[Federal Register Volume 66, Number 220 (Wednesday, November 14, 2001)]
[Proposed Rules]
[Pages 57028-57031]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-28242]


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NATIONAL AERONAUTICS AND SPACE ADMINISTRATION

48 CFR Parts 1827, 1835, and 1852

RIN 2700-AC33


Scientific and Technical Reports

AGENCY: National Aeronautics and Space Administration (NASA)

ACTION: Proposed rule.

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SUMMARY: This proposed rule would amend the NFS to clarify the review 
requirements for data produced under Research and Development (R&D) 
contracts including data contained in final reports and the review 
requirements for final reports prior to inclusion in NASA's Center for 
AeroSpace Information (CASI).

DATES: Comments should be submitted on or before January 14, 2002.

ADDRESSES: Interested parties should submit written comments to Celeste 
Dalton, NASA Headquarters, Office of Procurement, Contract Management 
Division (Code HK), Washington, DC 20546. Comments may also be 
submitted by e-mail to: [email protected].

FOR FURTHER INFORMATION CONTACT: Celeste Dalton, (202) 358-1645, e-
mail: [email protected].

SUPPLEMENTARY INFORMATION:

A. Background

    NFS clause 1852.235-70, Center for Aerospace Information--Final 
Scientific and Technical Reports, is required in all R&D contracts. 
Paragraph (e) of the current NFS clause 1852.235-70 requires that 
contractors not release the final report required under the contract, 
outside of NASA, until a document availability authorization (DAA) 
review has been completed by NASA and availability of the report has 
been determined. The DAA review completed by NASA is intended to insure 
that NASA disseminates NASA scientific and technical information (STI) 
in a manner consistent with U.S. laws and regulations, Federal 
information policy, intellectual property rights, technology transfer 
protection requirements, and budgetary and technological limitations.

[[Page 57029]]

The DAA review process applies only to the publication and 
dissemination of NASA STI by NASA or under the direction of NASA.
    This final report review requirement has been incorrectly 
interpreted by some university contractors as restricting their right 
to publish any of the data produced under the contract which may be 
included in the Final Report until NASA has completed its DAA review. 
The intent of paragraph (e) is to restrict only the release of the 
``The Final Report'' as delivered under the contract until NASA 
completes its DAA review and availability of the report has been 
determined. This clause does not restrict the contractor's ability to 
publish, or otherwise disseminate, data produced during the performance 
of the contract, including data contained in the Final Report, as 
provided under FAR clause 52.227-14, Rights in Data--General. However, 
in certain limited situations, contract requirements may include 
research activity that will result in data subject to export control, 
national security restrictions, or other restrictions designated by 
NASA, or may require that the contractor receives or is given access to 
data that includes restrictive markings, e.g., proprietary information 
of others. In these circumstances, NASA requires a review of data 
produced under the contract, before the contractor may publish, 
release, or otherwise disseminate the data.
    This proposed rule clarifies the above by--
    (a) Revising the existing clause, 1852.235-70, to delete reference 
to the submission of the final report. This revised clause is titled 
``Center for Aerospace Information,'' and will advise contractors of 
the services provided by CASI;
    (b) Establishing a new clause 1852.235-73, Final Scientific and 
Technical Reports, that requires submission of a final report; states 
that the contractor may publish, or otherwise disseminate, data 
produced during the performance of the contract, including data 
contained in the final report, without prior review by NASA; and 
retains restriction on release of the final report as delivered under 
the contract until NASA has completed its DAA review;
    (c) Establishing an Alternate I to the new 1852.235-73 clause, that 
may be used in contracts for fundamental research in which the 
contractor may publish, or otherwise disseminate, data produced during 
performance of the contract, including the final report, without prior 
review by NASA;
    (d) Establishing an Alternate II to the new 1852.235-73 clause, for 
use in contracts in which data resulting from the research activity may 
be subject to export control, national security restrictions or other 
restrictions designated by NASA, may include information disclosing an 
invention in which the government may have rights, or, to the extent 
the contractor receives or is given access to data that includes 
restrictive markings, may include proprietary information of others, 
and will require the contractor to comply with NASA review requirements 
contained in the new clause, 1852.235-75, Review of Final Scientific 
and Technical Reports and Other Data;
    (e) Establishing a new clause 1852.235-74, Additional Reports of 
Work--Research and Development, for use in contracts in which monthly, 
quarterly and other reports in addition to the Final Report may be 
considered necessary for monitoring contract performance;
    (f) Establishing a new clause 1852.235-75, Review of Final 
Scientific and Technical Reports and Other Data, for use in contracts 
in which data resulting from the research activity may be subject to 
export control, national security restrictions or other restrictions 
designated by NASA, may include information disclosing an invention in 
which the government may have rights, or, to the extent the contractor 
receives or is given access to data that includes restrictive markings, 
may include proprietary information of others, and thus will require 
NASA review of data produced under the contract before the contractor 
may publish, release, or otherwise disseminate data produced during the 
performance of the contract; and
    (g) Moving the coverage for Reports of Work from Part 1827, 
Patents, Data, and Copyrights, to 1835, Research and Development 
Contracting, by deleting section 1827.406-70, Reports of Work, and 
adding sections 1835.010, Scientific and technical reports, and 
1835.011, Data.

