[Title 14 CFR ]
[Code of Federal Regulations (annual edition) - January 1, 2023 Edition]
[From the U.S. Government Publishing Office]
[[Page i]]
Title 14
Aeronautics and Space
________________________
Part 1200 to End
Revised as of January 1, 2023
Containing a codification of documents of general
applicability and future effect
As of January 1, 2023
Published by the Office of the Federal Register
National Archives and Records Administration as a
Special Edition of the Federal Register
[[Page ii]]
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[[Page iii]]
Table of Contents
Page
Explanation................................................. v
Title 14:
Chapter V--National Aeronautics and Space
Administration 3
Chapter VI--Air Transportation System Stabilization 305
Finding Aids:
Table of CFR Titles and Chapters........................ 321
Alphabetical List of Agencies Appearing in the CFR...... 341
List of CFR Sections Affected........................... 351
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----------------------------
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
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HOW TO USE THE CODE OF FEDERAL REGULATIONS
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To determine whether a Code volume has been amended since its
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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
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PAST PROVISIONS OF THE CODE
Provisions of the Code that are no longer in force and effect as of
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``[RESERVED]'' TERMINOLOGY
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What is a proper incorporation by reference? The Director of the
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(a) The incorporation will substantially reduce the volume of
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(b) The matter incorporated is in fact available to the extent
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(c) The incorporating document is drafted and submitted for
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CFR INDEXES AND TABULAR GUIDES
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that volume.
[[Page vii]]
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Oliver A. Potts,
Director,
Office of the Federal Register
January 1, 2023
[[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, 2023.
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
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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)... 43
1207 Standards of conduct........................ 65
1208 Uniform relocation assistance and real
property acquisition for Federal and
federally assisted programs............. 68
1209 Boards and committees....................... 68
1210-1211
[Reserved]
1212 Privacy Act--NASA regulations............... 70
1213 Release of information to news and
information media....................... 83
1214 Space flight................................ 87
1215 Tracking and Data Relay Satellite System
(TDRSS)................................. 97
1216 Environmental quality....................... 102
1217 Duty-free entry of space articles........... 110
1221 The NASA Seal and other devices, and the
Congressional Space Medal of Honor...... 113
1230 Protection of human subjects................ 123
1232 Care and use of animals in the conduct of
NASA activities......................... 141
1240 Inventions and contributions................ 141
1241 To Research, Evaluate, Assess, and Treat
(TREAT) Astronauts...................... 146
1245 Patents and other intellectual property
rights.................................. 151
[[Page 4]]
1250 Nondiscrimination in federally-assisted
programs of NASA--effectuation of Title
VI of the Civil Rights Act of 1964...... 164
1251 Nondiscrimination on basis of disability.... 175
1252 Nondiscrimination on the basis of age in
programs or activities receiving Federal
financial assistance.................... 194
1253 Nondiscrimination on the basis of sex in
education programs or activities
receiving Federal financial assistance.. 201
1259 National Space Grant College and Fellowship
Program................................. 217
1260
[Reserved]
1261 Processing of monetary claims (general)..... 224
1262 Equal Access to Justice Act in agency
proceedings............................. 256
1263 Demand for information or testimony served
on agency employees; procedures......... 263
1264 Implementation of the Program Fraud Civil
Penalties Act of 1986................... 265
1266 Cross-waiver of liability................... 282
1271 New restrictions on lobbying................ 286
1273-1274
[Reserved]
1275 Research misconduct......................... 298
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
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) [Reserved]
(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)-(4) [Reserved]
(b) NASA owned but non-NASA operated airfield facility. Those
aeronautical facilities owned by NASA but not operated by NASA that
consist of the following:
(1) Shuttle Landing Facility (SLF). 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) 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.
(c) 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.
(d) 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.
(e) 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.
(f) 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.
(g) 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.
(h) 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;
86 FR 50624, Sept. 10, 2021]
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) [Reserved]
(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, 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
[[Page 38]]
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)-(d) [Reserved]
(e) NASA owned but non-NASA operated airfields. (1) Shuttle Landing
Facility (SLF) may be made available on an individual emergency basis to
a user with prior permission from the airfield operator.
(2) Moffett Federal Airfield (MFA) may be made available on an
individual emergency basis to a user with prior permission from the
airfield operator.
