. 874 and 40 U.S.C. 
276c)--All contracts in excess of $50,000 for construction or repair 
awarded by Recipients and subrecipients shall include a provision for 
compliance with the Copeland ``Anti-Kickback'' Act (18 U.S.C. 874), as 
supplemented by Department of Labor regulations (29 CFR part 3, 
``Contractors and Subcontractors on Public Building or Public Work 
Financed in Whole or in Part by Loans or Grants from the United 
States''). The Act provides that each recipient or subrecipient shall be 
prohibited from inducing, by any means, any person employed in the 
construction, completion, or repair of public work, to give up any part 
of the compensation to which he is otherwise entitled. The recipient 
shall report all suspected or reported violations to NASA.
    3. Contract Work Hours and Safety Standards Act (40 U.S.C. 327-
333)--Where applicable, all contracts awarded by recipients in excess of 
$2,000 for construction contracts and in excess of $50,000 for other 
contracts, other than contracts for commercial items, that involve the 
employment of mechanics or laborers shall include a provision for 
compliance with sections 102 and 107 of the Contract Work Hours and 
Safety Standards Act (40 U.S.C. 327-333), as supplemented by Department 
of Labor regulations (29 CFR part 5). Under Subsection 102 of the Act, 
each recipient shall be required to compute the wages of every mechanic 
and laborer on the basis of a standard work week of 40 hours. Work in 
excess of the standard work week is permissible provided that the worker 
is compensated at a rate of not less than 1\1/2\ times the basic rate of 
pay for all hours worked in excess of 40 hours in the work week. Section 
107 of the Act is applicable to construction work and provides that no 
laborer or mechanic shall be required to work in surroundings or under 
working conditions which are unsanitary, hazardous or dangerous. These 
requirements do not apply to the purchases of supplies or materials or 
articles ordinarily available on the open market, or contracts for 
transportation or transmission of intelligence.
    4. Rights to Inventions Made Under a Contract or Agreement--
    Contracts or agreements for the performance of experimental, 
developmental, or research work shall provide for the rights of the 
Federal Government and the Recipient in any resulting invention in 
accordance with 37 CFR part 401, ``Rights to Inventions Made by 
Nonprofit Organizations and Small Business Firms Under Government 
Grants, Contracts and Cooperative Agreements,'' and

[[Page 347]]

any implementing regulations issued by the awarding agency.
    5. Clean Air Act (42 U.S.C. 7401 et seq.) and the Federal Water
    Pollution Control Act (33 U.S.C. 1251 et seq.), as amended--
Contracts, other than contracts for commercial items, of amounts in 
excess of $100,000 shall contain a provision that requires the Recipient 
to agree to comply with all applicable standards, orders or regulations 
issued pursuant to the Clean Air Act (42 U.S.C. 7401 et seq.) and the 
Federal Water Pollution Control Act as amended (33 U.S.C. 1251 et seq.). 
Violations shall be reported to NASA and the Regional Office of the 
Environmental Protection Agency (EPA).
    6. Byrd Anti-Lobbying Amendment (31 U.S.C. 1352)--Contractors who 
apply or bid for an award of $100,000 or more shall file the required 
certification. Each tier certifies to the tier above that it will not 
and has not used Federal appropriated funds to pay any person or 
organization for influencing or attempting to influence an officer or 
employee of any agency, a member of Congress, officer or employee of 
Congress, or an employee of a member of Congress in connection with 
obtaining any Federal contract, grant or any other award covered by 31 
U.S.C. 1352. Each tier shall also disclose any lobbying with non-Federal 
funds that takes place in connection with obtaining any Federal award. 
Such disclosures are forwarded from tier to tier up to the Recipient.
    7. Debarment and Suspension (E.O.s 12549 and 12689)--No contract 
shall be made to parties listed on the General Services Administration's 
List of Parties Excluded from Federal Procurement or Nonprocurement 
Programs in accordance with E.O.s 12549 and 12689, ``Debarment and 
Suspension.'' This list contains the names of parties debarred, 
suspended, or otherwise excluded by agencies, and contractors declared 
ineligible under statutory or regulatory authority other than E.O. 
12549. Contractors with awards that exceed the simplified acquisition 
threshold shall provide the required certification regarding its 
exclusion status and that of its principal employees.

                     Exhibit B to Part 1274--Reports

                         1. Property Reporting.

    As provided in paragraph (f) of Sec.  1274.923, an annual NASA Form 
(NF) 1018, NASA Property in the Custody of Contractors, will be 
submitted by October 31 of each year. Negative annual reports are 
required. A final report is required within 30 days after expiration of 
the agreement (also see paragraph (g) of 1274.923 for electronic 
submission guidance).

              2. Disclosure of Lobbying Activities (SFLLL)

    (a) Agreement Officers shall provide one copy of each SF LLL 
furnished under 14 CFR 1271.110 to the Procurement Officer for 
transmittal to the Director, Analysis Division (Code HC).
    (b) Suspected violations of the statutory prohibitions imple mented 
by 14 CFR part 1271 shall be reported to the Director, Contract 
Management Division (Code HK).

[67 FR 45790, July 10, 2002, as amended at 72 FR 40066, July 23, 2007]



PART 1275_RESEARCH MISCONDUCT--Table of Contents



Sec.
1275.100 Purpose and scope.
1275.101 Definitions.
1275.102 OIG handling of research misconduct matters.
1275.103 Role of awardee institutions.
1275.104 Conduct of Inquiry by the OIG.
1275.105 Conduct of the OIG investigation of research misconduct.
1275.106 Administrative actions.
1275.107 Adjudication.
1275.108 Appeals.

Appendix: NASA Research Disciplines and Respective Associated 
          Enterprises

    Authority: Pub. L. 85-568, 72 Stat. 426, 42 U.S.C. 2473.

    Source: 69 FR 42103, July 14, 2004, unless otherwise noted.



Sec.  1275.100  Purpose and scope.

    (a) The purpose of this part is to establish procedures to be used 
by the National Aeronautics and Space Administration (NASA) for the 
handling of allegations of research misconduct. Specifically, the 
procedures contained in this part are designed to result in:
    (1) Findings as to whether research misconduct by a person or 
institution has occurred in proposing, performing, reviewing, or 
reporting results from research activities funded or supported by NASA; 
and
    (2) Recommendations on appropriate administrative actions that may 
be undertaken by NASA in response to research misconduct determined to 
have occurred.
    (b) This part applies to all research wholly or partially funded or 
supported by NASA. This includes any research conducted by a NASA 
installation and any research conducted by a public or private entity 
receiving NASA funds or

[[Page 348]]

using NASA facilities, equipment or personnel, under a contract, grant, 
cooperative agreement, Space Act agreement, or other transaction with 
NASA.
    (c) NASA shall make a determination of research misconduct only 
after careful inquiry and investigation by an awardee institution, 
another Federal agency, or NASA, and an adjudication conducted by NASA. 
NASA shall afford the accused individual or institution a chance to 
comment on the investigation report and a chance to appeal the decision 
resulting from the adjudication. In structuring procedures in individual 
cases, NASA may take into account procedures already followed by other 
entities investigating the same allegation of research misconduct. 
Investigation of allegations which, if true, would constitute criminal 
offenses, are not covered by this part.
    (d) A determination that research misconduct has occurred must be 
accompanied by recommendations on appropriate administrative actions. 
However, the administrative actions themselves may be imposed only after 
further procedures described in applicable Federal acquisition and NASA 
regulations concerning contracts, cooperative agreements, grants, Space 
Act agreements, or other transactions, depending on the type of 
agreement used to fund or support the research in question. 
Administrative actions involving NASA civil service employees may be 
imposed only in compliance with all relevant Federal laws and policies.
    (e) Allegations of research misconduct concerning NASA research may 
be transmitted to NASA in one of the following ways: By mail address to 
the Office of Inspector General (OIG), National Aeronautics and Space 
Administration, 300 E Street SW., Washington, DC 20546-0001 via the NASA 
OIG Hotline at 1-800-424-9183, or cyber hotline at http://oig.nasa.gov/
hotline.html.
    (f) To the extent permitted by law, the identity of the Complainant, 
witnesses, or other sources of information who wish to remain anonymous 
shall be kept confidential. To the extent permitted by law, NASA shall 
protect the research misconduct inquiry, investigation, adjudication, 
and appeal records maintained by NASA as exempt from mandatory 
disclosure under 5 U.S.C. 552, the Freedom of Information Act, as 
amended, and 5 U.S.C. 552a, the Privacy Act, as amended.

[69 FR 42103, July 14, 2004, as amended at 77 FR 44440, July 30, 2012]



Sec.  1275.101  Definitions.

    (a) Research misconduct means fabrication, falsification, or 
plagiarism in proposing, performing, or reviewing research, or in 
reporting research results. Research misconduct does not include honest 
error or differences of opinion. Research as used in this part includes 
all basic and applied research as defined in OMB Circular A-11 in all 
fields of science, engineering, and mathematics, including, but not 
limited to, research in space and Earth sciences, economics, education, 
linguistics, medicine, psychology, social sciences, statistics, and 
biological and physical research (ground based and microgravity), 
including research involving human subjects or animals.
    (b) Fabrication means making up data or results and recording or 
reporting them.
    (c) Falsification means manipulating research materials, equipment, 
or processes, or changing or omitting data or results such that the 
research is not accurately represented in the research record.
    (d) Plagiarism means the appropriation of another person's ideas, 
processes, results, or words without giving appropriate credit.
    (e) Awardee institution means any public or private entity or 
organization (including a Federal, State, or local agency) that is a 
party to a NASA contract, grant, cooperative agreement, Space Act 
agreement, or to any other transaction with NASA, whose purpose includes 
the conduct of research.
    (f) NASA research means research wholly or partially funded or 
supported by NASA involving an awardee institution or a NASA 
installation. This definition includes research wholly or partially 
funded by NASA appropriated funds, or research involving the use of NASA 
facilities, equipment, or personnel.
    (g) NASA research discipline means one of the following areas of 
research that together comprise NASA's research mission for aeronautics, 
space

[[Page 349]]

science, Earth science, biomedicine, biology, engineering and physical 
sciences (physics and chemistry).
    (h) Inquiry means the assessment of whether an allegation of 
research misconduct has substance and warrants an investigation.
    (i) Investigation means the formal development of a factual record 
and the examination of that record leading to recommended findings on 
whether research misconduct has occurred, and if the recommended 
findings are that such conduct has occurred, to include recommendations 
on appropriate administrative actions.
    (j) Complainant is the individual bringing an allegation of research 
misconduct related to NASA research.
    (k) Respondent is the individual or institution who is the subject 
of an allegation of research misconduct related to NASA research.
    (l) Adjudication means the formal procedure for reviewing and 
evaluating the investigation report and the accompanying evidentiary 
record and for determining whether to accept the recommended findings 
and any recommendations for administrative actions resulting from the 
investigation.
    (m) NASA Adjudication Official is the NASA Associate Administrator 
of a Mission Directorate, Chief Technologist, or Chief Engineer, 
depending on the research area involved in the misconduct allegation (as 
described in the list of NASA research disciplines and their associated 
directorates contained in the Appendix to this part).
    (n) Appeal means the formal procedure initiated at the request of 
the Respondent for review of a determination resulting from the 
adjudication and for affirming, overturning, or modifying it.
    (o) NASA Appeals Official is the NASA Deputy Administrator or other 
official designated by the NASA Administrator.

[69 FR 42103, July 14, 2004, as amended at 77 FR 44441, July 30, 2012]



Sec.  1275.102  OIG handling of research misconduct matters.

    (a) When an allegation is made to the OIG, rather than to the 
awardee institution, the OIG shall determine whether the allegation 
concerns NASA research and whether the allegation, if true, falls within 
the definition of research misconduct in Sec.  1275.101(a). 
Investigation of allegations which, if true, would constitute criminal 
offenses, are not covered by this part. If these criteria are met and 
the research in question is being conducted by NASA researchers, the OIG 
shall proceed in accordance with Sec.  1275.104. If the research in 
question is being conducted at an awardee institution, another Federal 
agency, or is a collaboration between NASA researchers and co-
investigators at either academia or industry, the OIG must refer the 
allegation that meets the definition of research misconduct to the 
entities involved and determine whether to--
    (1) Defer its inquiry or investigation pending review of the results 
of an inquiry or investigation conducted at the awardee institution or 
at the Federal agency (referred to for purposes of this part as external 
investigations) determined to be the lead investigative organization for 
the case; or
    (2) Commence its own inquiry or investigation.
    (b) The OIG must inform the NASA Office of the Chief Scientist of 
all allegations that meet the definition of research misconduct received 
by the OIG and of the determinations of the OIG required by Sec.  
1275.101. The NASA Office of the Chief Scientist shall notify the NASA 
Office of the Chief Engineer or the NASA Office of the Chief 
Technologist when the research is either engineering or technology 
research.
    (c) The OIG should defer its inquiry or investigation pending review 
of the results of an external investigation whenever possible. 
Nevertheless, the OIG retains the right to proceed at any time with a 
NASA inquiry or investigation. Circumstances in which the OIG may elect 
not to defer its inquiry or investigation include, but are not limited 
to, the following:
    (1) When the OIG determines that the awardee institution is not 
prepared to handle the allegation in a manner consistent with this part;
    (2) When the OIG determines that NASA involvement is needed to 
protect the public interest, including public health and safety;

[[Page 350]]

    (3) When the OIG determines that the allegation involves an awardee 
institution of sufficiently small size that it cannot reasonably conduct 
the investigation itself;
    (4) When the OIG determines that a NASA program or project could be 
jeopardized by the occurrence of research misconduct; or
    (5) When the OIG determines that any of the notifications or 
information required to be given to the OIG by the awardee institution 
pursuant to Sec.  1275.103(b) requires NASA to cease its deferral to the 
awardee institution's procedures and to conduct its own inquiry or 
investigation.
    (d) A copy of the investigation report, evidentiary record, and 
final determination resulting from an external investigation must be 
transmitted to the OIG for review. The OIG shall determine whether to 
recommend to the NASA Adjudication Official, or to the lead 
investigative organization in cases that involve multiple institutions, 
acceptance of the investigation report and final determination in whole 
or in part. The OIG's decision must be made within 45 days of receipt of 
the investigation report and evidentiary record. This period of time may 
be extended by the OIG for good cause. The OIG shall make this decision 
based on the OIG's assessment of the completeness of the investigation 
report, and the OIG's assessment of whether the investigating entity 
followed reasonable procedures, including whether the Respondent had an 
adequate opportunity to comment on the investigation report and whether 
these comments were given due consideration. If the OIG decides to 
recommend acceptance of the results of the external investigation, in 
whole or in part, the OIG shall transmit a copy of the final 
determination, the investigation report, and the evidentiary record to 
the NASA Adjudication Official, and to the NASA Office of the Chief 
Scientist. When the OIG decides not to recommend acceptance, the OIG 
must initiate its own investigation.
    (e) In the case of an investigation conducted by the OIG, the OIG 
shall transmit copies of the investigation report, including the 
Respondent's written comments (if any), the evidentiary record and its 
recommendations, to the institution, to the NASA Adjudication Official 
and to the NASA Office of the Chief Scientist.
    (f) Upon learning of alleged research misconduct, the OIG shall 
identify potentially implicated awards or proposals and, when 
appropriate, shall ensure that program, grant, or contracting officers 
handling them are informed. Neither a suspicion nor allegation of 
research misconduct, nor a pending inquiry or investigation, shall 
normally delay review of proposals. Subject to paragraph (g) of this 
section, reviewers or panelists shall not be informed of allegations or 
of ongoing inquiries or investigations in order to avoid influencing 
reviews. In the event that an application receives a fundable rating or 
ranking by a review panel, funding can be deferred by the program until 
the completion of the inquiry or investigation.
    (g) If, during the course of an OIG conducted inquiry or 
investigation, it appears that immediate administrative action, as 
described in Sec.  1275.106, is necessary to protect public health or 
safety, Federal resources or interests, or the interests of those 
involved in the inquiry or investigation, the OIG shall inform the NASA 
sponsor for the research and the NASA Office of the Chief Scientist.



Sec.  1275.103  Role of awardee institutions.

    (a) The awardee institutions have the primary responsibility for 
prevention and detection of research misconduct and for the inquiry, 
investigation, and adjudication of research misconduct alleged to have 
occurred in association with their own institutions, although NASA has 
ultimate oversight authority for NASA research.
    (b) When an allegation of research misconduct related to NASA 
research is made directly to the OIG and the OIG defers to the awardee 
institution's inquiry or investigation, or when an allegation of 
research misconduct related to NASA research is made directly to the 
awardee institution which commences an inquiry or investigation, the 
awardee institution is required to:

[[Page 351]]

    (1) Notify the OIG if an inquiry supports a formal investigation as 
soon as this is determined.
    (2) Keep the OIG informed during such an investigation.
    (3) Notify the OIG immediately--
    (i) If public health or safety is at risk;
    (ii) If Federal resources, reputation, or other interests need 
protecting;
    (iii) If research activities should be suspended;
    (iv) If there is reasonable indication of possible violations of 
civil or criminal law;
    (v) If Federal action is needed to protect the interests of those 
involved in the investigation; or
    (vi) If the research community or the public should be informed.
    (4) Provide the OIG with a copy of the investigation report, 
including the recommendations made to the awardee institution's 
adjudication official and the Respondent's written comments (if any), 
along with a copy of the evidentiary record.
    (5) Provide the OIG with the awardee institution's final 
determination, including any corrective actions taken or planned.
    (c) If an awardee institution wishes the OIG to defer its own 
inquiry or investigation, the awardee institution shall complete any 
inquiry and decide whether an investigation is warranted within 60 days. 
It should similarly complete any investigation, adjudication, or other 
procedure necessary to produce a final determination, within an 
additional 180 days. If completion of the process is delayed, but the 
awardee institution wishes NASA's deferral of its own procedures to 
continue, NASA may require submission of periodic status reports.
    (d) Each awardee institution must maintain and effectively 
communicate to its staff, appropriate policies and procedures relating 
to research misconduct, including the requirements on when and how to 
notify NASA.



Sec.  1275.104  Conduct of Inquiry by the OIG.

