[Title 14 CFR ]
[Code of Federal Regulations (annual edition) - January 1, 2004 Edition]
[From the U.S. Government Printing Office]


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                    14


          Part 1200 to End

                         Revised as of January 1, 2004

Aeronautics and Space





          Containing a codification of documents of general 
          applicability and future effect
          As of January 1, 2004
          With Ancillaries
          Published by
          Office of the Federal Register
          National Archives and Records
          Administration

A Special Edition of the Federal Register

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                     U.S. GOVERNMENT PRINTING OFFICE
                            WASHINGTON : 2004



  For sale by the Superintendent of Documents, U.S. Government Printing 
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                            Table of Contents



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

  Title 14:
          Chapter V--National Aeronautics and Space 
          Administration                                             3
          Chapter VI--Air Transportation System Stabilization      517
  Finding Aids:
      Table of CFR Titles and Chapters........................     533
      Alphabetical List of Agencies Appearing in the CFR......     551
      List of CFR Sections Affected...........................     561

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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.

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

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                               EXPLANATION

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

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

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

LEGAL STATUS

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

HOW TO USE THE CODE OF FEDERAL REGULATIONS

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

EFFECTIVE AND EXPIRATION DATES

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

OMB CONTROL NUMBERS

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

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

OBSOLETE PROVISIONS

    Provisions that become obsolete before the revision date stated on 
the cover of each volume are not carried. Code users may find the text 
of provisions in effect on a given date in the past by using the 
appropriate numerical list of sections affected. For the period before 
January 1, 2001, consult either the List of CFR Sections Affected, 1949-
1963, 1964-1972, 1973-1985, or 1986-2000, published in 11 separate 
volumes. For the period beginning January 1, 2001, a ``List of CFR 
Sections Affected'' is published at the end of each CFR volume.

CFR INDEXES AND TABULAR GUIDES

    A subject index to the Code of Federal Regulations is contained in a 
separate volume, revised annually as of January 1, entitled CFR Index 
and Finding Aids. This volume contains the Parallel Table of Statutory 
Authorities and Agency Rules (Table I). A list of CFR titles, chapters, 
and parts and an alphabetical list of agencies publishing in the CFR are 
also included in this volume.
    An index to the text of ``Title 3--The President'' is carried within 
that volume.
    The Federal Register Index is issued monthly in cumulative form. 
This index is based on a consolidation of the ``Contents'' entries in 
the daily Federal Register.
    A List of CFR Sections Affected (LSA) is published monthly, keyed to 
the revision dates of the 50 CFR titles.

REPUBLICATION OF MATERIAL

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

INQUIRIES

    For a legal interpretation or explanation of any regulation in this 
volume, contact the issuing agency. The issuing agency's name appears at 
the top of odd-numbered pages.
    For inquiries concerning CFR reference assistance, call 202-741-6000 
or write to the Director, Office of the Federal Register, National 
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info@fedreg.nara.gov.

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mail, gpoaccess@gpo.gov.

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    The Office of the Federal Register also offers a free service on the 
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                              Raymond A. Mosley,
                                    Director,
                          Office of the Federal Register.

January 1, 2004.

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                               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, 
60-139, 140-199, 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, 2004.

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                     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

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                   CHAPTER V--NATIONAL AERONAUTICS AND






                          SPACE ADMINISTRATION




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

[Reserved]

1201            Statement of organization and general 
                    information.............................           5
1203            Information Security Program................          11
1203a           NASA security areas.........................          28
1203b           Security programs; arrest authority and use 
                    of force by NASA security force 
                    personnel...............................          30
1204            Administrative authority and policy.........          32
1205

[Reserved]

1206            Availability of agency records to members of 
                    the public..............................          50
1207            Standards of conduct........................          68
1208            Uniform relocation assistance and real 
                    property acquisition for Federal and 
                    federally assisted programs.............          70
1209            Boards and committees.......................          70
1210            Development work for industry in NASA wind 
                    tunnels.................................          73
1211

[Reserved]

1212            Privacy Act-NASA regulations................          76
1213            Release of information to news and 
                    information media.......................          88
1214            Space flight................................          91
1215            Tracking and Data Relay Satellite System 
                    (TDRSS).................................         147
1216            Environmental quality.......................         154
1217            Duty-free entry of space articles...........         171
1221            The NASA Seal and other devices, and the 
                    Congressional Space Medal of Honor......         174
1230            Protection of human subjects................         184
1232            Care and use of animals in the conduct of 
                    NASA activities.........................         195
1240            Inventions and contributions................         201
1241

[Reserved]

1245            Patents and other intellectual property 
                    rights..................................         206

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1250            Nondiscrimination in federally-assisted 
                    programs of NASA--effectuation of Title 
                    VI of the Civil Rights Act of 1964......         219
1251            Nondiscrimination on basis of handicap......         230
1252            Nondiscrimination on the basis of age in 
                    programs or activities receiving Federal 
                    financial assistance....................         246
1253            Nondiscrimination on the basis of sex in 
                    education programs or activities 
                    receiving Federal financial assistance..         252
1259            National Space Grant College and Fellowship 
                    Program.................................         269
1260            Grants and cooperative agreements...........         275
1261            Processing of monetary claims (general).....         336
1262            Equal Access to Justice Act in agency 
                    proceedings.............................         367
1263            Demand for information or testimony served 
                    on agency employees; procedures.........         374
1264            Implementation of the Program Fraud Civil 
                    Penalties Act of 1986...................         377
1265            Governmentwide debarment and suspension 
                    (nonprocurement)........................         394
1266            Cross-waiver of liability...................         417
1267            Governmentwide requirements for drug-free 
                    workplace (financial assistance)........         421
1271            New restrictions on lobbying................         426
1273            Uniform administrative requirements for 
                    grants and cooperative agreements to 
                    state and local governments.............         438
1274            Cooperative agreements with commercial firms         465
1275-1299

[Reserved]

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                          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--General Information

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

    Authority: 5 U.S.C. 552.