(3) No facilities or services other than those described in this
section are available except on an individual prior permission or
emergency basis to any user.
(f) Status of facilities. Changes to the status of the KSC, WFF, and
MFA facilities will be published in appropriate current FAA or
Department of Defense (DOD) aeronautical publications.
[56 FR 35812, July 29, 1991, as amended at 60 FR 37568, July 21, 1995;
86 FR 50624, Sept. 10, 2021]
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) [Reserved]
(2) Wallops Airport. Director of Suborbital Projects and Operations,
Goddard Space Flight Center, Wallops Flight Facility, Wallops Island,
Virginia 23337.
(3) [Reserved]
(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 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;
86 FR 50624, Sept. 10, 2021]
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
[[Page 39]]
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. Chief, Airfield Management Office,
Ames Research Center, NASA.
[56 FR 35812, July 29, 1991, as amended at 60 FR 37568, July 21, 1995;
86 FR 50625, Sept. 10, 2021]
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, 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
[[Page 40]]
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
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.
[[Page 41]]
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
(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;
[[Page 42]]
(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 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]
[[Page 43]]
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.
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.
Subpart A_Basic Policy
Sec. 1206.100 Scope.
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.
(c) The disclosure of exempt records, without authorization by the
appropriate NASA official, is not an official
[[Page 44]]
release of information; accordingly, it is not a FOIA release. Such a
release does not waive the authority of NASA to assert FOIA exemptions
to withhold the same records in response to a FOIA request. In addition,
while the authority may exist to disclose records to individuals in
their official capacity, the provisions of this part apply if the same
individual seeks the records in a private or personal capacity.
[79 FR 46678, Aug. 11, 2014, as amended at NASA-2019-0005, 84 FR 54774,
Oct. 11, 2019]
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 in an electronic
format 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 of this part and that,
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 or
documents that have been requested 3 or more times).
(2) A general index of records referred to under paragraph
(b)(1)(iv) of this section.
(i) For records created after November 1, 1996, which are covered by
paragraphs (b)(1)(i) through (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 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
[[Page 45]]
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, 1996, under
paragraph (b)(1)(iv) of this section and a guide for requesting records
or information from NASA.
[79 FR 46678, Aug. 11, 2014, as amended at NASA-2019-0005, 84 FR 54774,
Oct. 11, 2019]
Sec. 1206.201 Proactive disclosure of Agency records.
Records that are required by the FOIA to be made available for
public inspection and copying in an electronic format 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/.
[79 FR 46678, Aug. 11, 2014, as amended at NASA-2019-0005, 84 FR 54775,
Oct. 11, 2019]
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 an email or mailing address in order for the Agency to be
able to send responsive records and/or to be able to contact the
requester to obtain additional information or clarification of the
request sought (see Sec. 1206.301). The request must also 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. The
request should also include a telephone number in case the FOIA office
needs to contact the requester regarding the request; however, this
information is optional when submitting a request if an email or mailing
address is provided. A requester may also submit a request online via
the NASA FOIA website, https://www.nasa.gov/FOIA/Contacts.html. Do not
include a social security number on any correspondence with the FOIA
office. If the FOIA unit determines processing fees will exceed the fee
category entitlement, the unit will require a personal mailing address
for billing purposes or for commercial use requesters, a business
mailing address.
(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. All
NASA Centers have the capability to receive requests electronically,
either through email or a Web portal. To make a request for any
[[Page 46]]
of the NASA Center records, a requester should write directly to the
FOIA office of the Center that maintains the records being sought. A
request will receive the quickest possible response if it is addressed
to the FOIA office of the Center that maintains the records requested.
If a requester does not know which Center(s) may have the requested
records, he/she may send his/her request(s) to the NASA's Headquarters
(HQ) FOIA Public Liaison, 300 E Street SW, Room 5L19, Washington, DC
20546, Fax number: (202) 358-4332, email address: [email protected], and
the HQ FOIA unit will forward the request to the Center(s) that it
determines to be most likely to maintain the records that are sought.
(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.
(d) A member of the public may submit a FOIA request for 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. A requester may also submit a request online via the
NASA FOIA website.