    (a) When an awardee institution or another Federal agency has 
promptly initiated its own investigation, the OIG may defer its inquiry 
or investigation until it receives the results of that external 
investigation. When the OIG does not receive the results within a 
reasonable time, the OIG shall ordinarily proceed with its own 
investigation.
    (b) When the OIG decides to initiate a NASA investigation, the OIG 
must give prompt written notice to the individual or institution to be 
investigated, unless notice would prejudice the investigation or unless 
a criminal investigation is underway or under active consideration. If 
notice is delayed, it must be given as soon as it will no longer 
prejudice the investigation or contravene requirements of law or Federal 
law-enforcement policies.
    (c) When alleged misconduct may involve a crime, the OIG shall 
determine whether any criminal investigation is already pending or 
projected. If not, the OIG shall determine whether the matter should be 
referred to the Department of Justice.
    (d) When a criminal investigation by the Department of Justice or 
another Federal agency is underway or under active consideration, the 
OIG shall determine what information, if any, may be disclosed to the 
Respondent or to NASA employees.
    (e) To the extent possible, the identity of sources who wish to 
remain anonymous shall be kept confidential. To the extent allowed by 
law, documents and files maintained by the OIG during the course of an 
inquiry or investigation of misconduct shall be treated as investigative 
files exempt from mandatory public disclosure upon request under the 
Freedom of Information Act.
    (f) When the OIG proceeds with its own inquiry, it is responsible 
for ensuring that the inquiry is completed within 60 days after it is 
commenced. The OIG may extend this period of time for good cause.
    (g) On the basis of what the OIG learns from an inquiry, and in 
consultation as appropriate with other NASA offices, the OIG shall 
decide whether a formal investigation is warranted.

[[Page 352]]



Sec.  1275.105  Conduct of the OIG investigation of research misconduct.

    (a) The OIG shall make every reasonable effort to complete a NASA 
research misconduct investigation and issue a report within 120 days 
after initiating the investigation. The OIG may extend this period of 
time for good cause.
    (b) A NASA investigation may include:
    (1) Review of award files, reports, and other documents readily 
available at NASA or in the public domain;
    (2) Review of procedures or methods and inspection of laboratory 
materials, specimens, and records at awardee institutions;
    (3) Interviews with parties or witnesses;
    (4) Review of any documents or other evidence provided by or 
properly obtainable from parties, witnesses, or other sources;
    (5) Cooperation with other Federal agencies; and
    (6) Opportunity for the Respondent to be heard.
    (c) The OIG may invite outside consultants or experts to participate 
in a NASA investigation.
    (d) During the course of the investigation, the OIG shall provide a 
draft of the investigation report to the Respondent, who shall be 
invited to submit comments. The Respondent must submit any comments 
within 20 days of receipt of the draft investigation report. This period 
of time may be extended by the OIG for good cause. Any comments 
submitted by the Respondent shall receive full consideration before the 
investigation report is made final.
    (e) At the end of the investigation proceedings, an investigation 
report must be prepared that shall include recommended findings as to 
whether research misconduct has occurred. A recommended finding of 
research misconduct requires that:
    (1) There be a significant departure from accepted practices of the 
relevant research community for maintaining the integrity of the 
research record;
    (2) The research misconduct be committed intentionally, knowingly, 
or in reckless disregard of accepted practices; and
    (3) The allegation be proven by a preponderance of evidence.
    (f) The investigation report must also be transmitted with the 
recommendations for administrative action, when recommended findings of 
research misconduct are made. Section 1275.106 lists possible 
recommended administrative actions and considerations for use in 
determining appropriate recommendations.
    (g) NASA OIG may elect to proceed with its administrative 
investigation processes in lieu of a research misconduct investigation 
under this part when the allegation is against a civil service employee 
(an intramural researcher).



Sec.  1275.106  Administrative actions.

    (a) Listed in paragraphs (a)(1) through (a)(3) of this section are 
possible administrative actions that may be recommended by the 
investigation report and adopted by the adjudication process. They are 
not exhaustive, and are in addition to any administrative actions 
necessary to correct the research record. The administrative actions 
range from minimal restrictions (Group I Actions) to severe restrictions 
(Group III Actions), and do not include possible criminal sanctions.
    (1) Group I Actions.
    (i) Send a letter of reprimand to the individual or institution.
    (ii) Require as a condition of an award that for a specified period 
of time an individual, department, or institution obtain special prior 
approval of particular activities from NASA.
    (iii) Require for a specified period of time that an institutional 
official other than those guilty of research misconduct certify the 
accuracy of reports generated under an award or provide assurance of 
compliance with particular policies, regulations, guidelines, or special 
terms and conditions.
    (2) Group II Actions.
    (i) Restrict for a specified period of time designated activities or 
expenditures under an active award.
    (ii) Require for a specified period of time special reviews of all 
requests for funding from an affected individual, department, or 
institution to ensure that steps have been taken to prevent repetition 
of the research misconduct.

[[Page 353]]

    (3) Group III Actions.
    (i) Immediately suspend or terminate an active award.
    (ii) Debar or suspend an individual, department, or institution from 
participation in NASA programs for a specified period of time.
    (iii) Prohibit participation of an individual as a NASA reviewer, 
advisor, or consultant for a specified period of time.
    (b) In deciding what actions are appropriate when research 
misconduct is found, NASA officials should consider the seriousness of 
the misconduct, including, but not limited to:
    (i) The degree to which the misconduct was knowing, intentional, or 
reckless;
    (ii) Whether the misconduct was an isolated event or part of a 
pattern;
    (iii) Whether the misconduct had a significant impact on the 
research record, research subjects, or other researchers, institutions, 
or the public welfare.



Sec.  1275.107  Adjudication.

    (a) The NASA Adjudication Official must review and evaluate the 
investigation report and the evidentiary record required to be 
transmitted pursuant to Sec.  1275.102(d) and (e). The NASA Adjudication 
Official may initiate further investigations, which may include 
affording the Respondent another opportunity for comment, before issuing 
a decision regarding the case. The NASA Adjudication Official may also 
return the investigation report to the OIG with a request for further 
fact-finding or analysis.
    (b) Based on a preponderance of the evidence, the NASA Adjudication 
Official shall issue a decision setting forth the Agency's findings as 
to whether research misconduct has occurred and recommending appropriate 
administrative actions that may be undertaken by NASA in response to 
research misconduct determined to have occurred. The NASA Adjudication 
Official shall render a decision within 30 days after receiving the 
investigation report and evidentiary record, or after completion of any 
further proceedings. The NASA Adjudication Official may extend this 
period of time for good cause.
    (c) The decision shall be sent to the Respondent, to the 
Respondent's institution, and, if appropriate, to the Complainant. If 
the decision confirms the alleged research misconduct, it must include 
instructions on how to pursue an appeal to the NASA Appeals Official. 
The decision shall also be transmitted to the NASA Office of the Chief 
Scientist and the OIG.



Sec.  1275.108  Appeals.

    (a) The Respondent may appeal the decision of the NASA Adjudication 
Official by notifying the NASA Appeals Official in writing of the 
grounds for appeal within 30 days after Respondent's receipt of the 
decision. If the decision is not appealed within the 30-day period, the 
decision becomes the final Agency action insofar as the findings are 
concerned.
    (b) The NASA Appeals Official shall inform the Respondent of a final 
determination within 30 days after receiving the appeal. The NASA 
Appeals Official may extend this period of time for good cause. The 
final determination may affirm, overturn, or modify the decision of the 
NASA Adjudication Official and shall constitute the final Agency action 
insofar as the findings are concerned. The final determination shall 
also be transmitted to the NASA Office of the Chief Scientist and the 
OIG.
    (c) Once final Agency action has been taken pursuant to paragraphs 
(a) or (b) of this section, the recommendations for administrative 
action shall be sent to the relevant NASA components for further 
proceedings in accordance with applicable laws and regulations.



             Sec. Appendix to Part 1275--Research Misconduct

    NASA Research Disciplines and Respective Associated Directorates

1. Aeronautics Research--Aeronautics Research Mission Directorate
2. Space Science Research--Science Mission Directorate
3. Earth Science Research and Applications--Science Mission Directorate
4. Biomedical Research--Human Exploration and Operations Mission 
Directorate
5. Fundamental Biology--Human Exploration and Operations Mission 
Directorate
6. Fundamental Physics--Human Exploration and Operations Mission 
Directorate

[[Page 354]]

7. Research for Exploration Systems not covered by the disciplines 
above--Human Exploration and Operations Mission Directorate
8. Research for the International Space Station not covered by the 
disciplines above--Human Exploration and Operations Mission Directorate
9. Other engineering research not covered by disciplines above--NASA 
Chief Engineer
10. Other technology research not covered by disciplines above--NASA 
Chief Technologist

[77 FR 44441, July 30, 2012]

                       PARTS 1276	1299 [RESERVED]

[[Page 355]]



           CHAPTER VI--AIR TRANSPORTATION SYSTEM STABILIZATION




  --------------------------------------------------------------------

              SUBCHAPTER A--OFFICE OF MANAGEMENT AND BUDGET
Part                                                                Page
1300            Aviation disaster relief--Air Carrier 
                    Guarantee Loan Program..................         357
          SUBCHAPTER B--AIR TRANSPORTATION STABILIZATION BOARD
1310            Air Carrier Guarantee Loan Program 
                    administrative regulations and amendment 
                    or waiver of a term or condition of 
                    guaranteed loan.........................         365
1311-1399

 [Reserved]

[[Page 357]]



              SUBCHAPTER A_OFFICE OF MANAGEMENT AND BUDGET





PART 1300_AVIATION DISASTER RELIEF_AIR CARRIER GUARANTEE LOAN PROGRAM
--Table of Contents



                            Subpart A_General

Sec.
1300.1 Purpose.
1300.2 Definitions.
1300.3 Supplementary regulations of the Air Transportation Stabilization 
          Board.

        Subpart B_Minimum Requirements and Application Procedures

1300.10 General standard for Board issuance of Federal credit 
          instruments.
1300.11 Eligible borrower.
1300.12 Eligible lender.
1300.13 Guarantee amount.
1300.14 Guarantee percentage.
1300.15 Loan terms.
1300.16 Application process.
1300.17 Application evaluation.
1300.18 Issuance of the guarantee.
1300.19 Assignment or transfer of loans.
1300.20 Lender responsibilities.
1300.21 Guarantee.
1300.22 Termination of obligations.
1300.23 Participation in guaranteed loans.

    Authority: Title I of Pub. L. 107-42, 115 Stat. 230 (49 U.S.C. 40101 
note).

    Source: 66 FR 52272, Oct. 12, 2001, unless otherwise noted.



                            Subpart A_General



Sec.  1300.1  Purpose.

    This part is issued by the Office of Management and Budget, (OMB) 
pursuant to Title I of the Air Transportation Safety and System 
Stabilization Act, Public Law 107-42, 115 Stat. 230 (``Act''). 
Specifically, Section 102(c)(2)(B) directs OMB to issue regulations 
setting forth procedures for application and minimum requirements for 
the issuance of Federal credit instruments under section 101(a)(1) of 
the Act.



Sec.  1300.2  Definitions.

    (a) Act means the Air Transportation Safety and System Stabilization 
Act, Public Law 107-42, 115 Stat. 230 (49 U.S.C. 40101 note).
    (b) Administer, administering and administration, mean the lender's 
actions in making, disbursing, servicing (including, but not limited to 
care, preservation and maintenance of collateral), monitoring, 
collecting, and liquidating a loan and security.
    (c) Agent means that lender authorized to take such actions, 
exercise such powers, and perform such duties on behalf and in 
representation of all lenders party to a guarantee of a single loan, as 
is required by, or necessarily incidental to, the terms and conditions 
of the guarantee.
    (d) Air carrier means an air carrier as defined in 49 U.S.C. 40102.
    (e) Applicant means one or more air carriers applying for a Federal 
credit instrument issued by the Board under the program.
    (f) The Board, for purposes of any operational and decisionmaking 
functions in connection with individual loan guarantees, means the 
voting members of the Air Transportation Stabilization Board established 
under Section 102 of the Act. The voting members of the Board are the 
Chairman of the Board of Governors of the Federal Reserve System (who is 
the Chairman of the Board), the Secretary of the Treasury and the 
Secretary of Transportation, or their designees. The Comptroller 
General, who is a nonvoting member, will not participate in the review, 
operations, or deliberations of the Board in connection with individual 
loan guarantees, or otherwise participate in the Board's exercise of any 
executive power, but may provide such audit, evaluation and other 
support to the Board as the Board may request, consistent with 
applicable auditing standards.
    (g) Borrower means an ``Obligor,'' as defined in Section 102(a)(4) 
of the Act, and includes an air carrier that is primarily liable for 
payment of the principal of and interest on a Federal credit instrument, 
which party may be a corporation, partnership, joint venture, trust, or 
governmental entity, agency, or instrumentality.
    (h) Federal credit instrument, as defined in Section 107(2) of the 
Act, means any guarantee or other pledge by the Board issued under the 
program to pledge the full faith and credit of

[[Page 358]]

the United States to pay all or part of any of the principal of and 
interest on a loan issued by a borrower and funded by a lender.
    (i) Financial obligation, as defined in Section 102(a)(2) of the 
Act, means any note, bond, debenture, or other debt obligation issued by 
a borrower in connection with financing under the program.
    (j) Guarantee means the written agreement between the Board and one 
or more lenders, pursuant to which the Federal government guarantees 
repayment of a specified percentage of the principal of and/or interest 
on the loan. Unless otherwise specified, guarantee includes any other 
pledge issued under a Federal credit instrument.
    (k) Lender means any non-Federal qualified institutional buyer, as 
defined in Section 102(a)(3) of the Act, that funds a financial 
obligation subject to a guarantee issued by the Board. With respect to a 
guarantee of a single loan to which more than one lender is a party, the 
term lender means agent.
    (l) Loan, unless otherwise specified, includes any financial 
obligation (i.e., note, bond, debenture, or other debt obligation) 
issued by a borrower.
    (m) Loan documents mean the loan agreement and all other 
instruments, and all documentation between the lender and the borrower 
evidencing the making, disbursing, securing, collecting, or otherwise 
administering of the loan. (References to loan documents also include 
comparable agreements, instruments, and documentation for other 
financial obligations for which a guarantee is requested or issued.)
    (n) Program means the air carrier guarantee loan program established 
by section 101(a)(1) and the related provisions of Title I of the Act.
    (o) Security means all property, real or personal, required by the 
provisions of the guarantee or by the loan documents to secure repayment 
of any indebtedness of the borrower under the loan documents or 
guarantee.



Sec.  1300.3  Supplementary regulations of the Air Transportation 
Stabilization Board.

    (a) The regulations in this part are supplemented by the regulations 
of the Air Transportation Stabilization Board in part 1310 of this 
chapter in accordance with section 102(c)(2)(B) of the Act.
    (b) This part and part 1310 of this chapter jointly govern the 
application procedures and the requirements for issuance of Federal 
credit instruments under section 101(a)(1) of the Act.

[67 FR 17258, Apr. 9, 2002]



        Subpart B_Minimum Requirements and Application Procedures



Sec.  1300.10  General standards for Board issuance of Federal credit
instruments.

    (a) In accordance with section 102(c)(1) of the Act, the Board may 
enter into agreements with one or more borrowers to issue Federal credit 
instruments only if the Board determines, in its discretion and in 
accordance with the minimum requirements set forth in this part, that--
    (1) The borrower is an air carrier for which credit is not 
reasonably available at the time of the transaction;
    (2) The intended obligation by the borrower is prudently incurred; 
and
    (3) Such agreement is a necessary part of maintaining a safe, 
efficient, and viable commercial aviation system in the United States.
    (b) In accordance with section 102(c)(2)(A) of the Act, the Board 
shall enter into an agreement to issue a Federal credit instrument in 
such form and on such terms and conditions and subject to such 
covenants, representations, warranties, and requirements (including 
requirements for audits) as the Board determines are appropriate for 
satisfying the requirements of this part and any supplemental 
requirements issued by the Board under section 102(c)(2)(B) of the Act.
    (c) In accordance with section 102(d)(1) of the Act, in entering 
into

[[Page 359]]

agreements to issue Federal credit instruments, the Board shall, to the 
extent feasible and practicable and in accordance with the requirements 
in this part, ensure that the Federal Government is compensated for the 
risk assumed in making guarantees.
    (d) In accordance with Section 102(d)(2) of the Act, the Board is 
authorized to enter into contracts under which the Federal Government, 
contingent on the financial success of the air carrier, would 
participate in the gains of the air carrier or its security holders 
through the use of such instruments as warrants, stock options, common 
or preferred stock, or other appropriate equity instruments, except that 
the Board shall not accept an equity interest in an air carrier that 
gives the Federal Government voting rights.
    (e) In accordance with Section 104(a) of the Act, the Board may only 
issue a Federal credit instrument to an air carrier after the air 
carrier enters into a legally binding agreement with the Board regarding 
certain employee compensation.



Sec.  1300.11  Eligible borrower.

    (a) An eligible borrower must be an air carrier that can 
demonstrate, to the satisfaction of the Board, that:
    (1) It has incurred (or is incurring) losses as a result of the 
terrorist attacks on the United States that occurred on September 11, 
2001, which may include losses due to the unavailability of credit or 
the decrease in demand for that air carrier's services;
    (2) It is not under bankruptcy protection or receivership when the 
application is submitted or when the Board issues the guarantee, unless 
the guarantee and the underlying financial obligation is to be part of a 
bankruptcy court-certified reorganization plan;
    (3) It has agreed to permit such audits and reviews prior to the 
issuance of a guarantee, as the Board may deem appropriate, by an 
independent auditor acceptable to the Board;
    (4) It has agreed to permit such audits and reviews during the 
period the loan is outstanding and three years after payment in full of 
the guaranteed loan, as the Board may deem appropriate, by an 
independent auditor acceptable to the Board or by the Comptroller 
General;
    (5) In conducting audits and reviews pursuant to paragraphs (a) (3) 
and (4) of this section, it has agreed to provide access to the officers 
and employees, books, records, accounts, documents, correspondence, and 
other information of the borrower, its subsidiaries, affiliates, 
financial advisers, consultants, and independent certified accountants 
that the Board or the Comptroller General consider necessary.
    (b) Status as an eligible borrower under this section does not 
ensure that the Board will issue the guarantee sought or preclude the 
Board from declining to issue a guarantee.