B. Regulatory Flexibility Act

    NASA certifies that this proposed rule will not have a significant 
economic impact on a substantial number of small business entities 
within the meaning of the Regulatory Flexibility Act (5 U.S.C. 601, et. 
seq.), because these changes only clarify existing rights and 
responsibilities relating to release of data produced in performance of 
a contract.

C. Paperwork Reduction Act

    The Paperwork Reduction Act does not apply because the proposed 
changes to the NFS do not impose any recordkeeping or information 
collection requirements, or collection of information from offerors, 
contractors, or members of the public that require the approval of the 
Office of Management and Budget under 44 U.S.C. 3501, et seq.

List of Subjects in 48 CFR Parts 1827, 1835, and 1852

    Government procurement.

Tom Luedtke,
Associate Administrator for Procurement.
    Accordingly, 48 CFR Parts 1827, 1835, and 1852 are proposed to be 
amended as follows:
    1. The authority citation for 48 CFR Parts 1827, 1835, and 1852 
continues to read as follows:

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

PART 1827--PATENTS, DATA, AND COPYRIGHTS

    2. Delete section 1827.406-70.

PART 1835--RESEARCH AND DEVELOPMENT CONTRACTING

    3. Add sections 1835.010 and 1835.011 to read as follows:


1835.010  Scientific and technical reports.

    (a)(i) Final reports. Final reports must be furnished by 
contractors for all R&D contracts. The final report should summarize 
the results of the entire contract, including recommendations and 
conclusions based on the experience and results obtained. The final 
report should include tables, graphs, diagrams, curves, sketches, 
photographs, and drawings in sufficient detail to explain 
comprehensively the results achieved under the contract. The final 
report should comply with formatting and stylistic guidelines contained 
in NPG 2200.2A, Guidelines for Documentation, Approval, and 
Dissemination of NASA Scientific and Technical Information. The 
contracting officer must specify in the contract whether the use of 
electronic formats for submission of reports is acceptable. Information 
regarding appropriate electronic formats is available from Center STI 
Managers or the NASA Center for AeroSpace Information (CASI).
    (ii) In addition to the final report submitted to the contracting 
officer, the contractor must concurrently provide the NASA Center for 
AeroSpace Information (CASI) with a copy of the letter transmitting the 
final report to the contracting officer.

[[Page 57030]]