    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 of 1958 (72 Stat. 426, 42 U.S.C. 
2451 et seq.), as amended (hereafter called the ``Act'').



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.

    (a) NASA's basic organization consists of the Headquarters, eight 
field installations, the Jet Propulsion Laboratory (a Government-owned, 
contractor-operated facility), and several component installations which 
report to Directors of Field Installations. Responsibility for overall 
planning, coordination, and control of NASA programs is vested in NASA 
Headquarters

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located in Washington, DC. NASA Headquarters is comprised of:
    (1) The Office of the Administrator which includes the 
Administrator, Deputy Administrator, Associate Deputy Administrator, 
Assistant Deputy Administrator, and the Executive Officer.
    (2) Four Program Offices which are responsible for planning, 
direction, and management of agencywide research and development 
programs. Officials-in-Charge of these Program Offices report directly 
to the Administrator and they consist of:
    (i) The Office of Aeronautics, Exploration and Technology which is 
responsible for conducting programs to develop advanced technology to 
enable and enhance an aggressive pursuit of national objectives in 
aeronautics, space, and transatmospherics, including the National Aero-
Space Plane Program; to demonstrate the feasibility of this advanced 
technology in ground, flight, and in-space facilities to ensure its 
early utilization; and to ensure the application of agency capabilities 
and facilities to programs of other agencies and the United States 
aerospace industry. The Office is the focal point for the Space 
Exploration Initiative, a long-term program of robotic and human 
exploration which will include sending humans to the Moon early in the 
21st century to establish a permanent outpost, and then conducting human 
missions to the planet Mars. In addition, the Office is responsible for 
managing the Ames, Langley, and Lewis Research Centers.
    (ii) The Office of Space Science and Applications is responsible for 
efforts to understand the origin, evolution, and structure of the 
universe, the solar system, and the integrated functioning of the Earth. 
The Office conducts space application activities, such as remote sensing 
of the Earth, developing and understanding microgravity processes, and 
developing and testing advanced space communications as well as basic 
and applied science to facilitate life in space. The Office also is 
responsible for managing the Goddard Space Flight Center and the Jet 
Propulsion Laboratory and maintaining contacts with the Space Science 
Board of the National Academy of Sciences, the Space Applications Board, 
and other science advisory boards and committees. The Office coordinates 
its program with various government agencies, foreign interests, and the 
private sector. Its objectives are accomplished through research and 
development in astrophysics, life sciences, Earth sciences and 
applications, solar system exploration, space physics, communications, 
microgravity science and applications, and communications and 
information systems. The Office also utilizes the space shuttle, 
expendable launch vehicles, automated spacecraft, human-occupied 
spacecraft, sounding rockets, balloons, aircraft, and ground-based 
research to conduct its programs.
    (iii) The Office of Space Flight is responsible for advancing the 
space shuttle, for developing Freedom, a permanently manned space 
station, and for carrying out space transportation and other associated 
programs, including the management of the Johnson Space Center, Marshall 
Space Flight Center, Kennedy Space Center, and John C. Stennis Space 
Center. The Office plans, directs, and executes the development, 
acquisition, testing, and operations of all elements of the Space 
Transportation System; plans, directs, and manages execution of 
prelaunch, launch, flight, landing, postflight operations, and payload 
assignments; maintains and upgrades the design of ground and flight 
systems throughout the operational period; procures recurring system 
hardware; manages all U.S. Government civil launch capabilities and 
spacelab development, procurement, and operations; develops and 
implements necessary policy with other government and commercial users 
of the Space Transportation System; and coordinates all research. The 
Office is also responsible for managing and directing all aspects of the 
Space Station Freedom Program and achieving the goals established by the 
President. These goals include developing a permanently manned space 
station in the mid-1990's and involving other countries in the program, 
and promoting scientific research, technology development, and private-
sector investment in space. The Johnson Space Center, the Marshall Space 
Flight Center, the Goddard Space Flight Center, and the Lewis Research 
Center are responsible

[[Page 7]]

for developing major elements of the space station. The concept of the 
Space Station Freedom Program is to provide a manned base, initially 
accommodating a crew of eight people.
    (iv) The Office of Space Operations is responsible for an array of 
functions critical to operations of this Nation's space programs. They 
include spacecraft operations and control centers; ground and space 
communications; data acquisition and processing; flight dynamics and 
trajectory analyses; spacecraft tracking; and applied research and 
development of new technology. The Space Transportation System, Tracking 
and Data Relay Satellite System, Deep Space Network, Spaceflight 
Tracking and Data Network, and various other facilities currently 
provide the requirements for NASA's space missions. A global 
communications system links tracking sites, control centers, and data 
processing facilities that provide real-time data processing for mission 
control, orbit, and attitude determination, and routine processing of 
telemetry data for space missions.
    (3) Thirteen Headquarters Offices which provide agencywide 
leadership in management and administrative processes. Officials-in-
Charge of these offices report to the Administrator.
    (b) Directors of NASA Field Installations and other component 
installations are responsible for execution of NASA's programs, largely 
through contracts with research, development, and manufacturing 
enterprises. A broad range of research and development activities are 
conducted at NASA field installations and other component installations 
by Government-employed scientists, engineers, and technicians to 
evaluate new concepts and phenomena and to maintain the capability 
required to manage contracts with private enterprises. Although these 
field installations have a primary program responsibility to the program 
office to which they report, they also conduct work for the other 
program offices.
    (c) The NASA field installations and a brief description of their 
responsibilities are as follows:
    (1) Ames Research Center, Moffett Field, CA 94035. The Center 
manages a diverse program of research and development in support of the 
Nation's aerospace program and maintains unique research and test 
facilities including wind tunnels, simulators, supercomputers, and 
flight test ranges. Current areas of emphasis include the development of 
aerospace vehicle concepts through synergistic application of the 
Center's complete capabilities, ranging from computation and 
experimentation (in wind tunnels and simulators) to flight testing; 
research in support of human adaptation and productivity in the 
microgravity environment; and research and development of human/machine 
interfaces and levels of automation to optimize the operation of future 
aerospace systems, as well as future hypersonic vehicles and probes. 
Specifically, the Center's major program responsibilities are 
concentrated in computational and experimental fluid dynamics and 
aerodynamics; fluid and thermal physics; rotorcraft, powered-lift, and 
high-performance aircraft technology; flight simulation and research; 
controls and guidance; aerospace human factors; automation sciences, 
space and life sciences; airborne sciences and applications; space 
biology and medicine; and ground and flight projects in support of 
aeronautics and space technology. In addition to these major program 
responsibilities, the Center provides support for military programs and 
major agency projects such as the Space Transportation System, Space 
Station, and the National Aero-Space Plane.
    (2) Goddard Space Flight Center, Greenbelt, MD 20771. The Center 
conducts Earth-orbital spacecraft and experiment development flight 
operations. It develops and operates tracking and data acquisition 
systems and conducts supporting mission operations. It also develops and 
operates spacelab payloads; space physics research program; Earth 
science and applications programs; life science programs; information 
systems technology; sounding rockets and sounding rocket payloads; 
launch vehicles; balloons and balloon experiments; planetary science 
experiments; and sensors for environmental monitoring and ocean 
dynamics.
    (3) John F. Kennedy Space Center, Kennedy Space Center, FL 32899. 
The Center designs, constructs, operates, and