Sec.  1300.12  Eligible lender.

    (a) A lender eligible to receive a Federal credit instrument 
approved by the Board must be a non-Federal qualified institutional 
buyer as defined in Section 102(a)(3) of the Act.
    (b) If more than one institution participates as a lender in a 
single loan for which a Federal credit instrument is requested, each one 
of the institutions on the application must meet the requirements to be 
an eligible lender. An application for a guarantee of a single loan, for 
which there is more than one lender, must identify one of the 
institutions to act as agent for all. This agent is responsible for 
administering the loan and shall have those duties and responsibilities 
required of an agent, as set forth in the guarantee.
    (c) Each lender, irrespective of any indemnities or other agreements 
between the lenders and the agent, shall be bound by all actions, and/or 
failures to act, of the agent. The Board shall be entitled to rely upon 
such actions and/or failures to act of the agent as binding the lenders.
    (d) Status as an eligible lender under this section does not assure 
that the Board will issue the guarantee sought, or otherwise preclude 
the Board from declining to issue a guarantee.



Sec.  1300.13  Guarantee amount.

    (a) Under Section 101(a)(1) of the Act, the Board is authorized to 
enter into agreements to issue Federal credit instruments that, in the 
aggregate, do not exceed $10 billion.

[[Page 360]]

    (b) The loan amount guaranteed to a single air carrier may not 
exceed that amount that, in the Board's sole discretion, the air carrier 
(or its successor) needs in order for it to provide commercial air 
services.



Sec.  1300.14  Guarantee percentage.

    A guarantee issued by the Board must be less than 100 percent of the 
amount of principal and accrued interest of the loan guaranteed.



Sec.  1300.15  Loan terms.

    (a) A loan guaranteed under the program shall be due and payable in 
full no later than seven years from the date on which the first 
disbursement of the loan is made.
    (b) Loans guaranteed under the program must bear a rate of interest 
determined by the Board to be reasonable. In determining the 
reasonableness of an interest rate, the Board shall consider the 
percentage of the guarantee, any collateral, other loan terms, and 
current average yields on outstanding obligations of the United States 
with maturity comparable to the term of the loan guaranteed. The Board 
may reject an application to guarantee a loan if it determines the 
interest rate on such loan to be unreasonable.
    (c) An eligible lender may assess and collect from the borrower such 
other fees and costs associated with the application and origination of 
the loan as are reasonable and customary, taking into consideration the 
amount and complexity of the credit. The Board may take such other fees 
and costs into consideration when determining whether to offer a 
guarantee to the lender.



Sec.  1300.16  Application process.

    (a) Applications are to be submitted by the borrower. Borrowers may 
submit applications to the Board any time after October 12, 2001 through 
June 28, 2002. All applications must be received by the Board no later 
than 5 p.m. EDT, June 28, 2002, in the Board's offices. Borrowers should 
submit an original application and four copies. Applications will not be 
accepted via facsimile machine transmission or electronic mail. No 
application will be accepted for review if it is not received by the 
Board on or before June 28, 2002.
    (b) Applications shall contain the following:
    (1) A completed Form ``Application for Air Carrier Guaranteed Loan';
    (2) All loan documents that will be signed by the lender and the 
borrower, if the application is approved, including all terms and 
conditions of, and security or additional security (if any), to assure 
the borrower's performance under, the loan;
    (3) A certification by the borrower that the borrower meets each of 
the requirements of the program as set forth in the Act, the regulations 
in this part, and any supplemental requirements issued by the Board;
    (4) A certification by the lender that the lender meets each of the 
requirements of the program as set forth in the Act, the regulations in 
this part, and any supplemental requirements issued by the Board, and 
that the lender will provide the loan under the terms outlined in the 
loan documents if the Board approves the requested guarantee;
    (5) A statement that the borrower is not under bankruptcy protection 
or receivership when the application is submitted, unless the guarantee 
and the underlying financial obligation is to be part of a bankruptcy 
court-certified reorganization plan;
    (6) Consolidated financial statements of the borrower for the 
previous five years that have been audited by an independent certified 
public accountant, including any associated notes, as well as any 
interim financial statements and associated notes for the current fiscal 
year;
    (7) Copies of the financial evaluations and forecasts concerning the 
air carrier's air service operations that were prepared by or for the 
air carrier within the three months prior to September 11, 2001;
    (8) The borrower's business plan on which the loan is based that 
includes the following:
    (i) A description of how the loan fits within the borrower's 
business plan, the purposes for which the borrower will use the loan, 
and an analysis showing that the loan is prudently incurred. If loan 
funds are to be used to purchase

[[Page 361]]

an existing firm (or the substantial assets of an existing firm), the 
business plan of the combined entity shall contain a discussion of the 
way in which any required regulatory or judicial approvals will be 
obtained, including antitrust approval for any proposed acquisition;
    (ii) A discussion of a complete cost accounting and a range of 
revenue, operating cost, and credit assumptions;
    (iii) A discussion of the financing plan on which the loan is based, 
showing that the operational needs of the borrower will be met during 
the term of the plan;
    (iv) An analysis demonstrating that, at the time of the application, 
there is a reasonable assurance that the borrower will be able to repay 
the loan according to its terms, and a complete description of the 
operational and financial assumptions on which this demonstration is 
based;
    (v) A discussion of the borrower's five-year history and five-year 
projection for revenue, cash flow, average realized prices, and average 
realized operating costs and a demonstration that the borrower will be 
able to continue operations if the requested guarantee is approved; and
    (vi) If appropriate, a description of a plan to restructure the 
borrower's obligations, contracts, and costs. In preparing this 
description, the borrower shall jointly develop, with its existing 
secured and unsecured creditors, employees, or vendors, an agreed-upon 
plan to restructure the borrower's obligations, contracts and costs and 
incorporate this into the business plan submitted;
    (9) A description of the losses that the borrower incurred (or is 
incurring) as a result of the terrorist attacks on the United States 
that occurred on September 11, 2001, including losses due to the 
unavailability of credit on reasonable terms or a decrease in demand for 
the air carrier's services;
    (10) An analysis that demonstrates that the issuance of the 
guaranteed loan is a necessary part of maintaining a safe, efficient, 
and viable commercial aviation system in the United States and that 
credit is not reasonably available at the time of the transaction;
    (11) A description of all security (if any) for the loan, including, 
as applicable, current appraisals of real and personal property, copies 
of any appropriate environmental site assessments, and current personal 
and corporate financial statements of any guarantors for the same period 
as required for the borrower. Appraisals of real property shall be 
prepared by State licensed or certified appraisers, and be consistent 
with the ``Uniform Standards of Professional Appraisal Practice,'' 
promulgated by the Appraisal Standards Board of the Appraisal 
Foundation. Financial statements of guarantors shall be prepared by 
independent certified public accountants;
    (12) If appropriate, a description of the Federal government's 
ability to participate, contingent on the financial success of the 
borrower, in the gains of the borrower or its security holders through 
the use of such instruments as warrants, stock options, common or 
preferred stock, or other appropriate equity instruments; and
    (13) Any other information requested by the Board.
    (c) The collections of information in this section and elsewhere in 
this part that are subject to the Paperwork Reduction Act (44 U.S.C. 
3501 et seq.) have been approved by OMB and assigned control number 
0348-0059. Under the Paperwork Reduction Act, an agency may not conduct 
or sponsor, and a person is not required to respond to, a collection of 
information unless it displays a currently valid OMB control number.



Sec.  1300.17  Application evaluation.

    (a) Eligibility screening. Applications will be reviewed to 
determine whether the lender and borrower are eligible, the information 
required under Sec.  1300.16(b) is complete, and the proposed loan 
complies with applicable statutes and regulations. The Board may at any 
time reject an application that does not meet these requirements.
    (b) Evaluation criteria. Applications that are determined to be 
eligible pursuant to paragraph (a) of this section shall be subject to a 
substantive review by the Board. In addition to the general standards 
for Board issuance of Federal credit instruments set forth in

[[Page 362]]

Sec.  1300.10, the Board shall consider the following evaluation 
factors:
    (1) Reasonable assurance that the borrower will be able to repay the 
loan by the date specified in the loan document, which shall be no later 
than seven years from the date on which the first disbursement of the 
loan is made;
    (2) The adequacy of the proposed provisions to protect the Federal 
Government, including sufficiency of any security provided by the 
borrower and the percentage of guarantee requested;
    (3) The ability of the lender to administer the loan in full 
compliance with the requisite standard of care. In making this 
determination, the Board will assess:
    (i) The lender's level of regulatory capital, in the case of banking 
institutions, or net worth, in the case of other institutions;
    (ii) Whether the lender possesses the ability to administer the 
loan, including its experience with loans to air carriers; and
    (iii) Any other matter the Board deems material to its assessment of 
the lender; and
    (4) The ability of the borrower to demonstrate, to the Board's 
satisfaction, one or more of the following criteria. The Board shall 
give preference to applications that satisfy one or more of these 
criteria, giving greater preference to those applications that meet the 
greatest number of these criteria, as follows:
    (i) A demonstration that the air carrier has presented a plan 
demonstrating that its business plan is financially sound;
    (ii) A demonstration of greater participation in the loan by non-
Federal entities;
    (iii) A demonstration of greater participation in the loan by 
private entities, as opposed to public non-Federal entities;
    (iv) A demonstration that the proposed instruments would ensure that 
the Federal Government will, contingent on the financial success of the 
air carrier, participate in the gains of the air carrier and its 
security holders;
    (v) A demonstration of concessions by the air carrier's security 
holders, other creditors, or employees that will improve the financial 
condition of the air carrier in a manner that will enable it to repay 
the loan in accordance with its terms and provide commercial air 
services on a financially sound basis after repayment;
    (vi) A demonstration that guaranteed loan proceeds will be used for 
a purpose other than the payment or refinancing of existing debt;
    (vii) A demonstration that the proposed instruments contain 
financial structures that minimize the Federal government's risk and 
cost associated with making loan guarantees. Examples include, but are 
not limited to, requests for guarantees that contain the following:
    (A) A maturity period that is less than the maximum permitted under 
the rules in this part;
    (B) Pledges of collateral;
    (C) Agreements by the borrower's parent or other entities to 
reimburse the Federal government for any payments that the Federal 
government may make under the guarantee;
    (D) A grant to the Federal government of favorable priority in the 
event of bankruptcy reflecting other creditors' agreement to subordinate 
their debts as a condition of the loan guarantee;
    (E) Limitation of the borrower's issuance of dividends and/or the 
borrower's payments to its parent or subsidiaries or related companies;
    (F) Limitation of the borrower's ability to incur additional debt, 
and/or the borrower's ability to incur capital expenditures, beyond that 
set forth in the business and financial plans that the Borrower 
submitted with the application;
    (G) A demonstration of reasonable liquidity;
    (H) A demonstration of favorable debt ratios; and
    (I) A demonstration that any proceeds raised from private sector 
financing subsequent to disbursement of the federally guaranteed loan be 
used to repay the federally guaranteed loan.
    (c) No guarantee will be made if either the borrower or lender has 
an outstanding delinquent Federal debt, including tax liabilities, 
until:
    (1) The delinquent debt has been paid in full;

[[Page 363]]

    (2) A negotiated repayment schedule is established; or
    (3) Other arrangements, satisfactory to the agency responsible for 
collecting the debt are made.
    (d) Decisions by the Board. The Board shall approve or deny 
applications received on or before June 28, 2002, in a timely manner as 
such applications are received. The Board may limit the amount of a loan 
guarantee made to initial applicants to ensure that sufficient funds 
remain available for subsequent applicants. The Board shall notify the 
borrower in writing of the approval or denial of an application. 
Approvals for loan guarantees shall be conditioned upon compliance with 
Sec.  1300.18.



Sec.  1300.18  Issuance of the guarantee.

    (a) The Board's decisions to approve any application for a guarantee 
under Sec.  1300.17 is conditioned upon:
    (1) The lender and borrower obtaining any required regulatory or 
judicial approvals;
    (2) Evidence showing, to the Board's satisfaction, that the lender 
and borrower are legally authorized to enter into the loan under the 
terms and conditions submitted to the Board in the application;
    (3) The Board's receipt of the loan documents and any related 
instruments, in form and substance satisfactory to the Board, and the 
guarantee, all properly executed by the lender, borrower, and any other 
required party other than the Board; and
    (4) No material adverse change in the borrower's ability to repay 
the loan or any of the representations and warranties made in the 
application between the date of the Board's approval and the date the 
guarantee is to be issued.
    (b) The Board may withdraw its approval of an application and 
rescind its offer of guarantee if the Board determines that the lender 
or the borrower cannot, or is unwilling to, provide adequate 
documentation and proof of compliance with paragraph (a) of this section 
within the time provided for in the offer.
    (c) Only after receipt of all the documentation required by this 
section, will the Board sign and deliver the guarantee.
    (d) A borrower receiving a loan guaranteed by the Board under this 
program shall pay an annual fee, in an amount and payable as determined 
by the Board. At the time that the guarantee is issued, the Board shall 
ensure that this annual fee will escalate for each year that the loan is 
outstanding and that such annual escalation reflects the borrower's 
potential ability to obtain credit in the private credit markets, in 
addition to any other factors the Board may deem appropriate.



Sec.  1300.19  Assignment or transfer of loans.

    Neither the loan documents nor the guarantee of the Board, or any 
interest therein, may be modified, assigned, conveyed, sold or otherwise 
transferred by the lender, in whole or in part, without the prior 
written approval of the Board.



Sec.  1300.20  Lender responsibilities.

    The lender shall have such obligations and duties to the Board as 
are set forth in the guarantee.



Sec.  1300.21  Guarantee.

    The Board shall adopt a form of guarantee to be used by the Board 
under the program. Modifications to the provisions of the form of 
guarantee must be approved and adopted by the Board.



Sec.  1300.22  Termination of obligations.

    The Board shall have such rights to terminate the guarantee as are 
set forth in the guarantee.



Sec.  1300.23  Participation in guaranteed loans.

    (a) Subject to paragraph (b) of this section, a lender may 
distribute the risk of a portion of a loan guaranteed under the program 
by sale of participations therein if:
    (1) Neither the loan note nor the guarantee is assigned, conveyed, 
sold, or transferred in whole or in part;
    (2) The lender remains solely responsible for the administration of 
the loan; and
    (3) The Board's ability to assert any and all defenses available to 
it under the guarantee and the law is not adversely affected.

[[Page 364]]

    (b) The following categories of entities may purchase participations 
in loans guaranteed under the program:
    (1) Eligible lenders;
    (2) Private investment funds and insurance companies that do not 
usually invest in commercial loans;
    (3) Air Carrier company suppliers or customers, who are interested 
in participating as a means of commencing or solidifying the supplier or 
customer relationship with the borrower; or
    (4) Any other entity approved by the Board on a case-by-case basis.

[[Page 365]]



           SUBCHAPTER B_AIR TRANSPORTATION STABILIZATION BOARD





PART 1310_AIR CARRIER GUARANTEE LOAN PROGRAM ADMINISTRATIVE REGULATIONS
AND AMENDMENT OR WAIVER OF A TERM OR CONDITION OF GUARANTEED LOAN-
-Table of Contents



Sec.
1310.1 Purpose and scope.
1310.2 Composition of the Board.
1310.3 Authority of the Board.
1310.4 Offices.
1310.5 Meetings and actions of the Board.
1310.6 Staff.
1310.7 Communications with the Board.
1310.8 Freedom of Information Act.
1310.9 Restrictions on lobbying.
1310.10 Government-wide debarment and suspension.
1310.11 Regulations of the Office of Management and Budget.
1310.15 Amendment or Waiver of a term or condition of a guaranteed loan.
1310.20 Amendments.

    Authority: Title I of Pub. L. 107-42, 115 Stat. 230 (49 U.S.C. 40101 
note).

    Source: 67 FR 17259, Apr. 9, 2002, unless otherwise noted.



Sec.  1310.1  Purpose and scope.

    This part is issued by the Air Transportation Stabilization Board 
pursuant to Section 102(c)(2)(B) of the Air Transportation Safety and 
System Stabilization Act, Public Law 107-42, 115 Stat. 230 (Act). This 
part describes the Board's authorities, organizational structure, the 
rules by which the Board takes actions, and procedures for public access 
to Board records.



Sec.  1310.2  Composition of the Board.

    The Board consists of the Chairman of the Board of Governors of the 
Federal Reserve System or the designee of the Chairman, who acts as 
Chairman of the Board, the Secretary of the Treasury or the designee of 
the Secretary, the Secretary of Transportation or the designee of the 
Secretary, and the Comptroller General of the United States or the 
designee of the Comptroller General, who serves as a nonvoting member. 
The Comptroller General of the United States or the designee of the 
Comptroller General, who serves as a nonvoting member, shall not be 
involved in any of the Board's discussions or deliberations in 
connection with individual loan guarantee applications.



Sec.  1310.3  Authority of the Board.

    Pursuant to the provisions of the Act, the Board is authorized to 
guarantee loans provided to airlines by eligible lenders in accordance 
with the procedures, rules, and regulations established by the Board, to 
make the determinations authorized by the Act, and to take such other 
actions as necessary to carry out its functions specified in the Act.



Sec.  1310.4  Offices.

    The principal offices of the Board are at 1120 Vermont Avenue, NW., 
Suite 970, Washington, DC 20005.



Sec.  1310.5  Meetings and actions of the Board.