(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) For locations, mailing/email addresses of NASA FOIA Centers,
visit our website at https://www.nasa.gov/FOIA/Contacts.html.
(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.
[79 FR 46678, Aug. 11, 2014, as amended at NASA-2019-0005, 84 FR 54775,
Oct. 11, 2019]
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.
[[Page 47]]
(c) If NASA, after receiving a request, determines that the request
does not reasonably describe the records sought, it shall inform the
requester what additional information is needed or why the request is
otherwise insufficient. Requesters who are attempting to reformulate or
modify such a request may discuss their request with the NASA's
designated FOIA contact or the Principal Agency FOIA Officer, each of
whom is available to assist the requester in reasonably describing the
records sought. If a request does not reasonably describe the records
sought, the Agency's response to the request may be delayed or NASA may
at its discretion close the request administratively.
(d) Requests for clarification or more information will be made in
writing (either via U.S. mail or electronic mail whenever possible).
Requesters may respond by U.S. mail or by electronic mail regardless of
the method used by NASA to transmit the request for additional
information. In order to be considered timely, responses to requests for
additional information must be postmarked or received by electronic mail
within twenty (20) working days of the postmark date or date of the
electronic mail request for additional information or received by
electronic mail by 11:59:59 p.m. ET on the 20th working day. If the
requester does not respond to a request for additional information
within the 20 working days, the request may be administratively closed
at NASA's discretion. This administrative closure does not prejudice the
requester's ability to submit a new request for further consideration
with additional information.
(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.
[79 FR 46678, Aug. 11, 2014, as amended at NASA-2019-0005, 84 FR 54775,
Oct. 11, 2019]
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
administratively close 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
[[Page 48]]
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 Agency for another information access request.
[79 FR 46678, Aug. 11, 2014, as amended at NASA-2019-0005, 84 FR 54775,
Oct. 11, 2019]
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. The office shall acknowledge the request and assign it
an individualized tracking number if it will take longer than ten (10)
working days to process. The NASA office responding to the request shall
include in the acknowledgment a brief description of the records sought
to allow requesters to more easily keep track of their requests.
(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
[[Page 49]]
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.
[79 FR 46678, Aug. 11, 2014, as amended at NASA-2019-0005, 84 FR 54775,
Oct. 11, 2019]
Sec. 1206.306 Granting a request.
(a) Ordinarily, NASA shall have twenty (20) working days from when a
request is received to determine whether to grant or deny the request
unless there are unusual or exceptional circumstances. The FOIA office
will not begin processing a request until all issues regarding scope and
fees have been resolved. NASA will notify the requester of the
availability of the FOIA Public Liaison to offer assistance in resolving
these issues.
(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.
[79 FR 46678, Aug. 11, 2014, as amended at NASA-2019-0005, 84 FR 54775,
Oct. 11, 2019]
Sec. 1206.307 Denying a request.
NASA shall withhold records only when it reasonably foresees that
disclosure would harm an interest protected by an exemption or
disclosure is prohibited by law.
(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, are not in the Agency's
control, or the request does not reasonably describe the records sought;
or
(3) A record is not readily reproducible in the form or format
requested; and 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.
(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; and
(4) A statement that the denial may be appealed under subpart G of
this part and a description of the requirements set forth therein. NASA
shall also inform the requester of the availability of its FOIA Public
Liaison to offer assistance and include a statement notifying the
requester of the dispute resolution services offered by the Office of
Government Information Services (OGIS). Should the requester elect to
mediate any dispute related to the FOIA request with OGIS, NASA will
participate in the mediation process in good faith.
(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;
[[Page 50]]
(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.
[79 FR 46678, Aug. 11, 2014, as amended at NASA-2019-0005, 84 FR 54775,
Oct. 11, 2019]
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.
(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
[[Page 51]]
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.
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.
[[Page 52]]
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, and the right to seek
dispute resolution services from the NASA FOIA Public Liaison or Office
of Government Information Services.
[79 FR 46678, Aug. 11, 2014, as amended at NASA-2019-0005, 84 FR 54776,
Oct. 11, 2019]
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.