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maintains space vehicle facilities and ground support equipment for 
launch and recovery operations. The Center is also responsible for 
prelaunch operations, launch operations, and payload processing for the 
space shuttle and expendable launch vehicle programs, and landing 
operations for the space shuttle orbiter; also recovery and 
refurbishment of the reusable solid rocket booster.
    (4) Langley Research Center, Hampton, VA 23665. The Center performs 
research in long-haul aircraft technology; general aviation commuter 
aircraft technology; military aircraft and missile technology; National 
Aero-Space Plane; fundamental aerodynamics; computational fluid 
dynamics; propulsion/airframe integration; unsteady aerodynamics and 
aeroelasticity; hypersonic propulsion; aerospace acoustics; aerospace 
vehicle structures and materials; computational structural mechanics; 
space structures and dynamics; controls/structures interaction; 
aeroservoelasticity; interdisciplinary research; aerothermodynamics; 
aircraft flight management and operating procedures; advanced displays; 
computer science; electromagnetics; automation and robotics; reliable, 
fault-tolerant systems and software; aircraft flight control systems; 
advanced space vehicle configurations; advanced space station 
development; technology experiments in space; remote sensor and data 
acquisition and communication technology; space electronics and control 
systems; planetary entry technology; nondestructive evaluation and 
measurements technology; atmospheric sciences; Earth radiation budget; 
atmospheric dynamics; space power conversion and transmission; space 
environmental effects; and systems analysis of advanced aerospace 
vehicles.
    (5) Lewis Research Center, Cleveland, OH 44135. The Center manages 
the design and development of the power generation, storage, and 
distribution system for Space Station Freedom. The Center is also 
responsible for conducting research and technology activities in the 
following areas: airbreathing propulsion systems, including those needed 
for the National Aero-Space Plane; turbomachinery thermodynamics and 
aerodynamics; fuel and combustion; aero and space propulsion systems; 
space power; power transmission; tribology; internal engine 
computational fluid dynamics; materials; structural analysis; 
instrumentation; space communications, including design and development 
of the Advanced Communications Technology Satellite (ACTS); the ACTS 
experiments program; design, development, and fabrication of 
microgravity space experiments; and the procurement of intermediate and 
large-class expendable launch vehicle launch services. The Center also 
plays an important role in planning the Space Exploration Initiative and 
in implementing the Exploration Technology Program. In addition, the 
Center provides research and technology support to the Department of 
Defense and assists the private sector in identifying potential 
industrial applications and commercialization of NASA-developed 
technology.
    (6) Lyndon B. Johnson Space Center, Houston, TX 77058. The Center 
manages the development and operation of the space shuttle, a manned 
space transportation system developed for the United States by NASA. The 
shuttle is designed to reduce the cost of using space for commercial, 
scientific, and defense needs. The Center is responsible for 
development, production, delivery, and flight operation of the orbiter 
vehicle, that portion of the space shuttle that is designed to take crew 
and experiments into space, place satellites in orbit, retrieve ailing 
satellites, etc. The shuttle crew (up to seven people) includes pilots, 
mission specialists, and payload specialists. Crew personnel (other than 
payload specialists) are recruited, selected, and trained by the Center. 
It is also responsible for design, development, and testing of 
spaceflight payloads and associated systems for manned flight; for 
planning and conducting manned spaceflight missions; and for directing 
medical, engineering, and scientific experiments that are helping us 
understand and improve the environment. For the space station program, 
the Center provides support in the areas of headquarters level A 
responsibilities and project management.

[[Page 9]]