    (a) Place and frequency. The Board meets, on the call of the 
Chairman, in order to consider matters requiring action by the Board. 
The time and place for any such meeting shall be determined by the 
members of the Board.
    (b) Quorum and voting. Two voting members of the Board constitute a 
quorum for the transaction of business. All decisions and determinations 
of the Board shall be made by a majority vote of the voting members. All 
votes on determinations of the Board required by the Act shall be 
recorded in the minutes. A Board member may request that any vote be 
recorded according to individual Board members.
    (c) Agenda of meetings. As a general rule, an agenda for each 
meeting shall be distributed to members of the Board at least 48 hours 
in advance of the date of the meeting, together with copies of materials 
relevant to the agenda items.
    (d) Minutes. The Chief Administrative Officer shall keep minutes of 
each Board meeting and of action taken without a meeting, a draft of 
which is to be distributed to each member of the

[[Page 366]]

Board as soon as practicable after each meeting or action. To the extent 
practicable, the minutes of a Board meeting shall be corrected and 
approved at the next meeting of the Board.
    (e) Use of conference call communications equipment. Any member may 
participate in a meeting of the Board through the use of conference 
call, telephone or similar communications equipment, by means of which 
all persons participating in the meeting can simultaneously speak to and 
hear each other. Any member so participating in a meeting shall be 
deemed present for all purposes, except that the Comptroller General of 
the United States or the designee of the Comptroller General, who serves 
as a nonvoting member, shall not participate in any of the Board's 
discussions or deliberations in connection with individual loan 
guarantee applications. Actions taken by the Board at meetings conducted 
through the use of such equipment, including the votes of each member, 
shall be recorded in the usual manner in the minutes of the meetings of 
the Board.
    (f) Actions between meetings. When, in the judgment of the Chairman, 
it is desirable for the Board to consider action without holding a 
meeting, the relevant information and recommendations for action may be 
transmitted to the members by the Chief Administrative Officer and the 
voting members may communicate their votes to the Chairman in writing 
(including an action signed in counterpart by each Board member), 
electronically, or orally (including telephone communication). Any 
action taken under this paragraph has the same effect as an action taken 
at a meeting. Any such action shall be recorded in the minutes. If a 
voting member believes the matter should be considered at a meeting, the 
member may so notify the Chief Administrative Officer and the matter 
will be scheduled for consideration at a meeting.
    (g) Delegations of authority. The Board may delegate authority, 
subject to such terms and conditions as the Board deems appropriate, to 
the Executive Director, the Legal Counsel, or the Chief Administrative 
Officer, to take certain actions not required by the Act to be taken by 
the Board. All delegations shall be made pursuant to resolutions of the 
Board and recorded in writing, whether in the minutes of a meeting or 
otherwise. Any action taken pursuant to delegated authority has the 
effect of an action taken by the Board.



Sec.  1310.6  Staff.

    (a) Executive Director. The Executive Director advises and assists 
the Board in carrying out its responsibilities under the Act, provides 
general direction with respect to the administration of the Board's 
actions, directs the activities of the staff, and performs such other 
duties as the Board may require.
    (b) Legal Counsel. The Legal Counsel provides legal advice relating 
to the responsibilities of the Board and performs such other duties as 
the Executive Director may require.
    (c) Chief Administrative Officer. The Chief Administrative Officer 
sends notice of all meetings, prepares minutes of all meetings, 
maintains a complete record of all votes and actions taken by the Board, 
has custody of all records of the Board and performs such other duties 
as the Executive Director may require.



Sec.  1310.7  Communications with the Board.

    Communications with the Board shall be conducted through the staff 
of the Board.



Sec.  1310.8  Freedom of Information Act.

    While the Board is not part of the Department of the Treasury, the 
Board follows the regulations promulgated by the Department of the 
Treasury at subpart A (``Freedom of Information Act'') of part 1 
(``Disclosure of Records'') of title 31 (``Money and Finance: 
Treasury'') of the Code of Federal Regulations (CFR). The procedures of 
31 CFR 1.1 through 1.7 shall be followed for requesting access to 
records maintained by the Board, and processing such requests. Any 
reference in 31 CFR 1.1 through 1.7 to the ``Department of the 
Treasury,'' the ``Department'' or to a ``bureau,'' shall be construed to 
refer to the Board. In the event that the regulations at subpart A of 
part 1 of title 31 of the CFR subsequently are amended

[[Page 367]]

by the Department of the Treasury, the Board will follow those amended 
regulations. The following additional information is provided to 
implement 31 CFR 1.1 through 1.7 with respect to the Board.
    (a) Public reading room. The public reading room for the Board is 
the Treasury Department Library. The Library is located in the Main 
Treasury Building, 1500 Pennsylvania Avenue, NW., Washington, DC 20220. 
For building security purposes, visitors are required to make an 
appointment by calling 202-622-0990.
    (b) Requests for records. Initial determinations under 31 CFR 1.5(h) 
as to whether to grant requests for records of the Board will be made by 
the Chief Administrative Officer or the designate of such official. 
Requests for records should be addressed to: Freedom of Information 
Request, Air Transportation Stabilization Board, Assistant Director, 
Disclosure Services, Department of the Treasury, 1500 Pennsylvania 
Avenue, NW., Washington, DC 20220.
    (c) Administrative appeal of initial determination to deny records. 
(1) Appellate determinations under 31 CFR 1.5(i) with respect to records 
of the Board will be made by the Executive Director, or the delegate of 
such official.
    (2) Appellate determinations with respect to requests for expedited 
processing shall be made by the Executive Director or the delegate of 
such official.
    (3) Appeals should be addressed to: Freedom of Information Appeal, 
Air Transportation Stabilization Board, Assistant Director, Disclosure 
Services, Department of the Treasury, 1500 Pennsylvania Avenue, NW., 
Washington, DC 20220.
    (d) Delivery of process. Service of process will be received by the 
Legal Counsel of the Board or the delegate of such official and shall be 
delivered to the following location: Legal Counsel, Air Transportation 
Stabilization Board, 1120 Vermont Avenue, NW., Suite 970, Washington, DC 
20005.



Sec.  1310.9  Restrictions on lobbying.

    (a) While the Board is not part of the Department of the Treasury, 
the regulations promulgated by the Department of the Treasury at part 21 
(``New Restrictions on Lobbying'') of title 31 (``Money and Finance: 
Treasury'') of the Code of Federal Regulations (CFR), including the 
appendices thereto, are applicable in connection with any of the 
following covered Federal actions: the awarding of any Federal contract, 
the making of any Federal grant, the making of any Federal loan, the 
entering into of any cooperative agreement, and the extension, 
continuation, renewal, amendment, or modification of any Federal 
contract, grant, loan, or cooperative agreement. The regulations 
promulgated by the Department of the Treasury at 31 CFR part 21 also are 
applicable to a request for, or receipt of, any Federal contract, grant, 
loan or cooperative agreement; and to a request for, or receipt of, a 
commitment providing for the United States to insure or guarantee a 
loan. These terms are defined in 31 CFR 21.105.
    (b) In the event that the regulations at part 21 of title 31 of the 
CFR subsequently are amended by the Department of the Treasury, the 
Board will follow those amended regulations.



Sec.  1310.10  Governmentwide debarment and suspension.

    While the Board is not part of the Department of the Treasury, the 
regulations promulgated by the Department of the Treasury at subpart A 
(``General''), subpart B (``Effect of Action''), subpart C 
(``Debarment''), subpart D (``Suspension''), and subpart E 
(``Responsibilities of GSA, Agency and Participants'') of part 19 
(``Governmentwide Debarment and Suspension (Nonprocurement) and 
Governmentwide Requirements For Drug-Free Workplace (Grants)'') of title 
31 (``Money and Finance: Treasury'') of the Code of Federal Regulations 
(CFR) are applicable to the Board. Any reference in 31 CFR part 19 to 
the ``Department of the Treasury'' or the ``Department'' shall be 
construed to refer to the Board. In the event that the regulations at 
subpart A, B, C, D or E of part 19 of title 31 of the CFR subsequently 
are amended by the Department of the Treasury, the Board will follow 
those amended regulations.

[[Page 368]]



Sec.  1310.11  Regulations of the Office of Management and Budget.

    (a) The regulations in this part supplement the regulations of the 
Office of Management and Budget in part 1300 of this chapter in 
accordance with section 102(c)(2)(B) of the Act.
    (b) This part and part 1300 of this chapter jointly govern the 
application procedures and the requirements for issuance of Federal 
credit instruments under section 101(a)(1) of the Act.



Sec.  1310.15  Amendment or Waiver of a term or condition of a
guaranteed loan.

    The Board may, in its discretion, charge the borrower a fee, in an 
amount and payable as determined by the Board, for each amendment to, or 
waiver of, any term or condition of any guaranteed loan document or 
related instrument approved by the Board.

[70 FR 10037, Mar. 2, 2005]



Sec.  1310.20  Amendments.

    The procedures in this part may be adopted or amended, or new 
procedures may be adopted, only by majority vote of the Board. Authority 
to adopt or amend these procedures may not be delegated.

                       PARTS 1311	1399 [RESERVED]

[[Page 369]]



                              FINDING AIDS




  --------------------------------------------------------------------

  A list of CFR titles, subtitles, chapters, subchapters and parts and 
an alphabetical list of agencies publishing in the CFR are included in 
the CFR Index and Finding Aids volume to the Code of Federal Regulations 
which is published separately and revised annually.

  Table of CFR Titles and Chapters
  Alphabetical List of Agencies Appearing in the CFR
  List of CFR Sections Affected

[[Page 371]]



                    Table of CFR Titles and Chapters




                     (Revised as of January 1, 2019)

                      Title 1--General Provisions

         I  Administrative Committee of the Federal Register 
                (Parts 1--49)
        II  Office of the Federal Register (Parts 50--299)
       III  Administrative Conference of the United States (Parts 
                300--399)
        IV  Miscellaneous Agencies (Parts 400--599)
        VI  National Capital Planning Commission (Parts 600--699)

                    Title 2--Grants and Agreements

            Subtitle A--Office of Management and Budget Guidance 
                for Grants and Agreements
         I  Office of Management and Budget Governmentwide 
                Guidance for Grants and Agreements (Parts 2--199)
        II  Office of Management and Budget Guidance (Parts 200--
                299)
            Subtitle B--Federal Agency Regulations for Grants and 
                Agreements
       III  Department of Health and Human Services (Parts 300--
                399)
        IV  Department of Agriculture (Parts 400--499)
        VI  Department of State (Parts 600--699)
       VII  Agency for International Development (Parts 700--799)
      VIII  Department of Veterans Affairs (Parts 800--899)
        IX  Department of Energy (Parts 900--999)
         X  Department of the Treasury (Parts 1000--1099)
        XI  Department of Defense (Parts 1100--1199)
       XII  Department of Transportation (Parts 1200--1299)
      XIII  Department of Commerce (Parts 1300--1399)
       XIV  Department of the Interior (Parts 1400--1499)
        XV  Environmental Protection Agency (Parts 1500--1599)
     XVIII  National Aeronautics and Space Administration (Parts 
                1800--1899)
        XX  United States Nuclear Regulatory Commission (Parts 
                2000--2099)
      XXII  Corporation for National and Community Service (Parts 
                2200--2299)
     XXIII  Social Security Administration (Parts 2300--2399)
      XXIV  Department of Housing and Urban Development (Parts 
                2400--2499)
       XXV  National Science Foundation (Parts 2500--2599)
      XXVI  National Archives and Records Administration (Parts 
                2600--2699)

[[Page 372]]

     XXVII  Small Business Administration (Parts 2700--2799)
    XXVIII  Department of Justice (Parts 2800--2899)
      XXIX  Department of Labor (Parts 2900--2999)
       XXX  Department of Homeland Security (Parts 3000--3099)
      XXXI  Institute of Museum and Library Services (Parts 3100--
                3199)
     XXXII  National Endowment for the Arts (Parts 3200--3299)
    XXXIII  National Endowment for the Humanities (Parts 3300--
                3399)
     XXXIV  Department of Education (Parts 3400--3499)
      XXXV  Export-Import Bank of the United States (Parts 3500--
                3599)
     XXXVI  Office of National Drug Control Policy, Executive 
                Office of the President (Parts 3600--3699)
    XXXVII  Peace Corps (Parts 3700--3799)
     LVIII  Election Assistance Commission (Parts 5800--5899)
       LIX  Gulf Coast Ecosystem Restoration Council (Parts 5900--
                5999)

                        Title 3--The President

         I  Executive Office of the President (Parts 100--199)

                           Title 4--Accounts

         I  Government Accountability Office (Parts 1--199)

                   Title 5--Administrative Personnel

         I  Office of Personnel Management (Parts 1--1199)
        II  Merit Systems Protection Board (Parts 1200--1299)
       III  Office of Management and Budget (Parts 1300--1399)
        IV  Office of Personnel Management and Office of the 
                Director of National Intelligence (Parts 1400--
                1499)
         V  The International Organizations Employees Loyalty 
                Board (Parts 1500--1599)
        VI  Federal Retirement Thrift Investment Board (Parts 
                1600--1699)
      VIII  Office of Special Counsel (Parts 1800--1899)
        IX  Appalachian Regional Commission (Parts 1900--1999)
        XI  Armed Forces Retirement Home (Parts 2100--2199)
       XIV  Federal Labor Relations Authority, General Counsel of 
                the Federal Labor Relations Authority and Federal 
                Service Impasses Panel (Parts 2400--2499)
       XVI  Office of Government Ethics (Parts 2600--2699)
       XXI  Department of the Treasury (Parts 3100--3199)
      XXII  Federal Deposit Insurance Corporation (Parts 3200--
                3299)
     XXIII  Department of Energy (Parts 3300--3399)
      XXIV  Federal Energy Regulatory Commission (Parts 3400--
                3499)
       XXV  Department of the Interior (Parts 3500--3599)
      XXVI  Department of Defense (Parts 3600--3699)

[[Page 373]]

    XXVIII  Department of Justice (Parts 3800--3899)
      XXIX  Federal Communications Commission (Parts 3900--3999)
       XXX  Farm Credit System Insurance Corporation (Parts 4000--
                4099)
      XXXI  Farm Credit Administration (Parts 4100--4199)
    XXXIII  Overseas Private Investment Corporation (Parts 4300--
                4399)
     XXXIV  Securities and Exchange Commission (Parts 4400--4499)
      XXXV  Office of Personnel Management (Parts 4500--4599)
     XXXVI  Department of Homeland Security (Parts 4600--4699)
    XXXVII  Federal Election Commission (Parts 4700--4799)
        XL  Interstate Commerce Commission (Parts 5000--5099)
       XLI  Commodity Futures Trading Commission (Parts 5100--
                5199)
      XLII  Department of Labor (Parts 5200--5299)
     XLIII  National Science Foundation (Parts 5300--5399)
       XLV  Department of Health and Human Services (Parts 5500--
                5599)
      XLVI  Postal Rate Commission (Parts 5600--5699)
     XLVII  Federal Trade Commission (Parts 5700--5799)
    XLVIII  Nuclear Regulatory Commission (Parts 5800--5899)
      XLIX  Federal Labor Relations Authority (Parts 5900--5999)
         L  Department of Transportation (Parts 6000--6099)
       LII  Export-Import Bank of the United States (Parts 6200--
                6299)
      LIII  Department of Education (Parts 6300--6399)
       LIV  Environmental Protection Agency (Parts 6400--6499)
        LV  National Endowment for the Arts (Parts 6500--6599)
       LVI  National Endowment for the Humanities (Parts 6600--
                6699)
      LVII  General Services Administration (Parts 6700--6799)
     LVIII  Board of Governors of the Federal Reserve System 
                (Parts 6800--6899)
       LIX  National Aeronautics and Space Administration (Parts 
                6900--6999)
        LX  United States Postal Service (Parts 7000--7099)
       LXI  National Labor Relations Board (Parts 7100--7199)
      LXII  Equal Employment Opportunity Commission (Parts 7200--
                7299)
     LXIII  Inter-American Foundation (Parts 7300--7399)
      LXIV  Merit Systems Protection Board (Parts 7400--7499)
       LXV  Department of Housing and Urban Development (Parts 
                7500--7599)
      LXVI  National Archives and Records Administration (Parts 
                7600--7699)
     LXVII  Institute of Museum and Library Services (Parts 7700--
                7799)
    LXVIII  Commission on Civil Rights (Parts 7800--7899)
      LXIX  Tennessee Valley Authority (Parts 7900--7999)
       LXX  Court Services and Offender Supervision Agency for the 
                District of Columbia (Parts 8000--8099)
      LXXI  Consumer Product Safety Commission (Parts 8100--8199)
    LXXIII  Department of Agriculture (Parts 8300--8399)

[[Page 374]]

     LXXIV  Federal Mine Safety and Health Review Commission 
                (Parts 8400--8499)
     LXXVI  Federal Retirement Thrift Investment Board (Parts 
                8600--8699)
    LXXVII  Office of Management and Budget (Parts 8700--8799)
      LXXX  Federal Housing Finance Agency (Parts 9000--9099)
   LXXXIII  Special Inspector General for Afghanistan 
                Reconstruction (Parts 9300--9399)
    LXXXIV  Bureau of Consumer Financial Protection (Parts 9400--
                9499)
    LXXXVI  National Credit Union Administration (Parts 9600--
                9699)
     XCVII  Department of Homeland Security Human Resources 
                Management System (Department of Homeland 
                Security--Office of Personnel Management) (Parts 
                9700--9799)
    XCVIII  Council of the Inspectors General on Integrity and 
                Efficiency (Parts 9800--9899)
      XCIX  Military Compensation and Retirement Modernization 
                Commission (Parts 9900--9999)
         C  National Council on Disability (Parts 10000--10049)
        CI  National Mediation Board (Part 10101)

                      Title 6--Domestic Security

         I  Department of Homeland Security, Office of the 
                Secretary (Parts 1--199)
         X  Privacy and Civil Liberties Oversight Board (Parts 
                1000--1099)

                         Title 7--Agriculture

            Subtitle A--Office of the Secretary of Agriculture 
                (Parts 0--26)
            Subtitle B--Regulations of the Department of 
                Agriculture
         I  Agricultural Marketing Service (Standards, 
                Inspections, Marketing Practices), Department of 
                Agriculture (Parts 27--209)
        II  Food and Nutrition Service, Department of Agriculture 
                (Parts 210--299)
       III  Animal and Plant Health Inspection Service, Department 
                of Agriculture (Parts 300--399)
        IV  Federal Crop Insurance Corporation, Department of 
                Agriculture (Parts 400--499)
         V  Agricultural Research Service, Department of 
                Agriculture (Parts 500--599)
        VI  Natural Resources Conservation Service, Department of 
                Agriculture (Parts 600--699)
       VII  Farm Service Agency, Department of Agriculture (Parts 
                700--799)
      VIII  Grain Inspection, Packers and Stockyards 
                Administration (Federal Grain Inspection Service), 
                Department of Agriculture (Parts 800--899)

