[Federal Register Volume 68, Number 22 (Monday, February 3, 2003)]
[Rules and Regulations]
[Pages 5230-5233]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 03-2435]



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NATIONAL AERONAUTICS AND SPACE ADMINISTRATION

48 CFR Parts 1804, 1827, 1835, and 1852

RIN 2700-AC33


Scientific and Technical Reports

AGENCY: National Aeronautics and Space Administration (NASA).

ACTION: Final rule.

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SUMMARY: This final rule adopts with changes the proposed rule 
published in the Federal Register on November 14, 2001. This final rule 
amends 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) scientific and technical information (STI) database.

EFFECTIVE DATE: February 3, 2003.

FOR FURTHER INFORMATION CONTACT: Celeste Dalton, NASA Headquarters, 
Office of Procurement, Contract Management Division (Code HK), (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 ensure 
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. 
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 that 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 normally 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 final 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 advises 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, for 
use 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, 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 before the contractor may publish, release, or otherwise 
disseminate data produced during the performance of the contract;
    (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; and
    (f) 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 Sec. Sec.  1835.010, Scientific and technical reports, and 
1835.011, Data.
    NASA published a proposed rule in the Federal Register on November 
14, 2001 (66 FR 57028). Public comments were received from one 
association. The comments suggested a change to the prescription for 
use of Alternate I to 1852.235-73 and objected to the inclusion of 
``information disclosing an invention in which the government may have 
rights'' as an example of when it would be appropriate to use the 
proposed clause 1852.235-75, Review of Final Scientific and Technical 
Reports and Other Data. The comments were considered in formulation of 
this final rule. NASA is adopting the proposed rule as final with 
changes. The changes: (a) Modify, for consistency, the clause 
proscription for use of Alternate I to 1852.235-73; (b) delete the 
previously proposed clause 1852.235-75; (c) revise Alternate II of the 
new clause 1852.235-73 to include language from the deleted clause, and 
modifies that language to delete reference to ``information disclosing 
an invention in which the government may have rights'' since the FAR 
Patent Rights clause (52.227-11) requires the contractor to disclose 
inventions to the government, but does not restrict the publication of 
information disclosing an invention; (d) encourage electronic 
submission of reports; and (e) align the submission of documents with 
existing internal review procedures. Finally, this final rule amends an 
address in section 1804.202.
    This is not a significant regulatory action and, therefore, was not 
subject to review under Section 6(b) of Executive Order 12866, 
Regulatory Planning and Review, dated September 30, 1993. This final 
rule is not a major rule under 5 U.S.C. 804.

B. Regulatory Flexibility Act

    NASA certifies that this final 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

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data produced in performance of a contract.

C. Paperwork Reduction Act

    The Paperwork Reduction Act does not apply because the 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 1804, 1827, 1835, and 1852

    Government procurement.

Tom Luedtke,
Assistant Administrator for Procurement.

    Accordingly, 48 CFR Parts 1804, 1827, 1835, and 1852 are amended as 
follows:
    1. The authority citation for 48 CFR Parts 1804, 1827, 1835, and 
1852 continues to read as follows:

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

PART 1804--ADMINISTRATIVE MATTERS

    2. Revise section 1804.202 to read as follows:


1804.202  Agency distribution requirements.

    In addition to the requirements in FAR 4.201, the contracting 
officer shall distribute one copy of each R&D contract, including the 
Statement of Work, to the NASA Center for AeroSpace Information (CASI), 
Attention: Acquisitions Collections Development Specialist, 7121 
Standard Drive, Hanover, MD 21076-1320.