    (7) George C. Marshall Space Flight Center, Marshall Space Flight 
Center, AL 35812. The Center manages, develops, and tests the External 
Tank, Solid Rocket Booster, and main engines, which are major portions 
of the space shuttle project; oversees the development of the U.S. 
Spacelab; manages the space telescope; and conducts research in 
structural systems, materials science engineering, electronics, 
guidance, navigation, and control.
    (8) John C. Stennis Space Center, Stennis Space Center, MS 39529. 
The Center plans and manages research and development activities in the 
field of space and terrestrial applications; space flight; research in 
oceanography, meteorology, and environmental sciences. The Center 
coordinates research between the Administration and other government 
agencies.
    (d) The NASA Office of Inspector General is established pursuant to 
Act of Congress, Public Law 95-452, as amended, 5 U.S.C. App. III. The 
Inspector General is appointed by the President, by and with the advice 
and consent of the Senate, without regard to political affiliation and 
solely on the basis of integrity and demonstrated ability in accounting, 
auditing, financial analysis, law, management analysis, public 
administration, or investigations. The Inspector General appoints an 
Assistant Inspector General for Auditing, who is responsible for 
supervising the performance of auditing activities relating to NASA's 
programs and operations, and an Assistant Inspector General for 
Investigations, who is responsible for supervising the performance of 
NASA's investigative activities. It is the duty and responsibility of 
the Inspector General to provide policy direction, to conduct, supervise 
and coordinate audits and investigations related to NASA's programs and 
operations in order to promote economy and efficiency, and to prevent 
and detect fraud and abuse in these programs and operations. The 
Inspector General must report expeditiously to the Attorney General 
whenever the Inspector General has reasonable grounds to believe there 
has been a violation of Federal criminal law. The Inspector General is 
responsible for keeping the Administrator and Congress fully and 
currently informed, by reports concerning fraud and other serious 
problems, abuses, and deficiencies related to NASA's programs and 
operations, for recommending corrective actions, and for reporting on 
the progress in implementing such corrective actions. The Inspector 
General reports to the Administrator, but neither the Administrator nor 
the Deputy Administrator can prevent or prohibit the Inspector General 
from initiating, carrying out, or completing any audit or investigation, 
or from issuing any subpoena under authority of the Inspector General 
Act. In carrying out the responsibilities, the Inspector General shall 
comply with standards established by the Comptroller General of the 
United States for audits of governmental organizations, programs, 
activities, and functions. The Inspector General reports to Congress on 
a semiannual basis, summarizing the activities of the office. These 
reports are available to the public upon request within 60 days of their 
transmission to the Congress. Anyone wishing to report instances of 
fraud, waste, or mismanagement in NASA's programs and operations can 
call the Inspector General Hotline at 755-3402 in the Washington, DC, 
area or toll free (800) 424-9183 for all other areas. The office 
maintains a 24-hour answering service. Identities of complainants can be 
kept confidential. Written complaints can be sent to the NASA Inspector 
General, P.O. Box 23089, L'Enfant Plaza Station, Washington, DC 20026.
    (e) For more detailed description of NASA's organizational 
structure, see the ``U.S. Government Manual.''



                    Subpart 3--Boards and Committees



Sec. 1201.300  Boards and committees.

    Various boards and committees have been established as part of the 
permanent organization structure of NASA. These include:
    (a) Board of Contract Appeals. (1) The Board is established in 
accordance with the Contract Disputes Act of 1978 (41 U.S.C. 601-613). 
The function of the Board is to decide appeals from decisions of 
contracting officers relating to a contract made by NASA.

[[Page 10]]

    (2) The charter of the Board is set forth in subpart 1 of part 1209 
of this chapter. The Board's rules of procedure are set forth in 14 CFR 
part 1241.
    (3) The texts of decisions of the Board are published by Commerce 
Clearing House, Inc., in Board of Contract Appeals Decisions, and are 
hereby incorporated by reference. All decisions and orders are available 
for inspection and for purchase from the Recorder of the Board of NASA 
Headquarters, Washington, DC. Decisions and orders issued after July, 
1967, area available for inspection and for purchase at NASA Information 
Centers.
    (b) Contract Adjustment Board. (1) The function of the Board is to 
consider and dispose of requests by NASA contractors for extraordinary 
contractual adjustments pursuant to Public Law 85-804 (50 U.S.C. 1431-
35) and Executive Order 10789 dated November 14, 1958 (23 FR 8397).
    (2) The charter of the Board is set forth at subpart 3 of part 1209 
of this chapter. The Board's rules of procedure are set forth at 48 CFR 
part 1850.
    (3) Indexes of and texts of decisions of the Board are available for 
inspection and for purchase from the Chairperson of the Board, National 
Aeronautics and Space Administration, Washington, DC 20546, and from the 
NASA Information Centers.
    (c) Inventions and Contributions Board. (1) The function of the 
Board is to consider and recommend to the Administrator the action to be 
taken with respect to:
    (i) Petitions for waiver of rights to any invention or class of 
inventions made during the performance of NASA contracts; and
    (ii) Applications for award for scientific and technical 
contributions determined to have significant value in the conduct of 
aeronautical and space activities, pursuant to the National Aeronautics 
and Space Act of 1958, as amended (42 U.S.C. 2457 (f) and (g), 2458), 
and the Government Employees Incentive Awards Act (5 U.S.C. 2121-23), 
respectively.
    (2) The charter of the Board is set forth at subpart 4 of part 1209 
of this chapter. The Board's rules of procedure are set forth at 14 CFR 
parts 1240 and 1245.
    (3) The decisions of the Board on requests for waiver are available 
for inspection at NASA Headquarters, Office of Inventions and 
Contributions Board.



                     Subpart 4--General Information



Sec. 1201.400  NASA procurement program.

    (a) The Office of Procurement, headed by the Assistant Administrator 
for Procurement, serves as a central point of control and contact for 
NASA procurements. Although the procurements may be made by the field 
installations, selected contracts and contracts of special types are 
required to be approved by the Assistant Administrator for Procurement 
prior to their execution. The Office of Procurement is also responsible 
for formulation of NASA procurement policies and provides overall 
assistance and guidance to NASA field installations to achieve 
uniformity in NASA procurement processes.
    (b) The NASA procurement program is carried out principally at the 
NASA field installations listed in subpart 2 of this part and in the 
``U.S. Government Manual.'' The Headquarters Acquisition Division is 
responsible for contracts with foreign governments and foreign 
commercial organizations, the procurement of materials and services 
required by Headquarters offices except for minor office supplies and 
services procured locally, and the award of grants and cooperative 
agreements for Headquarters. The Headquarters Space Station Freedom 
Procurement Office is responsible for managing and directing the full 
range of acquisition functions in support of the Space Station Freedom 
Program Office.
    (c) All procurements are made in accordance with the Federal 
Acquisition Regulation (FAR) (48 CFR chapter 1) and the NASA Federal 
Acquisition Regulation Supplement (NASA/FAR Supplement) (48 CFR chapter 
18). Copies of these publications are available from the Superintendent 
of Documents, U.S. Government Printing Office, Washington, DC 20402, on 
an annual subscription basis.