[[Page 375]]

        IX  Agricultural Marketing Service (Marketing Agreements 
                and Orders; Fruits, Vegetables, Nuts), Department 
                of Agriculture (Parts 900--999)
         X  Agricultural Marketing Service (Marketing Agreements 
                and Orders; Milk), Department of Agriculture 
                (Parts 1000--1199)
        XI  Agricultural Marketing Service (Marketing Agreements 
                and Orders; Miscellaneous Commodities), Department 
                of Agriculture (Parts 1200--1299)
       XIV  Commodity Credit Corporation, Department of 
                Agriculture (Parts 1400--1499)
        XV  Foreign Agricultural Service, Department of 
                Agriculture (Parts 1500--1599)
       XVI  Rural Telephone Bank, Department of Agriculture (Parts 
                1600--1699)
      XVII  Rural Utilities Service, Department of Agriculture 
                (Parts 1700--1799)
     XVIII  Rural Housing Service, Rural Business-Cooperative 
                Service, Rural Utilities Service, and Farm Service 
                Agency, Department of Agriculture (Parts 1800--
                2099)
        XX  Local Television Loan Guarantee Board (Parts 2200--
                2299)
       XXV  Office of Advocacy and Outreach, Department of 
                Agriculture (Parts 2500--2599)
      XXVI  Office of Inspector General, Department of Agriculture 
                (Parts 2600--2699)
     XXVII  Office of Information Resources Management, Department 
                of Agriculture (Parts 2700--2799)
    XXVIII  Office of Operations, Department of Agriculture (Parts 
                2800--2899)
      XXIX  Office of Energy Policy and New Uses, Department of 
                Agriculture (Parts 2900--2999)
       XXX  Office of the Chief Financial Officer, Department of 
                Agriculture (Parts 3000--3099)
      XXXI  Office of Environmental Quality, Department of 
                Agriculture (Parts 3100--3199)
     XXXII  Office of Procurement and Property Management, 
                Department of Agriculture (Parts 3200--3299)
    XXXIII  Office of Transportation, Department of Agriculture 
                (Parts 3300--3399)
     XXXIV  National Institute of Food and Agriculture (Parts 
                3400--3499)
      XXXV  Rural Housing Service, Department of Agriculture 
                (Parts 3500--3599)
     XXXVI  National Agricultural Statistics Service, Department 
                of Agriculture (Parts 3600--3699)
    XXXVII  Economic Research Service, Department of Agriculture 
                (Parts 3700--3799)
   XXXVIII  World Agricultural Outlook Board, Department of 
                Agriculture (Parts 3800--3899)
       XLI  [Reserved]
      XLII  Rural Business-Cooperative Service and Rural Utilities 
                Service, Department of Agriculture (Parts 4200--
                4299)

[[Page 376]]

                    Title 8--Aliens and Nationality

         I  Department of Homeland Security (Immigration and 
                Naturalization) (Parts 1--499)
         V  Executive Office for Immigration Review, Department of 
                Justice (Parts 1000--1399)

                 Title 9--Animals and Animal Products

         I  Animal and Plant Health Inspection Service, Department 
                of Agriculture (Parts 1--199)
        II  Grain Inspection, Packers and Stockyards 
                Administration (Packers and Stockyards Programs), 
                Department of Agriculture (Parts 200--299)
       III  Food Safety and Inspection Service, Department of 
                Agriculture (Parts 300--599)

                           Title 10--Energy

         I  Nuclear Regulatory Commission (Parts 0--199)
        II  Department of Energy (Parts 200--699)
       III  Department of Energy (Parts 700--999)
         X  Department of Energy (General Provisions) (Parts 
                1000--1099)
      XIII  Nuclear Waste Technical Review Board (Parts 1300--
                1399)
      XVII  Defense Nuclear Facilities Safety Board (Parts 1700--
                1799)
     XVIII  Northeast Interstate Low-Level Radioactive Waste 
                Commission (Parts 1800--1899)

                      Title 11--Federal Elections

         I  Federal Election Commission (Parts 1--9099)
        II  Election Assistance Commission (Parts 9400--9499)

                      Title 12--Banks and Banking

         I  Comptroller of the Currency, Department of the 
                Treasury (Parts 1--199)
        II  Federal Reserve System (Parts 200--299)
       III  Federal Deposit Insurance Corporation (Parts 300--399)
        IV  Export-Import Bank of the United States (Parts 400--
                499)
         V  (Parts 500--599) [Reserved]
        VI  Farm Credit Administration (Parts 600--699)
       VII  National Credit Union Administration (Parts 700--799)
      VIII  Federal Financing Bank (Parts 800--899)
        IX  Federal Housing Finance Board (Parts 900--999)
         X  Bureau of Consumer Financial Protection (Parts 1000--
                1099)
        XI  Federal Financial Institutions Examination Council 
                (Parts 1100--1199)
       XII  Federal Housing Finance Agency (Parts 1200--1299)
      XIII  Financial Stability Oversight Council (Parts 1300--
                1399)

[[Page 377]]

       XIV  Farm Credit System Insurance Corporation (Parts 1400--
                1499)
        XV  Department of the Treasury (Parts 1500--1599)
       XVI  Office of Financial Research (Parts 1600--1699)
      XVII  Office of Federal Housing Enterprise Oversight, 
                Department of Housing and Urban Development (Parts 
                1700--1799)
     XVIII  Community Development Financial Institutions Fund, 
                Department of the Treasury (Parts 1800--1899)

               Title 13--Business Credit and Assistance

         I  Small Business Administration (Parts 1--199)
       III  Economic Development Administration, Department of 
                Commerce (Parts 300--399)
        IV  Emergency Steel Guarantee Loan Board (Parts 400--499)
         V  Emergency Oil and Gas Guaranteed Loan Board (Parts 
                500--599)

                    Title 14--Aeronautics and Space

         I  Federal Aviation Administration, Department of 
                Transportation (Parts 1--199)
        II  Office of the Secretary, Department of Transportation 
                (Aviation Proceedings) (Parts 200--399)
       III  Commercial Space Transportation, Federal Aviation 
                Administration, Department of Transportation 
                (Parts 400--1199)
         V  National Aeronautics and Space Administration (Parts 
                1200--1299)
        VI  Air Transportation System Stabilization (Parts 1300--
                1399)

                 Title 15--Commerce and Foreign Trade

            Subtitle A--Office of the Secretary of Commerce (Parts 
                0--29)
            Subtitle B--Regulations Relating to Commerce and 
                Foreign Trade
         I  Bureau of the Census, Department of Commerce (Parts 
                30--199)
        II  National Institute of Standards and Technology, 
                Department of Commerce (Parts 200--299)
       III  International Trade Administration, Department of 
                Commerce (Parts 300--399)
        IV  Foreign-Trade Zones Board, Department of Commerce 
                (Parts 400--499)
       VII  Bureau of Industry and Security, Department of 
                Commerce (Parts 700--799)
      VIII  Bureau of Economic Analysis, Department of Commerce 
                (Parts 800--899)
        IX  National Oceanic and Atmospheric Administration, 
                Department of Commerce (Parts 900--999)
        XI  National Technical Information Service, Department of 
                Commerce (Parts 1100--1199)

[[Page 378]]

      XIII  East-West Foreign Trade Board (Parts 1300--1399)
       XIV  Minority Business Development Agency (Parts 1400--
                1499)
            Subtitle C--Regulations Relating to Foreign Trade 
                Agreements
        XX  Office of the United States Trade Representative 
                (Parts 2000--2099)
            Subtitle D--Regulations Relating to Telecommunications 
                and Information
     XXIII  National Telecommunications and Information 
                Administration, Department of Commerce (Parts 
                2300--2399) [Reserved]

                    Title 16--Commercial Practices

         I  Federal Trade Commission (Parts 0--999)
        II  Consumer Product Safety Commission (Parts 1000--1799)

             Title 17--Commodity and Securities Exchanges

         I  Commodity Futures Trading Commission (Parts 1--199)
        II  Securities and Exchange Commission (Parts 200--399)
        IV  Department of the Treasury (Parts 400--499)

          Title 18--Conservation of Power and Water Resources

         I  Federal Energy Regulatory Commission, Department of 
                Energy (Parts 1--399)
       III  Delaware River Basin Commission (Parts 400--499)
        VI  Water Resources Council (Parts 700--799)
      VIII  Susquehanna River Basin Commission (Parts 800--899)
      XIII  Tennessee Valley Authority (Parts 1300--1399)

                       Title 19--Customs Duties

         I  U.S. Customs and Border Protection, Department of 
                Homeland Security; Department of the Treasury 
                (Parts 0--199)
        II  United States International Trade Commission (Parts 
                200--299)
       III  International Trade Administration, Department of 
                Commerce (Parts 300--399)
        IV  U.S. Immigration and Customs Enforcement, Department 
                of Homeland Security (Parts 400--599) [Reserved]

                     Title 20--Employees' Benefits

         I  Office of Workers' Compensation Programs, Department 
                of Labor (Parts 1--199)
        II  Railroad Retirement Board (Parts 200--399)
       III  Social Security Administration (Parts 400--499)

[[Page 379]]

        IV  Employees' Compensation Appeals Board, Department of 
                Labor (Parts 500--599)
         V  Employment and Training Administration, Department of 
                Labor (Parts 600--699)
        VI  Office of Workers' Compensation Programs, Department 
                of Labor (Parts 700--799)
       VII  Benefits Review Board, Department of Labor (Parts 
                800--899)
      VIII  Joint Board for the Enrollment of Actuaries (Parts 
                900--999)
        IX  Office of the Assistant Secretary for Veterans' 
                Employment and Training Service, Department of 
                Labor (Parts 1000--1099)

                       Title 21--Food and Drugs

         I  Food and Drug Administration, Department of Health and 
                Human Services (Parts 1--1299)
        II  Drug Enforcement Administration, Department of Justice 
                (Parts 1300--1399)
       III  Office of National Drug Control Policy (Parts 1400--
                1499)

                      Title 22--Foreign Relations

         I  Department of State (Parts 1--199)
        II  Agency for International Development (Parts 200--299)
       III  Peace Corps (Parts 300--399)
        IV  International Joint Commission, United States and 
                Canada (Parts 400--499)
         V  Broadcasting Board of Governors (Parts 500--599)
       VII  Overseas Private Investment Corporation (Parts 700--
                799)
        IX  Foreign Service Grievance Board (Parts 900--999)
         X  Inter-American Foundation (Parts 1000--1099)
        XI  International Boundary and Water Commission, United 
                States and Mexico, United States Section (Parts 
                1100--1199)
       XII  United States International Development Cooperation 
                Agency (Parts 1200--1299)
      XIII  Millennium Challenge Corporation (Parts 1300--1399)
       XIV  Foreign Service Labor Relations Board; Federal Labor 
                Relations Authority; General Counsel of the 
                Federal Labor Relations Authority; and the Foreign 
                Service Impasse Disputes Panel (Parts 1400--1499)
        XV  African Development Foundation (Parts 1500--1599)
       XVI  Japan-United States Friendship Commission (Parts 
                1600--1699)
      XVII  United States Institute of Peace (Parts 1700--1799)

                          Title 23--Highways

         I  Federal Highway Administration, Department of 
                Transportation (Parts 1--999)

[[Page 380]]

        II  National Highway Traffic Safety Administration and 
                Federal Highway Administration, Department of 
                Transportation (Parts 1200--1299)
       III  National Highway Traffic Safety Administration, 
                Department of Transportation (Parts 1300--1399)

                Title 24--Housing and Urban Development

            Subtitle A--Office of the Secretary, Department of 
                Housing and Urban Development (Parts 0--99)
            Subtitle B--Regulations Relating to Housing and Urban 
                Development
         I  Office of Assistant Secretary for Equal Opportunity, 
                Department of Housing and Urban Development (Parts 
                100--199)
        II  Office of Assistant Secretary for Housing-Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Parts 200--299)
       III  Government National Mortgage Association, Department 
                of Housing and Urban Development (Parts 300--399)
        IV  Office of Housing and Office of Multifamily Housing 
                Assistance Restructuring, Department of Housing 
                and Urban Development (Parts 400--499)
         V  Office of Assistant Secretary for Community Planning 
                and Development, Department of Housing and Urban 
                Development (Parts 500--599)
        VI  Office of Assistant Secretary for Community Planning 
                and Development, Department of Housing and Urban 
                Development (Parts 600--699) [Reserved]
       VII  Office of the Secretary, Department of Housing and 
                Urban Development (Housing Assistance Programs and 
                Public and Indian Housing Programs) (Parts 700--
                799)
      VIII  Office of the Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Section 8 Housing Assistance 
                Programs, Section 202 Direct Loan Program, Section 
                202 Supportive Housing for the Elderly Program and 
                Section 811 Supportive Housing for Persons With 
                Disabilities Program) (Parts 800--899)
        IX  Office of Assistant Secretary for Public and Indian 
                Housing, Department of Housing and Urban 
                Development (Parts 900--1699)
       XII  Office of Inspector General, Department of Housing and 
                Urban Development (Parts 2000--2099)
        XV  Emergency Mortgage Insurance and Loan Programs, 
                Department of Housing and Urban Development (Parts 
                2700--2799) [Reserved]
        XX  Office of Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Parts 3200--3899)
      XXIV  Board of Directors of the HOPE for Homeowners Program 
                (Parts 4000--4099) [Reserved]
       XXV  Neighborhood Reinvestment Corporation (Parts 4100--
                4199)

[[Page 381]]

                           Title 25--Indians

         I  Bureau of Indian Affairs, Department of the Interior 
                (Parts 1--299)
        II  Indian Arts and Crafts Board, Department of the 
                Interior (Parts 300--399)
       III  National Indian Gaming Commission, Department of the 
                Interior (Parts 500--599)
        IV  Office of Navajo and Hopi Indian Relocation (Parts 
                700--899)
         V  Bureau of Indian Affairs, Department of the Interior, 
                and Indian Health Service, Department of Health 
                and Human Services (Part 900--999)
        VI  Office of the Assistant Secretary, Indian Affairs, 
                Department of the Interior (Parts 1000--1199)
       VII  Office of the Special Trustee for American Indians, 
                Department of the Interior (Parts 1200--1299)

                      Title 26--Internal Revenue

         I  Internal Revenue Service, Department of the Treasury 
                (Parts 1--End)

           Title 27--Alcohol, Tobacco Products and Firearms

         I  Alcohol and Tobacco Tax and Trade Bureau, Department 
                of the Treasury (Parts 1--399)
        II  Bureau of Alcohol, Tobacco, Firearms, and Explosives, 
                Department of Justice (Parts 400--699)

                   Title 28--Judicial Administration

         I  Department of Justice (Parts 0--299)
       III  Federal Prison Industries, Inc., Department of Justice 
                (Parts 300--399)
         V  Bureau of Prisons, Department of Justice (Parts 500--
                599)
        VI  Offices of Independent Counsel, Department of Justice 
                (Parts 600--699)
       VII  Office of Independent Counsel (Parts 700--799)
      VIII  Court Services and Offender Supervision Agency for the 
                District of Columbia (Parts 800--899)
        IX  National Crime Prevention and Privacy Compact Council 
                (Parts 900--999)
        XI  Department of Justice and Department of State (Parts 
                1100--1199)

                            Title 29--Labor

            Subtitle A--Office of the Secretary of Labor (Parts 
                0--99)
            Subtitle B--Regulations Relating to Labor
         I  National Labor Relations Board (Parts 100--199)

[[Page 382]]

        II  Office of Labor-Management Standards, Department of 
                Labor (Parts 200--299)
       III  National Railroad Adjustment Board (Parts 300--399)
        IV  Office of Labor-Management Standards, Department of 
                Labor (Parts 400--499)
         V  Wage and Hour Division, Department of Labor (Parts 
                500--899)
        IX  Construction Industry Collective Bargaining Commission 
                (Parts 900--999)
         X  National Mediation Board (Parts 1200--1299)
       XII  Federal Mediation and Conciliation Service (Parts 
                1400--1499)
       XIV  Equal Employment Opportunity Commission (Parts 1600--
                1699)
      XVII  Occupational Safety and Health Administration, 
                Department of Labor (Parts 1900--1999)
        XX  Occupational Safety and Health Review Commission 
                (Parts 2200--2499)
       XXV  Employee Benefits Security Administration, Department 
                of Labor (Parts 2500--2599)
     XXVII  Federal Mine Safety and Health Review Commission 
                (Parts 2700--2799)
        XL  Pension Benefit Guaranty Corporation (Parts 4000--
                4999)

                      Title 30--Mineral Resources

         I  Mine Safety and Health Administration, Department of 
                Labor (Parts 1--199)
        II  Bureau of Safety and Environmental Enforcement, 
                Department of the Interior (Parts 200--299)
        IV  Geological Survey, Department of the Interior (Parts 
                400--499)
         V  Bureau of Ocean Energy Management, Department of the 
                Interior (Parts 500--599)
       VII  Office of Surface Mining Reclamation and Enforcement, 
                Department of the Interior (Parts 700--999)
       XII  Office of Natural Resources Revenue, Department of the 
                Interior (Parts 1200--1299)

                 Title 31--Money and Finance: Treasury

            Subtitle A--Office of the Secretary of the Treasury 
                (Parts 0--50)
            Subtitle B--Regulations Relating to Money and Finance
         I  Monetary Offices, Department of the Treasury (Parts 
                51--199)
        II  Fiscal Service, Department of the Treasury (Parts 
                200--399)
        IV  Secret Service, Department of the Treasury (Parts 
                400--499)
         V  Office of Foreign Assets Control, Department of the 
                Treasury (Parts 500--599)
        VI  Bureau of Engraving and Printing, Department of the 
                Treasury (Parts 600--699)
       VII  Federal Law Enforcement Training Center, Department of 
                the Treasury (Parts 700--799)

[[Page 383]]

      VIII  Office of Investment Security, Department of the 
                Treasury (Parts 800--899)
        IX  Federal Claims Collection Standards (Department of the 
                Treasury--Department of Justice) (Parts 900--999)
         X  Financial Crimes Enforcement Network, Department of 
                the Treasury (Parts 1000--1099)