    (iii) It is NASA policy to provide the widest practicable and 
appropriate dissemination of scientific and technical information (STI) 
derived from NASA activities, including that generated under NASA 
research and development contracts. One mechanism for disseminating 
NASA STI is through CASI. Before approving a final report delivered 
under a contract for inclusion in the CASI repository, NASA must 
complete a Document Availability Authorization (DAA) review. The DAA 
review is intended to insure that NASA disseminates NASA scientific and 
technical information (STI) in a manner consistent with U.S. laws and 
regulations, federal information policy and publication standards, 
intellectual property rights, technology transfer protection 
requirements, and budgetary and technological limitations. NASA Form 
1676, NASA Scientific and Technical Document Availability Authorization 
(DAA), or a Center-specific version of this form, is used to complete 
this review. The DAA review process applies to the publication and 
dissemination of NASA STI by NASA or under the direction of NASA. The 
final report, as delivered under the contract, must not be released 
outside of NASA until NASA's DAA review has been completed and the 
availability of the document has been determined.
    (iv) Additional reports of work. In addition to the final report 
required by paragraph (a)(i) of this section, the contracting officer, 
in consultation with the program or project manager, should consider 
the desirability of requiring periodic reports and reports on the 
completion of significant units or phases of work for monitoring 
contract performance. Any additional reports must be included in the 
clause at 1852.235-74 as a contract deliverable. (See FAR 27.403.)
    (v) Upon receipt of the Final Report, or any additional reports 
required by 1852.235-74 if included in the contract, the contracting 
officer must forward the reports to the contracting officer's technical 
representative (COTR) for review and acceptance. The COTR must ensure 
that the DAA review is initiated upon receipt of the final report. With 
respect to any additional reports required by 1852.235-74, if NASA 
wishes to disseminate such additional reports outside of NASA, the COTR 
must ensure that the DAA review is initiated upon receipt of such 
additional reports. Upon completion of the DAA review, the COTR must 
advise the contracting officer and contractor of the final availability 
determination and submit the final report along with the final 
availability determination to CASI. A copy of the letter transmitting 
the final report to CASI must be submitted to the contracting officer. 
These responsibilities should be included in the COTR Delegation, NASA 
Form 1634.
    (b) The final report must include a completed Report Documentation 
Page, Standard Form (SF) 298, as the final page of the report.


1835.011  Data.

    (a) In addition to any reports required by 1835.010, the 
contracting officer must specify what additional data, (type, quantity, 
and quality) is required under the contract, for example, 
presentations, journal articles, and seminar notes. (See FAR 27.403.)
    4. Revise section 1835.070 to read as follows:


1835.070  NASA contract clauses and solicitation provision.

    (a) The contracting officer must insert the clause at 1852.235-70, 
Center for AeroSpace Information, in all research and development 
contracts, and interagency agreements and cost-reimbursement supply 
contracts involving research and development work.
    (b) The contracting officer must insert the clause at 1852.235-71, 
Key Personnel and Facilities, in contracts when source selection has 
been substantially predicated upon the possession by a given offeror of 
special capabilities, as represented by key personnel or facilities.
    (c) The contracting officer must ensure that the provision at 
1852.235-72, Instructions for Responding to NASA Research 
Announcements, is inserted in all NRAs. The instructions may be 
supplemented, but only to the minimum extent necessary.
    (d)(1) The contracting officer must insert the clause at 1852.235-
73, Final Scientific and Technical Reports, in all research and 
development contracts, and in interagency agreements and cost-
reimbursement supply contracts involving research and development work.
    (2) The contracting officer, after consultation with and 
concurrence of the program or project manager and the Center Export 
Control Administrator, may insert the clause with its Alternate I when 
the contract includes ``fundamental research'' as defined at 22 CFR 
120.11(8) and no prior review of data, including the final report, 
produced during the performance of the contract is required for export 
control or national security purposes before the contractor may 
publish, release, or otherwise disseminate the data.
    (3) The contracting officer must insert the clause with its 
Alternate II when the clause at 1852.235-75, Review of Final Scientific 
and Technical Reports and Other Data, as prescribed by paragraph (f) of 
this section, is included in the contract.
    (e) The contracting officer must insert a clause substantially the 
same as the clause at 1852.235-74, Additional Reports of Work--Research 
and Development, in all research and development contracts, and in 
interagency agreements and cost-reimbursement supply contracts 
involving research and development work, when periodic reports, such as 
monthly or quarterly reports, or reports on the completion of 
significant units or phases of work are required for monitoring 
contract performance. The clause should be modified to reflect the 
reporting requirements of the contract and to indicate the timeframe 
for submission of the final report.
    (f) The contracting officer, after consultation with and 
concurrence by the program or project manager and where necessary the 
Center Export Control Administrator, must insert a clause substantially 
the same as the clause at 1852.235-75, Review of Final Scientific and 
Technical Reports and Other Data, when prior review of all data 
produced during the performance of the contract is required before the 
contractor may publish, release, or otherwise disseminate the data. For 
example, when data produced during performance of the contract may be 
subject to export control, national security restrictions, or other 
restrictions designated by NASA; may include information disclosing an 
invention in which the government may have rights; or, to the extent 
the contractor receives or is given access to data that includes 
restrictive markings, may include proprietary information of others.