[[Page 11]]



Sec. 1201.401  Special document depositories.

    NASA provides the National Technical Information Service (NTIS), 
U.S. Department of Commerce, 5285 Port Royal Road, Springfield, VA 
22161, with copies of NASA and/or NASA-sponsored unclassified unlimited 
documents to provide availability to the public. These documents may be 
reproduced by NTIS and sold at prices established by NTIS. NASA also 
uses the regional depository libraries established through the Federal 
Depository Library Program by chapter 19 of title 44 of the U.S. Code 
under the Government Printing Office (GPO) to make its technical 
documents and bibliographic tools available to the general public. These 
depository libraries are responsible for permanent retention of 
material, interlibrary loan, and reference services.



Sec. 1201.402  NASA Industrial Applications Centers.

    (a) As part of its Technology Utilization Program--a program 
designed to transfer new aerospace knowledge and innovative technology 
to nonaerospace sectors of the economy--NASA operates a network of 
Industrial Applications Centers. These centers serve U.S. industrial 
clients on a fee paying basis by providing access to literally millions 
of scientific and technical documents published by NASA and by other 
research and development organizations. Using computers, the NASA 
Industrial Applications Centers conduct retrospective and current 
awareness searches of available literature in accordance with client 
interests, and assist in the interpretation and adaption of retrieved 
information to specified needs. Such services may be obtained by 
contacting one of the following:
    (1) Aerospace Research Applications Center (ARAC), Indianapolis 
Center for Advanced Research, 611 N. Capital Avenue, Indianapolis, IN 
46204.
    (2) Southern Technology Applications Center, Progress Center, Box 
24, 1 Progress Boulevard, Alachua, FL 32615.
    (3) NASA/UK Technology Applications Program, University of Kentucky, 
10 Kinkead Hall, Lexington, KY 40506-0057.
    (4) NASA Industrial Applications Center, 823 William Pitt Union, 
University of Pittsburgh, Pittsburgh, PA 15260.
    (5) New England Research Application Center (NERAC), One Technology 
Drive, Tolland, CT 06084.
    (6) North Carolina Science and Technology Research Center, P.O. Box 
12235, Research Triangle Park, NC 27709.
    (7) Technology Application Center (TAC), University of New Mexico, 
Albuquerque, NM 87131.
    (8) Kerr Industrial Applications Center, Southeastern Oklahoma State 
University, Station A, Box 2584, Durant, OK 74701.
    (9) NASA Industrial Applications Center, Research Annex, Room 200, 
University of Southern California, 3716 South Hope Street, Los Angeles, 
CA 90007.
    (10) NASA/SU Industrial Applications Center, Southern University, 
Department of Computer Science, Baton Rouge, LA 70813-2065.
    (b) To obtain access to NASA-developed computer software, contact: 
Computer Software Management and Information Center (COSMIC), University 
of Georgia, Athens, GA 30602.



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 Combination, interrelation or compilation.
1203.303 Dissemination considerations.
1203.304 Internal effect.
1203.305 Restricted data.

              Subpart D--Guides for Original Classification

1203.400 Specific classifying guidance.

[[Page 12]]

1203.401 Effect of open publication.
1203.402 Classifying material other than documentation.
1203.403 State-of-the-art and intelligence.
1203.404 Handling of unprocessed data.
1203.405 Proprietary information.
1203.406 Additional classification factors.
1203.407 Duration of classification.
1203.408 Assistance by installation security classification officers.
1203.409 Exceptional cases.
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--Foreign Government Information

1203.700 Identification.
1203.701 Classification.
1203.702 Duration of classification.
1203.703 Declassification.

 Subpart H--Delegation of Authority to Make Determinations in Original 
                         Classification Matters

1203.800 Delegations.
1203.801 Redelegation.
1203.802 Reporting.

         Subpart I--NASA Information Security Program Committee

1203.900 Establishment.
1203.901 Responsibilities.
1203.902 Membership.
1203.903 Ad hoc committees.
1203.904 Meetings.

    Authority: 42 U.S.C. 2451 et seq. and E.O. 12958, 60 FR 19825, 3 
CFR, 1995 Comp., p. 333.

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



                            Subpart A--Scope



Sec. 1203.100  Legal basis.

    (a) Executive Order 12958 (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'' 
(E.O. 12958, 3 CFR, 1996 Comp., p. 333), as amended (See, Order of 
October 13, 1995, 3 CFR, 1996 Comp., p. 513), 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) Section 304(a) of 
the National Aeronautics and Space Act of 1958, as amended (42 U.S.C. 
2451 et seq.), states in part:
    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 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]

[[Page 13]]



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 Handbook 1620.3, ``NASA Physical Security Handbook.''



              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) 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, ``the Order'' was promulgated. It designates the National 
Aeronautics and Space Administration 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:
    (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]



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 interchange of information, techniques or hardware.
    (e) Provide a timely and effective means for downgrading or 
declassifying information when the circumstances necessitating the 
original classification change or no longer exist.



Sec. 1203.202  Responsibilities.

    (a) The Chairperson, NASA Information Security Program Committee 
(Subpart I of this part), is responsible for:
    (1) Directing the NASA Information Security Program 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.