                      Title 32--National Defense

            Subtitle A--Department of Defense
         I  Office of the Secretary of Defense (Parts 1--399)
         V  Department of the Army (Parts 400--699)
        VI  Department of the Navy (Parts 700--799)
       VII  Department of the Air Force (Parts 800--1099)
            Subtitle B--Other Regulations Relating to National 
                Defense
       XII  Defense Logistics Agency (Parts 1200--1299)
       XVI  Selective Service System (Parts 1600--1699)
      XVII  Office of the Director of National Intelligence (Parts 
                1700--1799)
     XVIII  National Counterintelligence Center (Parts 1800--1899)
       XIX  Central Intelligence Agency (Parts 1900--1999)
        XX  Information Security Oversight Office, National 
                Archives and Records Administration (Parts 2000--
                2099)
       XXI  National Security Council (Parts 2100--2199)
      XXIV  Office of Science and Technology Policy (Parts 2400--
                2499)
     XXVII  Office for Micronesian Status Negotiations (Parts 
                2700--2799)
    XXVIII  Office of the Vice President of the United States 
                (Parts 2800--2899)

               Title 33--Navigation and Navigable Waters

         I  Coast Guard, Department of Homeland Security (Parts 
                1--199)
        II  Corps of Engineers, Department of the Army, Department 
                of Defense (Parts 200--399)
        IV  Saint Lawrence Seaway Development Corporation, 
                Department of Transportation (Parts 400--499)

                          Title 34--Education

            Subtitle A--Office of the Secretary, Department of 
                Education (Parts 1--99)
            Subtitle B--Regulations of the Offices of the 
                Department of Education
         I  Office for Civil Rights, Department of Education 
                (Parts 100--199)
        II  Office of Elementary and Secondary Education, 
                Department of Education (Parts 200--299)
       III  Office of Special Education and Rehabilitative 
                Services, Department of Education (Parts 300--399)

[[Page 384]]

        IV  Office of Career, Technical and Adult Education, 
                Department of Education (Parts 400--499)
         V  Office of Bilingual Education and Minority Languages 
                Affairs, Department of Education (Parts 500--599) 
                [Reserved]
        VI  Office of Postsecondary Education, Department of 
                Education (Parts 600--699)
       VII  Office of Educational Research and Improvement, 
                Department of Education (Parts 700--799) 
                [Reserved]
            Subtitle C--Regulations Relating to Education
        XI  (Parts 1100--1199) [Reserved]
       XII  National Council on Disability (Parts 1200--1299)

                          Title 35 [Reserved]

             Title 36--Parks, Forests, and Public Property

         I  National Park Service, Department of the Interior 
                (Parts 1--199)
        II  Forest Service, Department of Agriculture (Parts 200--
                299)
       III  Corps of Engineers, Department of the Army (Parts 
                300--399)
        IV  American Battle Monuments Commission (Parts 400--499)
         V  Smithsonian Institution (Parts 500--599)
        VI  [Reserved]
       VII  Library of Congress (Parts 700--799)
      VIII  Advisory Council on Historic Preservation (Parts 800--
                899)
        IX  Pennsylvania Avenue Development Corporation (Parts 
                900--999)
         X  Presidio Trust (Parts 1000--1099)
        XI  Architectural and Transportation Barriers Compliance 
                Board (Parts 1100--1199)
       XII  National Archives and Records Administration (Parts 
                1200--1299)
        XV  Oklahoma City National Memorial Trust (Parts 1500--
                1599)
       XVI  Morris K. Udall Scholarship and Excellence in National 
                Environmental Policy Foundation (Parts 1600--1699)

             Title 37--Patents, Trademarks, and Copyrights

         I  United States Patent and Trademark Office, Department 
                of Commerce (Parts 1--199)
        II  U.S. Copyright Office, Library of Congress (Parts 
                200--299)
       III  Copyright Royalty Board, Library of Congress (Parts 
                300--399)
        IV  National Institute of Standards and Technology, 
                Department of Commerce (Parts 400--599)

           Title 38--Pensions, Bonuses, and Veterans' Relief

         I  Department of Veterans Affairs (Parts 0--199)
        II  Armed Forces Retirement Home (Parts 200--299)

[[Page 385]]

                       Title 39--Postal Service

         I  United States Postal Service (Parts 1--999)
       III  Postal Regulatory Commission (Parts 3000--3099)

                  Title 40--Protection of Environment

         I  Environmental Protection Agency (Parts 1--1099)
        IV  Environmental Protection Agency and Department of 
                Justice (Parts 1400--1499)
         V  Council on Environmental Quality (Parts 1500--1599)
        VI  Chemical Safety and Hazard Investigation Board (Parts 
                1600--1699)
       VII  Environmental Protection Agency and Department of 
                Defense; Uniform National Discharge Standards for 
                Vessels of the Armed Forces (Parts 1700--1799)
      VIII  Gulf Coast Ecosystem Restoration Council (Parts 1800--
                1899)

          Title 41--Public Contracts and Property Management

            Subtitle A--Federal Procurement Regulations System 
                [Note]
            Subtitle B--Other Provisions Relating to Public 
                Contracts
        50  Public Contracts, Department of Labor (Parts 50-1--50-
                999)
        51  Committee for Purchase From People Who Are Blind or 
                Severely Disabled (Parts 51-1--51-99)
        60  Office of Federal Contract Compliance Programs, Equal 
                Employment Opportunity, Department of Labor (Parts 
                60-1--60-999)
        61  Office of the Assistant Secretary for Veterans' 
                Employment and Training Service, Department of 
                Labor (Parts 61-1--61-999)
   62--100  [Reserved]
            Subtitle C--Federal Property Management Regulations 
                System
       101  Federal Property Management Regulations (Parts 101-1--
                101-99)
       102  Federal Management Regulation (Parts 102-1--102-299)
  103--104  [Reserved]
       105  General Services Administration (Parts 105-1--105-999)
       109  Department of Energy Property Management Regulations 
                (Parts 109-1--109-99)
       114  Department of the Interior (Parts 114-1--114-99)
       115  Environmental Protection Agency (Parts 115-1--115-99)
       128  Department of Justice (Parts 128-1--128-99)
  129--200  [Reserved]
            Subtitle D--Other Provisions Relating to Property 
                Management [Reserved]
            Subtitle E--Federal Information Resources Management 
                Regulations System [Reserved]
            Subtitle F--Federal Travel Regulation System
       300  General (Parts 300-1--300-99)
       301  Temporary Duty (TDY) Travel Allowances (Parts 301-1--
                301-99)

[[Page 386]]

       302  Relocation Allowances (Parts 302-1--302-99)
       303  Payment of Expenses Connected with the Death of 
                Certain Employees (Part 303-1--303-99)
       304  Payment of Travel Expenses from a Non-Federal Source 
                (Parts 304-1--304-99)

                        Title 42--Public Health

         I  Public Health Service, Department of Health and Human 
                Services (Parts 1--199)
   II--III  [Reserved]
        IV  Centers for Medicare & Medicaid Services, Department 
                of Health and Human Services (Parts 400--699)
         V  Office of Inspector General-Health Care, Department of 
                Health and Human Services (Parts 1000--1099)

                   Title 43--Public Lands: Interior

            Subtitle A--Office of the Secretary of the Interior 
                (Parts 1--199)
            Subtitle B--Regulations Relating to Public Lands
         I  Bureau of Reclamation, Department of the Interior 
                (Parts 400--999)
        II  Bureau of Land Management, Department of the Interior 
                (Parts 1000--9999)
       III  Utah Reclamation Mitigation and Conservation 
                Commission (Parts 10000--10099)

             Title 44--Emergency Management and Assistance

         I  Federal Emergency Management Agency, Department of 
                Homeland Security (Parts 0--399)
        IV  Department of Commerce and Department of 
                Transportation (Parts 400--499)

                       Title 45--Public Welfare

            Subtitle A--Department of Health and Human Services 
                (Parts 1--199)
            Subtitle B--Regulations Relating to Public Welfare
        II  Office of Family Assistance (Assistance Programs), 
                Administration for Children and Families, 
                Department of Health and Human Services (Parts 
                200--299)
       III  Office of Child Support Enforcement (Child Support 
                Enforcement Program), Administration for Children 
                and Families, Department of Health and Human 
                Services (Parts 300--399)
        IV  Office of Refugee Resettlement, Administration for 
                Children and Families, Department of Health and 
                Human Services (Parts 400--499)

[[Page 387]]

         V  Foreign Claims Settlement Commission of the United 
                States, Department of Justice (Parts 500--599)
        VI  National Science Foundation (Parts 600--699)
       VII  Commission on Civil Rights (Parts 700--799)
      VIII  Office of Personnel Management (Parts 800--899)
        IX  Denali Commission (Parts 900--999)
         X  Office of Community Services, Administration for 
                Children and Families, Department of Health and 
                Human Services (Parts 1000--1099)
        XI  National Foundation on the Arts and the Humanities 
                (Parts 1100--1199)
       XII  Corporation for National and Community Service (Parts 
                1200--1299)
      XIII  Administration for Children and Families, Department 
                of Health and Human Services (Parts 1300--1399)
       XVI  Legal Services Corporation (Parts 1600--1699)
      XVII  National Commission on Libraries and Information 
                Science (Parts 1700--1799)
     XVIII  Harry S. Truman Scholarship Foundation (Parts 1800--
                1899)
       XXI  Commission of Fine Arts (Parts 2100--2199)
     XXIII  Arctic Research Commission (Parts 2300--2399)
      XXIV  James Madison Memorial Fellowship Foundation (Parts 
                2400--2499)
       XXV  Corporation for National and Community Service (Parts 
                2500--2599)

                          Title 46--Shipping

         I  Coast Guard, Department of Homeland Security (Parts 
                1--199)
        II  Maritime Administration, Department of Transportation 
                (Parts 200--399)
       III  Coast Guard (Great Lakes Pilotage), Department of 
                Homeland Security (Parts 400--499)
        IV  Federal Maritime Commission (Parts 500--599)

                      Title 47--Telecommunication

         I  Federal Communications Commission (Parts 0--199)
        II  Office of Science and Technology Policy and National 
                Security Council (Parts 200--299)
       III  National Telecommunications and Information 
                Administration, Department of Commerce (Parts 
                300--399)
        IV  National Telecommunications and Information 
                Administration, Department of Commerce, and 
                National Highway Traffic Safety Administration, 
                Department of Transportation (Parts 400--499)
         V  The First Responder Network Authority (Parts 500--599)

[[Page 388]]

           Title 48--Federal Acquisition Regulations System

         1  Federal Acquisition Regulation (Parts 1--99)
         2  Defense Acquisition Regulations System, Department of 
                Defense (Parts 200--299)
         3  Department of Health and Human Services (Parts 300--
                399)
         4  Department of Agriculture (Parts 400--499)
         5  General Services Administration (Parts 500--599)
         6  Department of State (Parts 600--699)
         7  Agency for International Development (Parts 700--799)
         8  Department of Veterans Affairs (Parts 800--899)
         9  Department of Energy (Parts 900--999)
        10  Department of the Treasury (Parts 1000--1099)
        12  Department of Transportation (Parts 1200--1299)
        13  Department of Commerce (Parts 1300--1399)
        14  Department of the Interior (Parts 1400--1499)
        15  Environmental Protection Agency (Parts 1500--1599)
        16  Office of Personnel Management, Federal Employees 
                Health Benefits Acquisition Regulation (Parts 
                1600--1699)
        17  Office of Personnel Management (Parts 1700--1799)
        18  National Aeronautics and Space Administration (Parts 
                1800--1899)
        19  Broadcasting Board of Governors (Parts 1900--1999)
        20  Nuclear Regulatory Commission (Parts 2000--2099)
        21  Office of Personnel Management, Federal Employees 
                Group Life Insurance Federal Acquisition 
                Regulation (Parts 2100--2199)
        23  Social Security Administration (Parts 2300--2399)
        24  Department of Housing and Urban Development (Parts 
                2400--2499)
        25  National Science Foundation (Parts 2500--2599)
        28  Department of Justice (Parts 2800--2899)
        29  Department of Labor (Parts 2900--2999)
        30  Department of Homeland Security, Homeland Security 
                Acquisition Regulation (HSAR) (Parts 3000--3099)
        34  Department of Education Acquisition Regulation (Parts 
                3400--3499)
        51  Department of the Army Acquisition Regulations (Parts 
                5100--5199)
        52  Department of the Navy Acquisition Regulations (Parts 
                5200--5299)
        53  Department of the Air Force Federal Acquisition 
                Regulation Supplement (Parts 5300--5399) 
                [Reserved]
        54  Defense Logistics Agency, Department of Defense (Parts 
                5400--5499)
        57  African Development Foundation (Parts 5700--5799)
        61  Civilian Board of Contract Appeals, General Services 
                Administration (Parts 6100--6199)
        99  Cost Accounting Standards Board, Office of Federal 
                Procurement Policy, Office of Management and 
                Budget (Parts 9900--9999)

[[Page 389]]

                       Title 49--Transportation

            Subtitle A--Office of the Secretary of Transportation 
                (Parts 1--99)
            Subtitle B--Other Regulations Relating to 
                Transportation
         I  Pipeline and Hazardous Materials Safety 
                Administration, Department of Transportation 
                (Parts 100--199)
        II  Federal Railroad Administration, Department of 
                Transportation (Parts 200--299)
       III  Federal Motor Carrier Safety Administration, 
                Department of Transportation (Parts 300--399)
        IV  Coast Guard, Department of Homeland Security (Parts 
                400--499)
         V  National Highway Traffic Safety Administration, 
                Department of Transportation (Parts 500--599)
        VI  Federal Transit Administration, Department of 
                Transportation (Parts 600--699)
       VII  National Railroad Passenger Corporation (AMTRAK) 
                (Parts 700--799)
      VIII  National Transportation Safety Board (Parts 800--999)
         X  Surface Transportation Board (Parts 1000--1399)
        XI  Research and Innovative Technology Administration, 
                Department of Transportation (Parts 1400--1499) 
                [Reserved]
       XII  Transportation Security Administration, Department of 
                Homeland Security (Parts 1500--1699)

                   Title 50--Wildlife and Fisheries

         I  United States Fish and Wildlife Service, Department of 
                the Interior (Parts 1--199)
        II  National Marine Fisheries Service, National Oceanic 
                and Atmospheric Administration, Department of 
                Commerce (Parts 200--299)
       III  International Fishing and Related Activities (Parts 
                300--399)
        IV  Joint Regulations (United States Fish and Wildlife 
                Service, Department of the Interior and National 
                Marine Fisheries Service, National Oceanic and 
                Atmospheric Administration, Department of 
                Commerce); Endangered Species Committee 
                Regulations (Parts 400--499)
         V  Marine Mammal Commission (Parts 500--599)
        VI  Fishery Conservation and Management, National Oceanic 
                and Atmospheric Administration, Department of 
                Commerce (Parts 600--699)

[[Page 391]]





           Alphabetical List of Agencies Appearing in the CFR




                     (Revised as of January 1, 2019)

                                                  CFR Title, Subtitle or 
                     Agency                               Chapter

Administrative Conference of the United States    1, III
Advisory Council on Historic Preservation         36, VIII
Advocacy and Outreach, Office of                  7, XXV
Afghanistan Reconstruction, Special Inspector     5, LXXXIII
     General for
African Development Foundation                    22, XV
  Federal Acquisition Regulation                  48, 57
Agency for International Development              2, VII; 22, II
  Federal Acquisition Regulation                  48, 7
Agricultural Marketing Service                    7, I, IX, X, XI
Agricultural Research Service                     7, V
Agriculture, Department of                        2, IV; 5, LXXIII
  Advocacy and Outreach, Office of                7, XXV
  Agricultural Marketing Service                  7, I, IX, X, XI
  Agricultural Research Service                   7, V
  Animal and Plant Health Inspection Service      7, III; 9, I
  Chief Financial Officer, Office of              7, XXX
  Commodity Credit Corporation                    7, XIV
  Economic Research Service                       7, XXXVII
  Energy Policy and New Uses, Office of           2, IX; 7, XXIX
  Environmental Quality, Office of                7, XXXI
  Farm Service Agency                             7, VII, XVIII
  Federal Acquisition Regulation                  48, 4
  Federal Crop Insurance Corporation              7, IV
  Food and Nutrition Service                      7, II
  Food Safety and Inspection Service              9, III
  Foreign Agricultural Service                    7, XV
  Forest Service                                  36, II
  Grain Inspection, Packers and Stockyards        7, VIII; 9, II
       Administration
  Information Resources Management, Office of     7, XXVII
  Inspector General, Office of                    7, XXVI
  National Agricultural Library                   7, XLI
  National Agricultural Statistics Service        7, XXXVI
  National Institute of Food and Agriculture      7, XXXIV
  Natural Resources Conservation Service          7, VI
  Operations, Office of                           7, XXVIII
  Procurement and Property Management, Office of  7, XXXII
  Rural Business-Cooperative Service              7, XVIII, XLII
  Rural Development Administration                7, XLII
  Rural Housing Service                           7, XVIII, XXXV
  Rural Telephone Bank                            7, XVI
  Rural Utilities Service                         7, XVII, XVIII, XLII
  Secretary of Agriculture, Office of             7, Subtitle A
  Transportation, Office of                       7, XXXIII
  World Agricultural Outlook Board                7, XXXVIII
Air Force, Department of                          32, VII
  Federal Acquisition Regulation Supplement       48, 53
Air Transportation Stabilization Board            14, VI
Alcohol and Tobacco Tax and Trade Bureau          27, I
Alcohol, Tobacco, Firearms, and Explosives,       27, II
     Bureau of
AMTRAK                                            49, VII
American Battle Monuments Commission              36, IV
American Indians, Office of the Special Trustee   25, VII
Animal and Plant Health Inspection Service        7, III; 9, I

[[Page 392]]