PART 1852--SOLICITATION PROVISIONS AND CONTRACT CLAUSES

    5. Revise section 1852.235-70 to read as follows:


1852.235-70  Center for AeroSpace Information.

    As prescribed in 1835.070(a), insert the following clause:

CENTER FOR AEROSPACE INFORMATION

(XXX/XXX)

    (a) The Contractor should register with and avail itself of the 
services provided by the NASA Center for AeroSpace Information 
(CASI) (http://www.sti.nasa.gov) for the conduct of research or 
research and development required under this contract. CASI provides 
a variety of services and products as a NASA repository of research

[[Page 57031]]

information, which may enhance contract performance.
    (b) Should the CASI information or service requested by the 
Contractor be unavailable or not in the exact form necessary by the 
Contractor, neither CASI nor NASA is obligated to search for or 
change the format of the information. A failure to furnish 
information shall not entitle the Contractor to an equitable 
adjustment under the terms and conditions of this contract.
    (c) Information regarding CASI and the services available can be 
obtained at the Internet address contained in paragraph (a) of this 
clause or at the following address. Center for AeroSpace Information 
(CASI), 7121 Standard Drive, Hanover, Maryland 21076-1320, Email: 
[email protected], Phone: 301-621-0390, FAX: 301-621-0134.

(End of clause)

    6. Add sections 1852.235-73, 1852.235-74 and 1852.235-75 to read as 
follows:


1852.235-73  Final Scientific and Technical Reports.

    As prescribed in 1835.070(d)(1) insert the following clause:

FINAL SCIENTIFIC AND TECHNICAL REPORTS

(XXX/XXX)

    (A) The Contractor shall submit to the Contracting Officer a 
final report which summarizes the results of the entire contract, 
including recommendations and conclusions based on the experience 
and results obtained. The final report should include tables, 
graphs, diagrams, curves, sketches, photographs, and drawings in 
sufficient detail to explain comprehensively the results achieved 
under the contract.
    (b) The final report shall be of a quality suitable for 
publication and shall follow the formatting and stylistic guidelines 
contained in NPG 2200.2A, Guidelines for Documentation, Approval, 
and Dissemination of NASA Scientific and Technical Information.
    (c) The last page of the final report shall be a completed 
Standard Form (SF) 298, Report Documentation Page.
    (d) In addition to the final report submitted to the Contracting 
Officer, the Contractor shall concurrently provide to CASI a copy of 
the letter transmitting the final report to the Contracting Officer. 
The copy of the letter shall be submitted to CASI at the following 
address: Center for AeroSpace Information (CASI), Attn: Document 
Processing Section, 7121 Standard Drive, Hanover, Maryland 21076-
1320.
    (e) In accordance with paragraph (d) of the Rights in Data -- 
General clause (52.227-14) of this contract, the Contractor may 
publish, or otherwise disseminate, data produced during the 
performance of this contract, including data contained in the final 
report, and any additional reports required by 1852.235-74 when 
included in the contract, without prior review by NASA. The 
Contractor is responsible for reviewing publication or dissemination 
of the data for conformance with laws and regulations governing its 
distribution, including intellectual property rights, export 
control, national security and other requirements, and to the extent 
the contractor receives or is given access to data necessary for the 
performance of the contract which contain restrictive markings, for 
complying with such restrictive markings. Should the Contractor seek 
to publish or otherwise disseminate the final report, or any 
additional reports required by 1852.235-74 if applicable, as 
delivered to NASA under this contract, the Contractor may do so once 
NASA has completed its document availability authorization review, 
and availability of the report has been determined.