[[Page 14]]

    (3) Reviewing, in consultation with the NASA Information Security 
Program Committee, questions, suggestions, appeals and compliance 
concerning the NASA Information Security Program and making 
determinations concerning them.
    (4) Coordinating NASA security classification matters with NASA 
installations, the Department of Defense, the Department of Energy and 
other Government agencies.
    (5) Issuing Security Classification Guides for NASA programs and 
projects.
    (6) Developing, maintaining and recommending to the Administrator 
guidelines for the systematic review covering 30-year-old 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 NASA 
Information Security Program, 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 NASA Information Security Program Committee 
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 
herein.
    (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, NASA Information 
Security Program Committee, 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.
    (d) Other Officials-in-Charge of Headquarters 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 eliminate classified information.
    (e) Directors of Field Installations are responsible for:
    (1) Developing proposed Security Classification Guides.
    (2) Ensuring that classified information or material prepared in 
their respective installations is appropriately marked.
    (3) Ensuring that material proposed for public release is reviewed 
to eliminate classified information.
    (4) Designating Security Classification Officers at their respective 
installations, to whom responsibilities listed in paragraphs (e)(1), 
(2), and (3) of this section may be reassigned.
    (f) The Senior Security Specialist, NASA Security Office, NASA 
Headquarters, who serves as a member and Executive Secretary of the NASA 
Information Security Program Committee, is responsible for the NASA-wide 
coordination of security classification matters.
    (g) The Director, NASA Security Management Office, 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]

[[Page 15]]



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. 
Examples of exceptionally grave damage include armed hostilities against 
the United States or its allies; disruption of foreign relations vitally 
affecting the national security; the compromise of vital national 
defense plans or complex cryptologic and communications intelligence 
systems; the revelation of sensitive intelligence operations; and the 
disclosure of scientific or technological developments vital to 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. Examples of 
serious damage include disruption of foreign relations significantly 
affecting the national security; significant impairment of a program or 
policy directly related to the national security; revelation of 
significant military plans or intelligence operations; and compromise of 
significant scientific or technological developments relating to 
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]



         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  Combination, interrelation or compilation.

    An interrelationship of individual items, classified or 
unclassified, may result in a combined item requiring a higher 
classification than that of any of the individual items. Compilations of 
unclassified information are considered unclassified unless some 
additional significant factor is added in the process of compilation. 
For example:
    (a) The way unclassified information is compiled may be classified;
    (b) The fact that the information is complete for its intended 
purpose may be classified; or
    (c) The fact the compilation represents an official evaluation may 
be classified. In these cases, the compilations would be classified.



Sec. 1203.303  Dissemination considerations.

    The degree of intended dissemination, use of the information and 
whether the end purpose to be served renders effective security control 
impractical

[[Page 16]]

are considerations during the classification process. These factors do 
not necessarily preclude classification, but must be considered in order 
not to impose security controls which are impractical to enforce.



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 in light of the detrimental effects on the national security 
interests which would result from failure to classify.



Sec. 1203.305  Restricted data.

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



              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 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, NASA Information Security Program Committee, 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 ``the 
Order.''
    (a) Information which provides the United States, in comparison with 
other nations, with a significant scientific, engineering, technical, 
operational, intelligence, strategic, tactical or economic advantage 
related to national security.
    (b) Information which, if disclosed, would significantly diminish 
the technological lead of the United States in any military system, 
subsystem or component, and would result in damage to such a system, 
subsystem or component.
    (c) Scientific or technological information in an area where an 
advanced military application that would in itself be classified is 
foreseen during exploratory development.
    (d) Information which, if known, would:
    (1) Provide a foreign nation with an insight into the defense 
application or the war or defense plans or posture of the United States;
    (2) Allow a foreign nation to develop, improve or refine a similar 
item of defense application;
    (3) Provide a foreign nation with a base upon which to develop 
effective countermeasures;
    (4) Weaken or nullify the effectiveness of a defense or military 
plan, operation, project, weapon system or activity which is vital to 
the national security.
    (e) Information or material which is important to the national 
security of the United States in relation to other nations when there is 
sound reason to believe that those nations are unaware that the United 
States has or is capable of obtaining the information or material; i.e., 
through intelligence activities, sources, or methods.
    (f) Information which if disclosed could be exploited in a manner 
prejudicial to the national security posture of the United States by 
discrediting its technological power, capability or intentions.
    (g) Information which reveals an unusually significant scientific or 
technological ``breakthrough'' which there is sound reason to believe is 
not known to or within the state-of-the-art capability of other nations. 
If the ``breakthrough'' supplies the United States with an important 
advantage of a technological nature, classification also would be 
appropriate if the potential application of the information, although 
not specifically visualized, would afford the United States a 
significant national security advantage in terms of technological lead 
time or an

[[Page 17]]

economic advantage relating to national security.
    (h) Information of such nature that an unfriendly government in 
possession of it would be expected to use it for purposes prejudicial to 
U.S. national security and which, if classified, could not be obtained 
by an unfriendly power without a considerable expenditure of resources.
    (i) Information which if disclosed to a foreign government would 
enhance its military research and development programs to the detriment 
of U.S. counterpart or competitive programs.
    (j) Operational information pertaining to the command and control of 
space vehicles, the possession of which would facilitate malicious 
interference with any U.S. space mission, that might result in damage to 
the national security.
    (k) Information which if disclosed could jeopardize the foreign 
relations or activities of the United States; for example, the premature 
or unauthorized release of information relating to the subject matter of 
international negotiations, foreign government information or 
information regarding the placement or withdrawal of NASA tracking 
stations on foreign territory.
    (l) United States Government programs for safeguarding nuclear 
materials or facilities.
    (m) Other categories of information which are related to national 
security and which require protection against unauthorized disclosure as 
may be determined by the Administrator. The Chairperson, NASA 
Information Security Program Committee, will promptly inform the 
Director, Information Security Oversight Office, General Services 
Administration (GSA) of such determinations.

[44 FR 34913, June 18, 1979, as amended at 48 FR 5890, Feb. 9, 1983]



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  State-of-the-art and intelligence.

    A logical approach to classification requires consideration of the 
extent to which the same or similar information available from 
intelligence sources is known or is available to others. It is also 
important to consider whether it is known publicly, either domestically 
or internationally, that the United States has the information or even 
is interested in the subject matter. The known state-of-the-art in other 
nations

[[Page 18]]

is an additional substantive factor requiring consideration.



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 Director, 
Information Security Oversight Office, General Services Administration, 
Washington, DC 20405, for a determination.