Appalachian Regional Commission                   5, IX
Architectural and Transportation Barriers         36, XI
     Compliance Board
Arctic Research Commission                        45, XXIII
Armed Forces Retirement Home                      5, XI
Army, Department of                               32, V
  Engineers, Corps of                             33, II; 36, III
  Federal Acquisition Regulation                  48, 51
Bilingual Education and Minority Languages        34, V
     Affairs, Office of
Blind or Severely Disabled, Committee for         41, 51
     Purchase from People Who Are
Broadcasting Board of Governors                   22, V
  Federal Acquisition Regulation                  48, 19
Career, Technical, and Adult Education, Office    34, IV
     of
Census Bureau                                     15, I
Centers for Medicare & Medicaid Services          42, IV
Central Intelligence Agency                       32, XIX
Chemical Safety and Hazardous Investigation       40, VI
     Board
Chief Financial Officer, Office of                7, XXX
Child Support Enforcement, Office of              45, III
Children and Families, Administration for         45, II, III, IV, X, XIII
Civil Rights, Commission on                       5, LXVIII; 45, VII
Civil Rights, Office for                          34, I
Council of the Inspectors General on Integrity    5, XCVIII
     and Efficiency
Court Services and Offender Supervision Agency    5, LXX
     for the District of Columbia
Coast Guard                                       33, I; 46, I; 49, IV
Coast Guard (Great Lakes Pilotage)                46, III
Commerce, Department of                           2, XIII; 44, IV; 50, VI
  Census Bureau                                   15, I
  Economic Analysis, Bureau of                    15, VIII
  Economic Development Administration             13, III
  Emergency Management and Assistance             44, IV
  Federal Acquisition Regulation                  48, 13
  Foreign-Trade Zones Board                       15, IV
  Industry and Security, Bureau of                15, VII
  International Trade Administration              15, III; 19, III
  National Institute of Standards and Technology  15, II; 37, IV
  National Marine Fisheries Service               50, II, IV
  National Oceanic and Atmospheric                15, IX; 50, II, III, IV, 
       Administration                             VI
  National Technical Information Service          15, XI
  National Telecommunications and Information     15, XXIII; 47, III, IV
       Administration
  National Weather Service                        15, IX
  Patent and Trademark Office, United States      37, I
  Secretary of Commerce, Office of                15, Subtitle A
Commercial Space Transportation                   14, III
Commodity Credit Corporation                      7, XIV
Commodity Futures Trading Commission              5, XLI; 17, I
Community Planning and Development, Office of     24, V, VI
     Assistant Secretary for
Community Services, Office of                     45, X
Comptroller of the Currency                       12, I
Construction Industry Collective Bargaining       29, IX
     Commission
Consumer Financial Protection Bureau              5, LXXXIV; 12, X
Consumer Product Safety Commission                5, LXXI; 16, II
Copyright Royalty Board                           37, III
Corporation for National and Community Service    2, XXII; 45, XII, XXV
Cost Accounting Standards Board                   48, 99
Council on Environmental Quality                  40, V
Court Services and Offender Supervision Agency    5, LXX; 28, VIII
     for the District of Columbia
Customs and Border Protection                     19, I
Defense Contract Audit Agency                     32, I
Defense, Department of                            2, XI; 5, XXVI; 32, 
                                                  Subtitle A; 40, VII
  Advanced Research Projects Agency               32, I
  Air Force Department                            32, VII

[[Page 393]]

  Army Department                                 32, V; 33, II; 36, III; 
                                                  48, 51
  Defense Acquisition Regulations System          48, 2
  Defense Intelligence Agency                     32, I
  Defense Logistics Agency                        32, I, XII; 48, 54
  Engineers, Corps of                             33, II; 36, III
  National Imagery and Mapping Agency             32, I
  Navy Department                                 32, VI; 48, 52
  Secretary of Defense, Office of                 2, XI; 32, I
Defense Contract Audit Agency                     32, I
Defense Intelligence Agency                       32, I
Defense Logistics Agency                          32, XII; 48, 54
Defense Nuclear Facilities Safety Board           10, XVII
Delaware River Basin Commission                   18, III
Denali Commission                                 45, IX
Disability, National Council on                   5, C; 34, XII
District of Columbia, Court Services and          5, LXX; 28, VIII
     Offender Supervision Agency for the
Drug Enforcement Administration                   21, II
East-West Foreign Trade Board                     15, XIII
Economic Analysis, Bureau of                      15, VIII
Economic Development Administration               13, III
Economic Research Service                         7, XXXVII
Education, Department of                          2, XXXIV; 5, LIII
  Bilingual Education and Minority Languages      34, V
       Affairs, Office of
  Career, Technical, and Adult Education, Office  34, IV
       of
  Civil Rights, Office for                        34, I
  Educational Research and Improvement, Office    34, VII
       of
  Elementary and Secondary Education, Office of   34, II
  Federal Acquisition Regulation                  48, 34
  Postsecondary Education, Office of              34, VI
  Secretary of Education, Office of               34, Subtitle A
  Special Education and Rehabilitative Services,  34, III
       Office of
Educational Research and Improvement, Office of   34, VII
Election Assistance Commission                    2, LVIII; 11, II
Elementary and Secondary Education, Office of     34, II
Emergency Oil and Gas Guaranteed Loan Board       13, V
Emergency Steel Guarantee Loan Board              13, IV
Employee Benefits Security Administration         29, XXV
Employees' Compensation Appeals Board             20, IV
Employees Loyalty Board                           5, V
Employment and Training Administration            20, V
Employment Policy, National Commission for        1, IV
Employment Standards Administration               20, VI
Endangered Species Committee                      50, IV
Energy, Department of                             2, IX; 5, XXIII; 10, II, 
                                                  III, X
  Federal Acquisition Regulation                  48, 9
  Federal Energy Regulatory Commission            5, XXIV; 18, I
  Property Management Regulations                 41, 109
Energy, Office of                                 7, XXIX
Engineers, Corps of                               33, II; 36, III
Engraving and Printing, Bureau of                 31, VI
Environmental Protection Agency                   2, XV; 5, LIV; 40, I, IV, 
                                                  VII
  Federal Acquisition Regulation                  48, 15
  Property Management Regulations                 41, 115
Environmental Quality, Office of                  7, XXXI
Equal Employment Opportunity Commission           5, LXII; 29, XIV
Equal Opportunity, Office of Assistant Secretary  24, I
     for
Executive Office of the President                 3, I
  Environmental Quality, Council on               40, V
  Management and Budget, Office of                2, Subtitle A; 5, III, 
                                                  LXXVII; 14, VI; 48, 99
  National Drug Control Policy, Office of         2, XXXVI; 21, III
  National Security Council                       32, XXI; 47, 2

[[Page 394]]

  Presidential Documents                          3
  Science and Technology Policy, Office of        32, XXIV; 47, II
  Trade Representative, Office of the United      15, XX
       States
Export-Import Bank of the United States           2, XXXV; 5, LII; 12, IV
Family Assistance, Office of                      45, II
Farm Credit Administration                        5, XXXI; 12, VI
Farm Credit System Insurance Corporation          5, XXX; 12, XIV
Farm Service Agency                               7, VII, XVIII
Federal Acquisition Regulation                    48, 1
Federal Aviation Administration                   14, I
  Commercial Space Transportation                 14, III
Federal Claims Collection Standards               31, IX
Federal Communications Commission                 5, XXIX; 47, I
Federal Contract Compliance Programs, Office of   41, 60
Federal Crop Insurance Corporation                7, IV
Federal Deposit Insurance Corporation             5, XXII; 12, III
Federal Election Commission                       5, XXXVII; 11, I
Federal Emergency Management Agency               44, I
Federal Employees Group Life Insurance Federal    48, 21
     Acquisition Regulation
Federal Employees Health Benefits Acquisition     48, 16
     Regulation
Federal Energy Regulatory Commission              5, XXIV; 18, I
Federal Financial Institutions Examination        12, XI
     Council
Federal Financing Bank                            12, VIII
Federal Highway Administration                    23, I, II
Federal Home Loan Mortgage Corporation            1, IV
Federal Housing Enterprise Oversight Office       12, XVII
Federal Housing Finance Agency                    5, LXXX; 12, XII
Federal Housing Finance Board                     12, IX
Federal Labor Relations Authority                 5, XIV, XLIX; 22, XIV
Federal Law Enforcement Training Center           31, VII
Federal Management Regulation                     41, 102
Federal Maritime Commission                       46, IV
Federal Mediation and Conciliation Service        29, XII
Federal Mine Safety and Health Review Commission  5, LXXIV; 29, XXVII
Federal Motor Carrier Safety Administration       49, III
Federal Prison Industries, Inc.                   28, III
Federal Procurement Policy Office                 48, 99
Federal Property Management Regulations           41, 101
Federal Railroad Administration                   49, II
Federal Register, Administrative Committee of     1, I
Federal Register, Office of                       1, II
Federal Reserve System                            12, II
  Board of Governors                              5, LVIII
Federal Retirement Thrift Investment Board        5, VI, LXXVI
Federal Service Impasses Panel                    5, XIV
Federal Trade Commission                          5, XLVII; 16, I
Federal Transit Administration                    49, VI
Federal Travel Regulation System                  41, Subtitle F
Financial Crimes Enforcement Network              31, X
Financial Research Office                         12, XVI
Financial Stability Oversight Council             12, XIII
Fine Arts, Commission of                          45, XXI
Fiscal Service                                    31, II
Fish and Wildlife Service, United States          50, I, IV
Food and Drug Administration                      21, I
Food and Nutrition Service                        7, II
Food Safety and Inspection Service                9, III
Foreign Agricultural Service                      7, XV
Foreign Assets Control, Office of                 31, V
Foreign Claims Settlement Commission of the       45, V
     United States
Foreign Service Grievance Board                   22, IX
Foreign Service Impasse Disputes Panel            22, XIV
Foreign Service Labor Relations Board             22, XIV
Foreign-Trade Zones Board                         15, IV
Forest Service                                    36, II
General Services Administration                   5, LVII; 41, 105

[[Page 395]]

  Contract Appeals, Board of                      48, 61
  Federal Acquisition Regulation                  48, 5
  Federal Management Regulation                   41, 102
  Federal Property Management Regulations         41, 101
  Federal Travel Regulation System                41, Subtitle F
  General                                         41, 300
  Payment From a Non-Federal Source for Travel    41, 304
       Expenses
  Payment of Expenses Connected With the Death    41, 303
       of Certain Employees
  Relocation Allowances                           41, 302
  Temporary Duty (TDY) Travel Allowances          41, 301
Geological Survey                                 30, IV
Government Accountability Office                  4, I
Government Ethics, Office of                      5, XVI
Government National Mortgage Association          24, III
Grain Inspection, Packers and Stockyards          7, VIII; 9, II
     Administration
Gulf Coast Ecosystem Restoration Council          2, LIX; 40, VIII
Harry S. Truman Scholarship Foundation            45, XVIII
Health and Human Services, Department of          2, III; 5, XLV; 45, 
                                                  Subtitle A
  Centers for Medicare & Medicaid Services        42, IV
  Child Support Enforcement, Office of            45, III
  Children and Families, Administration for       45, II, III, IV, X, XIII
  Community Services, Office of                   45, X
  Family Assistance, Office of                    45, II
  Federal Acquisition Regulation                  48, 3
  Food and Drug Administration                    21, I
  Indian Health Service                           25, V
  Inspector General (Health Care), Office of      42, V
  Public Health Service                           42, I
  Refugee Resettlement, Office of                 45, IV
Homeland Security, Department of                  2, XXX; 5, XXXVI; 6, I; 8, 
                                                  I
  Coast Guard                                     33, I; 46, I; 49, IV
  Coast Guard (Great Lakes Pilotage)              46, III
  Customs and Border Protection                   19, I
  Federal Emergency Management Agency             44, I
  Human Resources Management and Labor Relations  5, XCVII
       Systems
  Immigration and Customs Enforcement Bureau      19, IV
  Transportation Security Administration          49, XII
HOPE for Homeowners Program, Board of Directors   24, XXIV
     of
Housing and Urban Development, Department of      2, XXIV; 5, LXV; 24, 
                                                  Subtitle B
  Community Planning and Development, Office of   24, V, VI
       Assistant Secretary for
  Equal Opportunity, Office of Assistant          24, I
       Secretary for
  Federal Acquisition Regulation                  48, 24
  Federal Housing Enterprise Oversight, Office    12, XVII
       of
  Government National Mortgage Association        24, III
  Housing--Federal Housing Commissioner, Office   24, II, VIII, X, XX
       of Assistant Secretary for
  Housing, Office of, and Multifamily Housing     24, IV
       Assistance Restructuring, Office of
  Inspector General, Office of                    24, XII
  Public and Indian Housing, Office of Assistant  24, IX
       Secretary for
  Secretary, Office of                            24, Subtitle A, VII
Housing--Federal Housing Commissioner, Office of  24, II, VIII, X, XX
     Assistant Secretary for
Housing, Office of, and Multifamily Housing       24, IV
     Assistance Restructuring, Office of
Immigration and Customs Enforcement Bureau        19, IV
Immigration Review, Executive Office for          8, V
Independent Counsel, Office of                    28, VII
Independent Counsel, Offices of                   28, VI
Indian Affairs, Bureau of                         25, I, V
Indian Affairs, Office of the Assistant           25, VI
   Secretary
[[Page 396]]

Indian Arts and Crafts Board                      25, II
Indian Health Service                             25, V
Industry and Security, Bureau of                  15, VII
Information Resources Management, Office of       7, XXVII
Information Security Oversight Office, National   32, XX
     Archives and Records Administration
Inspector General
  Agriculture Department                          7, XXVI
  Health and Human Services Department            42, V
  Housing and Urban Development Department        24, XII, XV
Institute of Peace, United States                 22, XVII
Inter-American Foundation                         5, LXIII; 22, X
Interior, Department of                           2, XIV
  American Indians, Office of the Special         25, VII
       Trustee
  Endangered Species Committee                    50, IV
  Federal Acquisition Regulation                  48, 14
  Federal Property Management Regulations System  41, 114
  Fish and Wildlife Service, United States        50, I, IV
  Geological Survey                               30, IV
  Indian Affairs, Bureau of                       25, I, V
  Indian Affairs, Office of the Assistant         25, VI
       Secretary
  Indian Arts and Crafts Board                    25, II
  Land Management, Bureau of                      43, II
  National Indian Gaming Commission               25, III
  National Park Service                           36, I
  Natural Resource Revenue, Office of             30, XII
  Ocean Energy Management, Bureau of              30, V
  Reclamation, Bureau of                          43, I
  Safety and Enforcement Bureau, Bureau of        30, II
  Secretary of the Interior, Office of            2, XIV; 43, Subtitle A
  Surface Mining Reclamation and Enforcement,     30, VII
       Office of
Internal Revenue Service                          26, I
International Boundary and Water Commission,      22, XI
     United States and Mexico, United States 
     Section
International Development, United States Agency   22, II
     for
  Federal Acquisition Regulation                  48, 7
International Development Cooperation Agency,     22, XII
     United States
International Joint Commission, United States     22, IV
     and Canada
International Organizations Employees Loyalty     5, V
     Board
International Trade Administration                15, III; 19, III
International Trade Commission, United States     19, II
Interstate Commerce Commission                    5, XL
Investment Security, Office of                    31, VIII
James Madison Memorial Fellowship Foundation      45, XXIV
Japan-United States Friendship Commission         22, XVI
Joint Board for the Enrollment of Actuaries       20, VIII
Justice, Department of                            2, XXVIII; 5, XXVIII; 28, 
                                                  I, XI; 40, IV
  Alcohol, Tobacco, Firearms, and Explosives,     27, II
       Bureau of
  Drug Enforcement Administration                 21, II
  Federal Acquisition Regulation                  48, 28
  Federal Claims Collection Standards             31, IX
  Federal Prison Industries, Inc.                 28, III
  Foreign Claims Settlement Commission of the     45, V
       United States
  Immigration Review, Executive Office for        8, V
  Independent Counsel, Offices of                 28, VI
  Prisons, Bureau of                              28, V
  Property Management Regulations                 41, 128
Labor, Department of                              2, XXIX; 5, XLII
  Employee Benefits Security Administration       29, XXV
  Employees' Compensation Appeals Board           20, IV
  Employment and Training Administration          20, V
  Employment Standards Administration             20, VI
  Federal Acquisition Regulation                  48, 29
  Federal Contract Compliance Programs, Office    41, 60
     of
[[Page 397]]

  Federal Procurement Regulations System          41, 50
  Labor-Management Standards, Office of           29, II, IV
  Mine Safety and Health Administration           30, I
  Occupational Safety and Health Administration   29, XVII
  Public Contracts                                41, 50
  Secretary of Labor, Office of                   29, Subtitle A
  Veterans' Employment and Training Service,      41, 61; 20, IX
       Office of the Assistant Secretary for
  Wage and Hour Division                          29, V
  Workers' Compensation Programs, Office of       20, I, VII
Labor-Management Standards, Office of             29, II, IV
Land Management, Bureau of                        43, II
Legal Services Corporation                        45, XVI
Libraries and Information Science, National       45, XVII
     Commission on
Library of Congress                               36, VII
  Copyright Royalty Board                         37, III
  U.S. Copyright Office                           37, II
Local Television Loan Guarantee Board             7, XX
Management and Budget, Office of                  5, III, LXXVII; 14, VI; 
                                                  48, 99
Marine Mammal Commission                          50, V
Maritime Administration                           46, II
Merit Systems Protection Board                    5, II, LXIV
Micronesian Status Negotiations, Office for       32, XXVII
Military Compensation and Retirement              5, XCIX
     Modernization Commission
Millennium Challenge Corporation                  22, XIII
Mine Safety and Health Administration             30, I
Minority Business Development Agency              15, XIV
Miscellaneous Agencies                            1, IV
Monetary Offices                                  31, I
Morris K. Udall Scholarship and Excellence in     36, XVI
     National Environmental Policy Foundation
Museum and Library Services, Institute of         2, XXXI
National Aeronautics and Space Administration     2, XVIII; 5, LIX; 14, V
  Federal Acquisition Regulation                  48, 18
National Agricultural Library                     7, XLI
National Agricultural Statistics Service          7, XXXVI
National and Community Service, Corporation for   2, XXII; 45, XII, XXV
National Archives and Records Administration      2, XXVI; 5, LXVI; 36, XII
  Information Security Oversight Office           32, XX
National Capital Planning Commission              1, IV, VI
National Counterintelligence Center               32, XVIII
National Credit Union Administration              5, LXXXVI; 12, VII
National Crime Prevention and Privacy Compact     28, IX
     Council
National Drug Control Policy, Office of           2, XXXVI; 21, III
National Endowment for the Arts                   2, XXXII
National Endowment for the Humanities             2, XXXIII
National Foundation on the Arts and the           45, XI
     Humanities
National Geospatial-Intelligence Agency           32, I
National Highway Traffic Safety Administration    23, II, III; 47, VI; 49, V
National Imagery and Mapping Agency               32, I
National Indian Gaming Commission                 25, III
National Institute of Food and Agriculture        7, XXXIV
National Institute of Standards and Technology    15, II; 37, IV
National Intelligence, Office of Director of      5, IV; 32, XVII
National Labor Relations Board                    5, LXI; 29, I
National Marine Fisheries Service                 50, II, IV
National Mediation Board                          5, CI; 29, X
National Oceanic and Atmospheric Administration   15, IX; 50, II, III, IV, 
                                                  VI
National Park Service                             36, I
National Railroad Adjustment Board                29, III
National Railroad Passenger Corporation (AMTRAK)  49, VII
National Science Foundation                       2, XXV; 5, XLIII; 45, VI
  Federal Acquisition Regulation                  48, 25
National Security Council                         32, XXI