(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 the opportunity to limit the scope of the request so
that it may be processed within that time limit or an opportunity to
arrange with the Agency an alternative time frame for processing the
request or a modified request;
(2) Provide contact information for the NASA FOIA Public Liaison;
(3) Offer the right of the requester to seek dispute resolution
services from the OGIS;
(4) Provide information regarding the intended determination; and
(5) Shall make available its designated FOIA contact and its FOIA
Public Liaison for the purpose of this paragraph (c).
(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
[[Page 53]]
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.
[79 FR 46678, Aug. 11, 2014, as amended at NASA-2019-0005, 84 FR 54776,
Oct. 11, 2019]
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.
(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.
[[Page 54]]
(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 in the form or format requested, 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. In circumstances where a
request for a videotape or other outdated media is requested, and NASA
does not have the capability to readily reproduce the record in the form
or format requested and which requires the Agency to enlist the services
of a private contractor to fulfill the request, the direct costs of any
services by the private contractor will be charged to the requester.
Specific charges will be provided upon request.
(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 will levy
a charge equivalent to the full cost of the service provided:
(1) Certifying that records are true copies.
[[Page 55]]
(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.
[79 FR 46678, Aug. 11, 2014, as amended at NASA-2019-0005, 84 FR 54776,
Oct. 11, 2019]
Sec. 1206.503 Restrictions on charging fees.
(a) No search fees will be charged for requests by educational
institutions, noncommercial scientific institutions, or representatives
of the news media, unless the records are sought for a commercial use.
(b) If NASA fails to comply with the FOIA's time limits in which to
respond to a request, it may not charge search fees, or, in the
instances of requests from requesters described in paragraph (a) of this
section, may not charge duplication fees, except as described in
paragraphs (b)(1) through (3) of this section.
(1) If a NASA component has determined that unusual circumstances as
defined by the FOIA apply, and the component provided timely written
notice to the requester in accordance with the FOIA, a failure to comply
with the time limit shall be excused for an additional 10 days.
(2) If NASA has determined that unusual circumstances, as defined by
the FOIA, apply and more than 5,000 pages are necessary to respond to
the request, the Agency may charge search fees, or, in the case of
requesters described in paragraph (a) of this section, may charge
duplication fees, if the following steps are taken. The Agency must have
provided timely written notice of unusual circumstances to the requester
in accordance with the FOIA and the component must have discussed with
the requester via written mail, email, or telephone (or made not less
than three good-faith attempts to do so) how the requester could
effectively limit the scope of the request in accordance with 5 U.S.C.
552(a)(6)(B)(ii). If the exception in this paragraph (b)(2) is
satisfied, the Agency may charge all applicable fees incurred in the
processing of the request.
(3) If a court has determined that exceptional circumstances exist,
as defined by the FOIA, a failure to comply with the time limits shall
be excused for the length of time provided by the court order.
(c) No search or review fees will be charged for a quarter-hour
period unless more than half of that period is required for search or
review.
(d) Except for requesters seeking records for a commercial use, NASA
will provide without charge:
(1) The first 100 pages of duplication (or the cost equivalent for
other media); and
(2) The first two hours of search.
(e) When, after first deducting the 100 free pages (or its cost
equivalent) and the first two hours of search, a total fee calculated
under Sec. 1206.504 is less than $50.00 for any request, no fee will be
charged.
[79 FR 46678, Aug. 11, 2014, as amended at NASA-2019-0005, 84 FR 54776,
Oct. 11, 2019]
Sec. 1206.504 Charging fees.
(a) NASA shall charge for processing requests under the FOIA in
accordance with the provisions of this section and the OMB Guidelines.
NASA will ordinarily use the most efficient and least expensive method
for processing requested records. In order to resolve any fee issues
that arise under this section, NASA may contact a requester for
additional information. A component ordinarily will collect all
applicable fees before sending copies of records to a requester. The
submission of a FOIA request shall be considered a firm commitment by
the requester to pay all applicable fees charged under this section, up
to $50.00, unless the requester seeks a waiver of fees. Requesters must
pay fees by check or money order made payable to the Treasury of the
United States. When a FOIA office determines or estimates the fees to be
assessed in accordance with this section will amount to or 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
[[Page 56]]
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 the requester is a noncommercial
use requester, the notice shall specify that the requester is entitled
to the statutory entitlements of 100 pages of duplication at no charge
and, if the requester is charged search fees, two hours of search time
at no charge, and shall advise the requester whether those entitlements
have been provided.