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. 
Generally, the classification by NASA should not be higher than that of 
equivalent information in other departments or agencies of the 
Government.



Sec. 1203.407  Duration of classification.

    (a) Information shall be classified as long as required by national 
security considerations. When it can be determined, a specific date or 
event for declassification shall be set by the original classification 
authority at the time the information is originally classified.
    (b) Information classified under predecessor orders and marked for 
declassification review shall remain classified until reviewed for 
declassification under the provisions of the ``the Order.''

[48 FR 5890, Feb. 9, 1983]



Sec. 1203.408  Assistance by installation security classification officers.

    Installation Security Classification Officers, as the installation 
point-of-contact, will assist installation personnel in:
    (a) Interpreting security classification guides and classification 
assignments for the installation.
    (b) Answering questions and considering suggestions concerning 
security classification matters.

[[Page 19]]

    (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 installation.



Sec. 1203.409  Exceptional cases.

    (a) In those cases where a person not authorized to classify 
information orginates or develops information which is believed to 
require classification, that person should safeguard the material as 
though it were classified until it has been evaluated and a decision 
made by an appropriate classifying authority. For NASA employees the 
classifying authority is normally the Installation Security 
Classification Officer. Persons other than NASA employees should 
forward, under appropriate safeguards, material in which NASA has 
primary interest to the NASA Information Security Program Committee, 
Security Division, Washington, DC 20546 for a classification 
determination.
    (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 30 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, GSA, for a determination.



Sec. 1203.410  Limitations.

    (a) Classification may not be used to conceal violations of law, 
inefficiency of administrative error; to prevent embarrassment to a 
person, organization or agency; or to restrain competition.
    (b) Basic scientific research information not clearly related to the 
national security may not be classified.
    (c) A product of non-government research and development that does 
not incorporate or reveal classified information to which the producer 
or developer was given prior access may not be classified under this 
part 1203 until and unless the Government acquires a proprietary 
interest in the product. This part does not affect the provisions of the 
Patent Secrecy Act of 1952 (35 U.S.C. 181-188).
    (d) References to classified documents that do not disclose 
classified information may not be classified or used as a basis for 
classification.
    (e) Classification may not be used to limit dissemination of 
information that is not classifiable under the provisions of this part 
or to prevent or delay the public release of such information.
    (f) Information may be classified or reclassified after receipt of a 
request for it under the Freedom of Information Act (5 U.S.C. 552) or 
the Privacy Act of 1974 (5 U.S.C. 552a), or the mandatory review 
provisions of ``the Order'' if such classification meets the 
requirements of ``the Order'' and is accomplished personally on a 
document-by-document basis by an official with original Top Secret 
classification authority.
    (g) The Administrator, the Chairperson, NASA Information Security 
Program Committee, or an official with original Top Secret 
classification authority may reclassify information previously 
declassified and disclosed if it is determined in writing that (1) The 
information requires protection in the interest of national security; 
and (2) the information may reasonably be recovered. These 
reclassification actions shall be reported promptly to the Director of 
the Information Security Oversight Office, GSA.

[44 FR 34913, June 18, 1979, as amended at 48 FR 5890, Feb. 9, 1983]



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

[[Page 20]]

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. Whenever a specific time or future 
event for declassification cannot be predetermined, the following 
notation will be used: DECLASSIFY ON: Originating Agency's Determination 
Required or ``OADR.''
    (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) Be approved personally and in writing by an official with 
original Top Secret classification authority; the identity of the 
official will be shown on the guide. Such approval constitutes an 
original classification decision. Normally, all guides will be approved 
by the Chairperson, NASA Information Security Program Committee, whose 
office 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 two 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]



                  Subpart E--Derivative Classification



Sec. 1203.500  Use of derivative classification.

    The application of derivative classification markings is a 
responsibility of those who incorporate, paraphrase, restate, or 
generate in new form information that is already classified, and of 
those who apply markings in accordance with instructions from an 
authorized original classifier or in accordance with an authorized 
classification guide. If a person who applied derivative classification 
markings believes that the paraphrasing, restating, or summarizing of 
classified information has changed the level of or removed the basis for 
classification, that person must consult for a determination with an 
appropriate official of the originating agency or office of origin who 
has the authority to upgrade, downgrade, or declassify the information.

[48 FR 5891, Feb. 9, 1983]



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

[[Page 21]]

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.

    Officials authorized original classification authority 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.



Sec. 1203.602  Authorization.

    Information shall be declassified or downgraded by the official who 
authorized the original classification, 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, NASA Information Security Program 
Committee.

[48 FR 5891, Feb. 9, 1983]



Sec. 1203.603  Systematic review for declassification.

    (a) General. (1) Except for foreign government information as 
provided in subpart G of this part, classified information constituting 
permanently valuable records of the government as defined by 44 U.S.C. 
2103, and information in the possession and control of the Administrator 
of General Services Administration pursuant to 44 U.S.C. 2107 or 2107 
note, shall be reviewed for declassification as it becomes 30 years old.
    (2) Systematic review for declassification of classified cryptologic 
information will be coordinated through the National Security Agency.
    (3) Systematic review for declassification of classified information 
pertaining to intelligence activities (including special activities) or 
intelligence sources or methods will be coordinated through the Central 
Intelligence Agency.
    (4) The Chairperson, NASA Information Security Program Committee, 
shall designate experienced personnel to assist the Archivist of the 
United States in the systematic review of 30-year old U.S. originated 
information and 30-year old foreign information. Such personnel shall:
    (i) Provide guidance and assistance to National Archives and Records 
Service employees 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.
    (b) Systematic review guidelines. The Chairperson, NASA Information 
Security Program Committee, shall develop, in coordination with NASA 
organizational elements, guidelines for the systematic review for 
declassification of 30-year old classified information under NASA's 
jurisdiction. (See subpart G of this part, Foreign Government 
Information.) 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 item-by-
item to determine whether continued protection beyond 30 years is 
needed. These guidelines are authorized for use by the Archivist of the 
United States and, with the approval of the Administrator, by an agency 
having custody of the information covered by the guidelines. All 
information, except foreign government information, cryptologic 
information, and information pertaining to intelligence sources or 
methods, not identified in these guidelines as requiring review and for 
which a prior automatic declassification date has not been established 
shall be declassified automatically at the end of 30 years from the date 
of original classification. These guidelines shall be reviewed at least 
every 5 years and revised as necessary unless an earlier review for 
revision is requested by the Archivist of the United States. Copies of 
the declassification guidelines promulgated by NASA will be provided to 
the Information Security Oversight Office, GSA.
    (c) Systematic review procedures. (1) All security classified 
records 30 years old or older, whether held in storage areas under 
installation control or in Federal Records Centers, will be surveyed to