[[Page 398]]

National Security Council and Office of Science   47, II
     and Technology Policy
National Technical Information Service            15, XI
National Telecommunications and Information       15, XXIII; 47, III, IV, V
     Administration
National Transportation Safety Board              49, VIII
Natural Resources Conservation Service            7, VI
Natural Resource Revenue, Office of               30, XII
Navajo and Hopi Indian Relocation, Office of      25, IV
Navy, Department of                               32, VI
  Federal Acquisition Regulation                  48, 52
Neighborhood Reinvestment Corporation             24, XXV
Northeast Interstate Low-Level Radioactive Waste  10, XVIII
     Commission
Nuclear Regulatory Commission                     2, XX; 5, XLVIII; 10, I
  Federal Acquisition Regulation                  48, 20
Occupational Safety and Health Administration     29, XVII
Occupational Safety and Health Review Commission  29, XX
Ocean Energy Management, Bureau of                30, V
Oklahoma City National Memorial Trust             36, XV
Operations Office                                 7, XXVIII
Overseas Private Investment Corporation           5, XXXIII; 22, VII
Patent and Trademark Office, United States        37, I
Payment From a Non-Federal Source for Travel      41, 304
     Expenses
Payment of Expenses Connected With the Death of   41, 303
     Certain Employees
Peace Corps                                       2, XXXVII; 22, III
Pennsylvania Avenue Development Corporation       36, IX
Pension Benefit Guaranty Corporation              29, XL
Personnel Management, Office of                   5, I, XXXV; 5, IV; 45, 
                                                  VIII
  Human Resources Management and Labor Relations  5, XCVII
       Systems, Department of Homeland Security
  Federal Acquisition Regulation                  48, 17
  Federal Employees Group Life Insurance Federal  48, 21
       Acquisition Regulation
  Federal Employees Health Benefits Acquisition   48, 16
       Regulation
Pipeline and Hazardous Materials Safety           49, I
     Administration
Postal Regulatory Commission                      5, XLVI; 39, III
Postal Service, United States                     5, LX; 39, I
Postsecondary Education, Office of                34, VI
President's Commission on White House             1, IV
     Fellowships
Presidential Documents                            3
Presidio Trust                                    36, X
Prisons, Bureau of                                28, V
Privacy and Civil Liberties Oversight Board       6, X
Procurement and Property Management, Office of    7, XXXII
Public Contracts, Department of Labor             41, 50
Public and Indian Housing, Office of Assistant    24, IX
     Secretary for
Public Health Service                             42, I
Railroad Retirement Board                         20, II
Reclamation, Bureau of                            43, I
Refugee Resettlement, Office of                   45, IV
Relocation Allowances                             41, 302
Research and Innovative Technology                49, XI
     Administration
Rural Business-Cooperative Service                7, XVIII, XLII
Rural Development Administration                  7, XLII
Rural Housing Service                             7, XVIII, XXXV
Rural Telephone Bank                              7, XVI
Rural Utilities Service                           7, XVII, XVIII, XLII
Safety and Environmental Enforcement, Bureau of   30, II
Saint Lawrence Seaway Development Corporation     33, IV
Science and Technology Policy, Office of          32, XXIV
Science and Technology Policy, Office of, and     47, II
     National Security Council
Secret Service                                    31, IV
Securities and Exchange Commission                5, XXXIV; 17, II

[[Page 399]]

Selective Service System                          32, XVI
Small Business Administration                     2, XXVII; 13, I
Smithsonian Institution                           36, V
Social Security Administration                    2, XXIII; 20, III; 48, 23
Soldiers' and Airmen's Home, United States        5, XI
Special Counsel, Office of                        5, VIII
Special Education and Rehabilitative Services,    34, III
     Office of
State, Department of                              2, VI; 22, I; 28, XI
  Federal Acquisition Regulation                  48, 6
Surface Mining Reclamation and Enforcement,       30, VII
     Office of
Surface Transportation Board                      49, X
Susquehanna River Basin Commission                18, VIII
Tennessee Valley Authority                        5, LXIX; 18, XIII
Trade Representative, United States, Office of    15, XX
Transportation, Department of                     2, XII; 5, L
  Commercial Space Transportation                 14, III
  Emergency Management and Assistance             44, IV
  Federal Acquisition Regulation                  48, 12
  Federal Aviation Administration                 14, I
  Federal Highway Administration                  23, I, II
  Federal Motor Carrier Safety Administration     49, III
  Federal Railroad Administration                 49, II
  Federal Transit Administration                  49, VI
  Maritime Administration                         46, II
  National Highway Traffic Safety Administration  23, II, III; 47, IV; 49, V
  Pipeline and Hazardous Materials Safety         49, I
       Administration
  Saint Lawrence Seaway Development Corporation   33, IV
  Secretary of Transportation, Office of          14, II; 49, Subtitle A
  Transportation Statistics Bureau                49, XI
Transportation, Office of                         7, XXXIII
Transportation Security Administration            49, XII
Transportation Statistics Bureau                  49, XI
Travel Allowances, Temporary Duty (TDY)           41, 301
Treasury, Department of the                       2, X;5, XXI; 12, XV; 17, 
                                                  IV; 31, IX
  Alcohol and Tobacco Tax and Trade Bureau        27, I
  Community Development Financial Institutions    12, XVIII
       Fund
  Comptroller of the Currency                     12, I
  Customs and Border Protection                   19, I
  Engraving and Printing, Bureau of               31, VI
  Federal Acquisition Regulation                  48, 10
  Federal Claims Collection Standards             31, IX
  Federal Law Enforcement Training Center         31, VII
  Financial Crimes Enforcement Network            31, X
  Fiscal Service                                  31, II
  Foreign Assets Control, Office of               31, V
  Internal Revenue Service                        26, I
  Investment Security, Office of                  31, VIII
  Monetary Offices                                31, I
  Secret Service                                  31, IV
  Secretary of the Treasury, Office of            31, Subtitle A
Truman, Harry S. Scholarship Foundation           45, XVIII
United States and Canada, International Joint     22, IV
     Commission
United States and Mexico, International Boundary  22, XI
     and Water Commission, United States Section
U.S. Copyright Office                             37, II
Utah Reclamation Mitigation and Conservation      43, III
     Commission
Veterans Affairs, Department of                   2, VIII; 38, I
  Federal Acquisition Regulation                  48, 8
Veterans' Employment and Training Service,        41, 61; 20, IX
     Office of the Assistant Secretary for
Vice President of the United States, Office of    32, XXVIII
Wage and Hour Division                            29, V
Water Resources Council                           18, VI
Workers' Compensation Programs, Office of         20, I, VII
World Agricultural Outlook Board                  7, XXXVIII

[[Page 401]]



List of CFR Sections Affected



All changes in this volume of the Code of Federal Regulations (CFR) that 
were made by documents published in the Federal Register since January 
1, 2014 are enumerated in the following list. Entries indicate the 
nature of the changes effected. Page numbers refer to Federal Register 
pages. The user should consult the entries for chapters, parts and 
subparts as well as sections for revisions.
For changes to this volume of the CFR prior to this listing, consult the 
annual edition of the monthly List of CFR Sections Affected (LSA). The 
LSA is available at www.govinfo.gov. For changes to this volume of the 
CFR prior to 2001, see the ``List of CFR Sections Affected, 1949-1963, 
1964-1972, 1973-1985, and 1986-2000'' published in 11 separate volumes. 
The ``List of CFR Sections Affected 1986-2000'' is available at 
www.govinfo.gov.

                                  2014

14 CFR
                                                                   79 FR
                                                                    Page
Chapter V
1201 Authority citation revised....................................18444
1201.100 Amended...................................................18444
1201.200 Revised...................................................18444
1201.300 Revised...................................................18444
1201.400--1201.402 (Subpart 4) Removed.............................18444
1204.501 Amended...................................................11319
1204.503 (b), (e)(1), (2), (f)(1), (3)(i)(D), (ii), (g), (h) and 
        (i) amended................................................11319
1204.504 (a), (d)(1), (2), (e)(1), (3)(ii)(B), (iii), (f), (g) and 
        (h) amended................................................11320
1204.505 (b) amended...............................................11320
1204.509 (a) amended...............................................11320
1204.1100--1204.1104 (Subpart 11) Added............................54903
1206 Revised.......................................................46678
1214 Authority citation revised.....................................7392
1214.500--1214.505 (Subpart 1214.5) Removed.........................7392
1260 Authority citation revised....................................21125
    Removed; interim...............................................76076
1260.4 (b)(2) revised..............................................67349
1260.10 (b)(1)(iv) added...........................................67349
1260.14 (e) added..................................................67349
1260.77 Removed....................................................21125
1267 Removed.......................................................56488
1273 Authority citation revised....................................21126
    Removed; interim...............................................76076
1273.50 Removed....................................................21126
1273.51 Removed....................................................21126
1274 Authority citation revised.............................21126, 56488
1274.803 Removed...................................................21126
1274.804 Removed...................................................21126
1274.927 Revised...................................................56488

                                  2015

14 CFR
                                                                   80 FR
                                                                    Page
Chapter V
1204.1100--1204.1104 (Subpart 11) Authority citation revised.......70152
1204.1100 Revised; eff. 1-12-16....................................70152
1204.1101 Revised; eff. 1-12-16....................................70152
1204.1102 (a) revised; eff. 1-12-16................................70152
1204.1103 Revised eff. 1-12-16.....................................70152
1204.1104 Revised; eff. 1-12-16....................................70152
1216.200--1216.205 (Subpart 1216.2) Removed........................30353
1217 Authority citation revised....................................45865
1217.103 (a)(1), (2) and (3) revised...............................45865
1245.100--1245.118 (Subpart 1) Authority citation revised..........19197
1245.100 Revised...................................................19197

[[Page 402]]

1245.101 Revised...................................................19197
1245.102 (c) revised; (d) through (j) redesignated as (e) through 
        (k); new (d) added.........................................19197
1245.103 (a) and (b) revised.......................................19198
1245.104 (a), (b) introductory text, (2), (3) introductory text, 
        (v), (c) and (d) revised; (e) removed; (f) redesignated as 
        new (e)....................................................19198
1245.106 (c) and (d) revised.......................................19199
1245.107 (b) introductory text revised.............................19199
1245.108 (b) and (c) amended.......................................19199
1245.110 (b) and (c) redesignated as (c) and (d); new (b) added....19199
1245.112 (a) revised...............................................19199
1245.116 (b) revised...............................................19199
1245.117 (a) revised...............................................19199
1245.300--1245.304 (Subpart 3) Authority citation revised..........42029
1245.301 (a) amended...............................................42029
1262 Authority citation revised....................................42029
1262.201 (d) amended...............................................42029
1262.202 (a) amended...............................................42029
1263 Authority citation revised....................................42029
1264 Authority citation revised....................................42029
1264.109 (c) amended...............................................42029
1264.111 (b)(4) amended............................................42029
1264.116 (b) amended...............................................42029
1264.124 Amended...................................................42029
1266 Authority citation revised....................................42030

                                  2016

14 CFR
                                                                   81 FR
                                                                    Page
Chapter V
1214 Authority citation revised....................................43041
1214.1--1214.119 (Subpart 1214.1) Removed..........................43041
1214.200--1214.207 (Subpart 1214.2) Removed........................43041
1214.300--1214.306 (Subpart 1214.3) Removed........................43041
1214.400--1214.404 (Subpart 1214.4) Authority citation revised.....43041
1214.600--1214.610 (Subpart 1214.6) Revised........................43041
1214.700--1214.704 (Subpart 1214.7) Revised........................43041
1214.800--1214.813 (Subpart 1214.8) Removed........................43042
1214.1700--1214.1707 (Subpart 1214.17) Removed.....................43042
1251 Heading and authority citation revised; nomenclature changes 
                                                                    3709
1251.100 Revised....................................................3709
1251.102 Revised....................................................3709
1251.104 (a) and (c)(3) amended.....................................3711
1251.105 (a)(1), (2), (3) and (c)(2) introductory text amended......3711
1251.107 (a) revised................................................3711
1251.108 Amended....................................................3711
1251.110 Added......................................................3711
1251.111 Added......................................................3711
1251.112 Added......................................................3711
1251.113 Added......................................................3711
1251.200 Revised....................................................3712
1251.202 (a)(2) amended.............................................3712
1251.301 (e) redesignated as (f) and revised; new (e) added.........3712
1251.302 (a) and (c)(1) revised; (c)(2) and (3) redesignated as 
        (c)(5) and (6); new (c)(2) and (3) added....................3712
1251.400 Revised....................................................3713
1251.503 Revised....................................................3713
1251.540 Revised....................................................3713
1251.550 (a)(2) revised.............................................3713
1251.551 Revised....................................................3714
1251.570 (b) and (c) revised........................................3714
1251.580 Added......................................................3714
1251.581 Added......................................................3714
1251.582 Added......................................................3714
1274 Authority citation revised....................................35584
1274.203 (g) added.................................................35584
1274.209 (e) through (l) redesignated as (f) through (m); new (e) 
        added......................................................35584
1274.211 (c) amended; (d)(5) added.................................35584
1274.212 Heading revised; (c) added................................35584
1274.303 Added.....................................................35584
1274.304 Added.....................................................35584
1274.701 (b)(5) through (8), (c) and (d) added.....................35585
1274.803 Added.....................................................35585
1274.944 Added.....................................................35586

                                  2017

14 CFR
                                                                   82 FR
                                                                    Page
Chapter V
1230 Revised; eff. 1-19-18..........................................7270

[[Page 403]]

1259 Authority citation revised....................................35440
1259.100 (a) revised...............................................35440
1259.101 (b) introductory text, (f), (g), (h) and (n) revised......35440
1259.102 Revised........................................................
1259.103 Heading, (a)(1) and (b)(1) revised........................35440
1259.201 (a)(1), (2), (b) introductory text and (2) revised........35441
1259.202 (a) and (c) revised.......................................35441
1259.203 Introductory text and (b) revised.........................35441
1259.300 Revised...................................................35441
1259.400 (a) and (b) revised.......................................35441
1259.401 (d) and (e) revised.......................................35441
1259.402 (a), (b) introductory text and (c) revised................35441
1259.403 Revised...................................................35441
1259.404 Revised...................................................35441
1259.500 Revised...................................................35442
1259.501 Revised...................................................35442
1259.502 (a) and (c) revised.......................................35442
1259.503 (b) revised...............................................35442
1259.600 Revised...................................................35442
1259.601 (a), (b), (c), (f) and (g) revised........................35442
1259.602 Revised...................................................35442
1259.603 (a) introductory text, (c) and (d) revised................35442
1261 Authority citation revised....................................29383
1261.300--1261.317 (Subpart 1261.3) Authority citation revised.....29383
1261.301 (b) and (c) revised.......................................29383
1261.304 Revised...................................................29383
1261.307 (b) revised...............................................29384
1261.308 (c) and (d) revised.......................................29384
1261.312 (a) revised...............................................29384
1261.315 (b) introductory text and (c) introductory text revised 
                                                                   29384
1261.317 (b) revised...............................................29384
1261.402 (b), (c), (d) and (e) revised.............................29384
1261.403 (a) introductory text revised.............................29384
1261.405 (a) revised...............................................29384
1261.407 (b)(4) added..............................................29384
1261.408 (b)(2)(ii) revised........................................29384
1261.409 (a) introductory text and (b) revised; (a)(5) and (c) 
        added......................................................29385
1261.411 (a) revised...............................................29385
1261.412 (i)(1)(iv) and (i)(2) revised.............................29385
1261.413 Introductory text revised.................................29385
1261.414 (a) and (b) revised.......................................29385
1261.416 (a), (b), (c)(3)(iii) and (e) revised.....................29386
1261.417 Heading, (c) and (d) revised..............................29386
1261.418 Added.....................................................29386
1261.500 (a), (b) and (c) introductory text revised................29386
1261.503 (a) introductory text, (2), (b) and (c) revised...........29386
1261.507 (e)(3) revised............................................29387
1261.601 (b)(2) revised............................................29387
1261.603 Introductory text, (a) introductory text, (c)(2), (5) and 
        (e) revised; (c)(6), (7) and (8) removed...................29387
1264 Technical correction..........................................32123
1264.102 (a) and (b) amended; interim..............................28763
    (a) and (b) amended............................................48762
1271 Technical correction..........................................32123
1271.400 (a), (b) and (e) amended; interim.........................28763
    (a), (b) and (e) amended.......................................48762
1271 Appendix A amended; interim...................................28763
    Appendix A amended.............................................48762

                                  2018

14 CFR
                                                                   83 FR
                                                                    Page
Chapter V
1230 Regulation at 82 FR 7270 eff. date delayed to 7-19-18..........2885
1230.101 (l)(3) and (4) revised; interim............................2891
1230.101 (l)(1) heading and (5) added; (l)(2), (3), and (4) 
        revised....................................................28511
1264.102 Amended....................................................2046
1271.400 (a), (b), and (e) amended..................................2046
1271 Appendix A amended.............................................2046


                                  [all]