(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, NASA will provide the requester, if the requester is a non-
commercial use requester, the statutory entitlements of 100 pages of
duplication at no charge and shall advise the requester that his
statutory entitlements have been provided before closing the request.
(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 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.
[79 FR 46678, Aug. 11, 2014, as amended at NASA-2019-0005, 84 FR 54776,
Oct. 11, 2019]
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
[[Page 57]]
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 not be considered received, 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.
[79 FR 46678, Aug. 11, 2014, as amended at NASA-2019-0005, 84 FR 54777,
Oct. 11, 2019]
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 the standards of paragraph (c)(1) of this
section are satisfied, the Agency must consider the factors described in
paragraphs (d)(1) through (3) of this section:
(1) Disclosure of the requested information would shed light on the
operations or activities of the Government. The subject of the request
must concern identifiable operations or activities of the Federal
Government with a connection that is direct and clear, not remote or
attenuated.
(2) Disclosure of the requested information would be likely to
contribute significantly to public understanding of those operations or
activities. The factor in this paragraph (d)(2) is satisfied when the
following criteria are met:
(i) Disclosure of the requested records must be meaningfully
informative about Government operations or activities. The disclosure of
information that already is in the public domain, in either the same or
a substantially identical form, would not be meaningfully informative if
nothing new would be added to the public's understanding.
(ii) The disclosure must contribute to the understanding of a
reasonably broad audience of persons interested in the subject, as
opposed to the individual understanding of the requester. A requester's
expertise in the subject area as well as the requester's ability and
intention to effectively convey information to the public must be
considered. NASA will presume that a representative of the news media
will satisfy the consideration in this paragraph (d)(2)(ii).
(3) The disclosure must not be primarily in the commercial interest
of the requester. To determine whether disclosure of the requested
information is primarily in the commercial interest of the requester,
components will consider the following criteria:
[[Page 58]]
(i) NASA, and its Centers processing requests, must identify whether
the requester has any commercial interest that would be furthered by the
requested disclosure. A commercial interest includes any commercial,
trade, or profit interest. Requesters must be given an opportunity to
provide explanatory information regarding the consideration in this
paragraph (d)(3)(i).
(ii) If there is an identified commercial interest, NASA must
determine whether that is the primary interest furthered by the request.
A waiver or reduction of fees is justified when the requirements of
paragraphs (d)(1) and (2) of this section are satisfied and any
commercial interest is not the primary interest furthered by the
request. NASA ordinarily will presume that when a news media requester
has satisfied the requirements of paragraphs (d)(1) and (2) of this
section, the request is not primarily in the commercial interest of the
requester. Disclosure to data brokers or others who merely compile and
market government information for direct economic return will not be
presumed to primarily serve the public interest.
(4) Where only some of the records to be released satisfy the
requirements for a waiver of fees under this section, a waiver shall be
granted for those records.
(5) Requests for a waiver or reduction of fees should be made when
the request is first submitted to NASA and should address the criteria
referenced in paragraph (d) of this section. 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. When a requester who has
committed to pay fees subsequently asks for a waiver of those fees and
that waiver is denied, the requester shall be required to pay any costs
incurred up to the date the fee waiver request was received.
(e) 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.
(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.
[79 FR 46678, Aug. 11, 2014, as amended at NASA-2019-0005, 84 FR 54777,
Oct. 11, 2019]
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.
(b) If the request is submitted on behalf of another person or
organization
[[Page 59]]
(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, which can include
furthering those interests through litigation, 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.
To be eligible for inclusion in the category in this paragraph (c)(2),
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 non-commercial scientific institution) research.
(i) Educational institution is any school that operates a program of
scholarly research. A requester in the fee category in this paragraph
(c)(2) must show that the request is made in connection with the
requester's role at the educational institution. NASA may seek assurance
from the requester that the request is in furtherance of scholarly
research and will advise requesters of their placement in the category
in this paragraph (c)(2). A request for educational purposes may be
presumed if submitted on the Institution's letterhead and signed by the
Dean of the School or Department.
(A) Example 1. A request from a professor of geology at a university
for records relating to soil erosion, written on letterhead of the
Department of Geology, would be presumed to be from an educational
institution.