PART 1827--PATENTS, DATA, AND COPYRIGHTS


1827.406-70  [Removed]

    3. Remove section 1827.406-70.

PART 1835--RESEARCH AND DEVELOPMENT CONTRACTING

    4. 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. Electronic 
formats for submission of reports should be used to the maximum extent 
practical. When reports are submitted electronically, the contracting 
officer should also request the submission of a paper copy of the 
report that could be used to validate items such as math and symbols 
that can be transposed due to font substitution or other electronic 
transmission problems. Information regarding appropriate electronic 
formats for final reports is available from center STI/Publications 
Managers or the NASA Center for AeroSpace Information (CASI) at http://www.sti.nasa.gov under ``Publish STI--Electronic File Formats.''
    (ii) In addition to the final report submitted to the contracting 
officer, the contractor shall concurrently provide CASI and the center 
STI/Publications Manager with a copy of the letter transmitting the 
final report to the contracting officer.
    (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 ensure that NASA disseminates NASA 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 by NASA.
    (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 shall forward the reports to the contracting officer's 
technical representative (COTR) for review and acceptance. The COTR 
shall ensure that the DAA review is initiated upon acceptance of the 
final report or any additional reports that NASA elects to publish or 
release outside of NASA or present at internal meetings at which 
foreign nationals may be present. Upon completion of the DAA review, 
the COTR shall ensure that the DAA-approved STI and the original 
approved DAA form are sent to the center STI/Publication Manager. The 
contractor should be advised of the final availability determination. 
These responsibilities should be included in the COTR Delegation, NASA 
Form 1634.
    (b) The final report shall 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 shall 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.)

    5. Revise Section 1835.070 to read as follows:


1835.070  NASA contract clauses and solicitation provision.

    (a) The contracting officer shall 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 shall 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 shall ensure that the provision at 
1852.235-72, Instructions for Responding to NASA Research 
Announcements, is inserted in all NRAs. The instructions

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may be supplemented, but only to the minimum extent necessary.
    (d) The contracting officer shall 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.
    (1) The contracting officer, after consultation with and 
concurrence of the program or project manager and the center Export 
Control Administrator, shall 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.
    (2) The contracting officer, after consultation with and 
concurrence by the program or project manager and where necessary the 
center Export Control Administrator, shall insert the clause with its 
Alternate II, 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; or, to the extent the contractor receives or is 
given access to data that includes restrictive markings, may include 
proprietary information of others.
    (e) The contracting officer shall 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.

PART 1852--SOLICITATION PROVISIONS AND CONTRACT CLAUSES

    6. 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 (Feb, 2003.)

    (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 and database 
of research 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, E-mail: 
[email protected], Phone: 301-621-0390, Fax: 301-621-0134.

(End of clause)


    7. Add sections 1852.235-73 and 1852.235-74 to read as follows:


1852.235-73  Final Scientific and Technical Reports.

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

Final Scientific and Technical Reports (Feb, 2003.)

    (a) The Contractor shall submit to the Contracting Officer a 
final report that 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. 
Electronic formats for submission of reports should be used to the 
maximum extent practical. Before electronically submitting reports 
containing scientific and technical information (STI) that is 
export-controlled or limited or restricted, contact the Contracting 
Officer to determine the requirements to electronically transmit 
these forms of STI. If appropriate electronic safeguards are not 
available at the time of submission, a paper copy or a CD-ROM of the 
report shall be required. Information regarding appropriate 
electronic formats for final reports is available at http://www.sti.nasa.gov under ``Publish STI--Electronic File Formats.''
    (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 the Center 
STI/Publication Manager and the NASA Center for AeroSpace 
Information (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: Acquisitions Collections Development 
Specialist, 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 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 (FEB 2003)

    As prescribed by 1835.070(d)(1), 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 (FEB 2003)

    As prescribed by 1835.070(d)(2), insert the following as 
paragraph (e) of the basic clause:

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    (e) Data resulting from this research activity may be subject to 
export control, national security restrictions or other restrictions 
designated by NASA; 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 shall not publish, 
release, or otherwise disseminate, except to NASA, 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. Should 
the Contractor seek to publish, release, or otherwise disseminate 
data produced during the performance of this contract, the 
Contractor may do so once NASA has completed its document 
availability authorization review and the availability of the data 
has been determined.

(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 (FEB 2003)

    In addition to the final report required under this contract, 
the Contractor shall 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)

[FR Doc. 03-2435 Filed 1-31-03; 8:45 am]
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