ALTERNATE I

(XXX/XXX)

    As prescribed by 1835.070(d)(2), insert the following as 
paragraph (e) of the basic clause:
    (e) The data resulting from this research activity is 
``fundamental research'' which will be broadly shared within the 
scientific community. No foreign national access or dissemination 
restrictions apply to this research activity. The Contractor may 
publish, release, or otherwise disseminate data produced during the 
performance of this contract, including the final report, without 
prior review by NASA for export control or national security 
purposes. However, NASA retains the right to review the final report 
to ensure that proprietary information, which may have been provided 
to the Contractor, is not released without authorization and for 
consistency with NASA publication standards. Additionally, the 
Contractor is responsible for reviewing any publication, release, or 
dissemination of the data for conformance with other restrictions 
expressly set forth in this contract, and to the extent it receives 
or is given access to data necessary for the performance of the 
contract which contain restrictive markings, for compliance with 
such restrictive markings.

ALTERNATE II

(XXX/XXX)

    As prescribed by 1835.070(d)(3), when the clause at 1852.235-75 
is included in the contract, insert the following as paragraph (e) 
of the basic clause:
    (e) The Contractor shall comply with the requirements of 
1852.235-75, Review of Final Scientific and Technical Reports and 
Other Data, before it publishes, releases, or otherwise disseminates 
any data or reports produced under this contract.

(End of clause)


1852.235-74  Additional Reports of Work--Research and Development.

    As prescribed in 1835.070(e), insert a clause substantially the 
same as the following:

ADDITIONAL REPORTS OF WORK--RESEARCH AND DEVELOPMENT

(XXX/XXX)

    In addition to the final report required under this contract, 
the Contractor must submit the following report(s) to the 
Contracting Officer:
    (a) Monthly progress reports. The Contractor shall submit 
separate monthly reports of all work accomplished during each month 
of contract performance. Reports shall be in narrative form, brief, 
and informal. They shall include a quantitative description of 
progress, an indication of any current problems that may impede 
performance, proposed corrective action, and a discussion of the 
work to be performed during the next monthly reporting period.
    (b) Quarterly progress reports. The Contractor shall submit 
separate quarterly reports of all work accomplished during each 
three-month period of contract performance. In addition to factual 
data, these reports should include a separate analysis section 
interpreting the results obtained, recommending further action, and 
relating occurrences to the ultimate objectives of the contract. 
Sufficient diagrams, sketches, curves, photographs, and drawings 
should be included to convey the intended meaning.
    (c) Submission dates. Monthly and quarterly reports shall be 
submitted by the 15th day of the month following the month or 
quarter being reported. If the contract is awarded beyond the middle 
of a month, the first monthly report shall cover the period from 
award until the end of the following month. No monthly report need 
be submitted for the third month of contract effort for which a 
quarterly report is required. No quarterly report need be submitted 
for the final three months of contract effort since that period will 
be covered in the final report. The final report shall be submitted 
within ________days after the completion of the effort under the 
contract.

(End of clause)


1852.235-75  Review of Final Scientific and Technical Reports and Other 
Data.

    As prescribed in 1835.070(f) insert the following clause:

REVIEW OF FINAL SCIENTIFIC AND TECHNICAL REPORTS AND OTHER DATA

(XXX/XXX)

    Data resulting from this research activity may be subject to 
export control, national security restrictions or other restrictions 
designated by NASA, may include information disclosing an invention 
in which the government may have rights, or, to the extent the 
Contractor receives or is given access to data necessary for the 
performance of the contract which contain restrictive markings, may 
include proprietary information of others. Therefore, the Contractor 
may not publish, release, or otherwise disseminate, except to NASA, 
data produced during the performance of this contract, including 
data contained in the final report required by 1852.235-73 and any 
additional reports required by 1852.235-74 when included in the 
contract, without prior review by NASA. Should the Contractor seek 
to publish, release, or otherwise disseminate data produced during 
the performance of this contract, the Contractor may do so once the 
review has been completed by NASA and the availability of the data 
has been determined.
[FR Doc. 01-28242 Filed 11-13-01; 8:45 am]
BILLING CODE 7510-01-P