(B) Example 2. A request from the same professor of geology seeking
drug information from the Food and Drug Administration in furtherance of
a murder mystery he is writing would not be presumed to be an
institutional request, regardless of whether it was written on
institutional stationery.
(C) Example 3. A student, who makes a request in furtherance of the
student's coursework or other school-sponsored activities and provides a
[[Page 60]]
copy of a course syllabus or other reasonable documentation to indicate
the research purpose for the request, would qualify as part of the fee
category in this paragraph (c)(2).
(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 the category in this paragraph (c)(3) for the
cost of duplication alone, excluding charges for the first 100 pages.
(ii) Representative of the news media is any person or entity that
gathers information of potential interest to a segment of the public,
uses editorial skills to turn the raw materials into a distinct work,
and distributes that work to an audience. The term ``news'' means
information that is about current events or that would be of current
interest to the public. Examples of new 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, including news organizations that disseminate solely on the
internet. These examples are not all inclusive. As methods of news
delivery evolve, alternative news media entities may come into
existence. A request for records supporting the news-dissemination
function of the requester will not be considered to be for a commercial
use. ``Freelance'' journalists who demonstrate a solid basis for
expecting publication through a news media entity will be considered as
a representative of the news media. A publishing contract would provide
the clearest evidence that publication is expected; however, agencies
can also consider a requester's past publication record in making this
determination. Agencies will advise requesters of their placement in the
category in this paragraph (c)(3).
(iii) Requesters seeking the fee category in this paragraph (c)(3)
who do not articulate sufficient information to support their request
will not be included in the fee category in this paragraph (c)(3).
Additionally, FOIA staff may grant a reduction of fees if the requester
can articulate the information of this section 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 in paragraph (b) of this section.
[79 FR 46678, Aug. 11, 2014, as amended at NASA-2019-0005, 84 FR 54778,
Oct. 11, 2019]
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.
[[Page 61]]
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 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.
[[Page 62]]
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 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.
[[Page 63]]
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
90 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, Room 8U71, 300 E
Street, SW, 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 90 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 limit for the final determination (see Sec. 1206.701(a)) shall
run from the date of such waiver.
[79 FR 46678, Aug. 11, 2014, as amended at NASA-2019-0005, 84 FR 54778,
Oct. 11, 2019]
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
[[Page 64]]
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 in consultation with the Office of
General Counsel, providing 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 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, OGIS, and
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 FOIA Public Liaisons, who are responsible for and able to
assist in reducing delays, increasing transparency and understanding of
the status of requests, and assisting in the resolution of disputes at
each Center or Component.
[79 FR 46678, Aug. 11, 2014, as amended at NASA-2019-0005, 84 FR 54778,
Oct. 11, 2019]
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.
[[Page 65]]
(b) This delegated authority has further been delegated to the FOIA
Officers who are designated to work at NASA Centers and supervised by
the Director of Public Affairs or Head of the Public Affairs Office for
that Center. If a FOIA Officer working at a particular NASA Center
vacates the position, the Deputy Associate Administrator for
Communications will designate a new FOIA Officer, supervised by the
Principal Chief FOIA Officer, to process FOIA requests for that
particular Center.
(c) When denying records in whole or in part, the FOIA Officer
designated to process records for 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.
[79 FR 46678, Aug. 11, 2014, as amended at NASA-2019-0005, 84 FR 54779,
Oct. 11, 2019]
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.
(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.
[79 FR 46678, Aug. 11, 2014, as amended at NASA-2019-0005, 84 FR 54779,
Oct. 11, 2019]
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.
[[Page 66]]
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;
(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.
[[Page 67]]
(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 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]
[[Page 68]]
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]
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
[[Page 69]]
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.
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.
[[Page 70]]
(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]
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.
[[Page 71]]
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: 51 U.S.C. 20101 et seq.; 5 U.S.C. 552a; Pub. L. 115-59,
131 Stat. 1152 (42 U.S.C. 405 note).
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
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;
[[Page 72]]
(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
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
[[Page 73]]
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 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
[[Page 74]]
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 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
[[Page 75]]
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 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.''
[[Page 76]]
(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).
(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.
[[Page 77]]
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:
(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
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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:
(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]