[[Page 22]]

identify those that require scheduling for future disposition.
    (2) All NASA information or material in the custody of the National 
Archives and Records Service that is permanently valuable and more than 
30 years old is to be systematically reviewed for declassification by 
the Archivist of the United States with the assistance of the personnel 
designated for the purpose pursuant to paragraph (a)(4)(i) of this 
section. The Archivist shall refer to NASA that information or material 
which NASA has indicated requires further review. In the case of 30-year 
old information or material in the custody of NASA installations, such 
review will be accomplished by the custodians of the information or 
material. The installation having primary jurisdication over the 
information or material received from the Archivist or in its custody, 
shall proceed as follows:
    (i) 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 
developed under paragraph (b) of this section shall be so marked.
    (ii) Classified information or material over which NASA exercises 
exclusive or final original classification authority and which, in 
accordance with the systematic review guidelines developed under 
paragraph (b) of this section, 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:
    (A) Identify the information or material involved.
    (B) Recommend classification beyond 30 years to a specific event 
scheduled to happen or a specific period of time or, the alternative, 
recommend: DECLASSIFY ON: Originating Agency's Determination Required or 
``OADR.''
    (iii) The Administrator shall consider and determine which category 
shall be kept classified and the dates or event for declassification. 
Whenever a specific time or future event for declassification cannot be 
predetermined, the following notation will be applied: DECLASSIFY ON: 
Originating Agency's Determination Required or ``OADR.'' The Archivist 
of the United States will be notified in writing of this decision.
    (d) Declassification by the Director of the Information Security 
Oversight Office, GSA. If the Director of the Information Security 
Oversight Office, GSA, 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 Information Security Program Committee to the National 
Security Council. The information shall remain classified pending a 
prompt decision on the appeal.

[48 FR 5891, Feb. 9, 1983]



Sec. 1203.604  Mandatory review for declassification.

    (a) Information covered. All information classified under ``the 
Order'' or predecessor orders, except as provided at Sec. 1203.604(b) 
shall be subject to a review for declassification by the originating 
agency, if:
    (1) The request is made by a United States citizen or permanent 
resident alien, a Federal agency, or a State or local government; and
    (2) The request describes the document or material containing the 
information with sufficient specificity to enable the agency to locate 
it with a reasonable amount of effort. After review, the information or 
any reasonable segregable portion thereof that no longer requires 
protection shall be declassified and released unless withholding is 
otherwise warranted under applicable law.
    (b) Presidential papers. (1) Information originated by a President, 
the White House Staff, by committees, commissions, or boards appointed 
by the President, or others specifically providing advice and counsel to 
a President or acting on behalf of a President is exempted from the 
provisions of Sec. 1203.604(a).
    (2) The Archivist of the United States shall have the authority to 
review, downgrade and declassify information under the control of the 
Administrator of General Services Administration or the Archivist 
pursuant to sections 2107, 2107 note, or 2203 of Title 44, U.S. Code. 
Review procedures developed by the Archivist shall provide for 
consultation

[[Page 23]]

with NASA in matters of primary subject interest to NASA.
    (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 installation which originated the 
information.
    (2) For most expeditious action, requests from other Governmental 
agencies or from members of the public should be submitted directly to 
NASA installations which originated the material, or, if the originating 
component is not known, the requestor may submit the request to:
    (i) The Chairperson, NASA Information Security Program Committee; or 
the head of the NASA organization most concerned with the subject matter 
of the material requested; or
    (ii) The office designated to receive requests for records 
specifically citing the Freedom of Information Act pursuant to part 1206 
of this chapter.
    (d) Requirement for processing. (1) Requests which are submitted 
under the Freedom of Information Act shall be processed in accordance 
with part 1206 of this chapter.
    (2) Other requests for declassification review and release of 
information shall be processed in accordance with the provisions of this 
section, subject to the following conditions:
    (i) The request is in writing and reasonably describes the 
information sought with sufficient particularity to enable the 
installation to identify it.
    (ii) The requestor shall be asked to correct a request that does not 
comply with paragraph (d)(2)(i) of this section, to provide additional 
information or to narrow the scope of the request and shall be notified 
that no action will be taken until the requestor complies.
    (iii) If the request requires the rendering of services for which 
fees may not be charged under part 1206, but may be charged under 31 
U.S.C. 483a (1976), the rates prescribed in Sec. 1206.700 shall be 
used, if appropriate.
    (e) Processing of requests. Requests that meet the requirements of 
paragraph (d)(2) of this section will be processed as follows:
    (1) NASA installation action upon the initial request shall be 
completed within 60 days.
    (2) Receipt of the request shall be acknowledged promptly. The NASA 
installation 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 30 days after receipt and the 
requestor shall be advised that the appeal determination is final. If 
continued classification is required under the provisions of this part 
1203, the requestor 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 a NASA installation receives any request for 
declassification of information in documents in its custody that was 
classified by another NASA installation or Government agency, it shall 
refer copies of the request and the requested documents to the 
originating installation or agency for processing, and may, after 
consultation with the originating installation or agency, inform the 
requester of the referral. In cases in which the originating NASA 
installation determines in writing that a response under Sec. 
1203.604(f) is indicated, such cases will be promptly forwarded to the 
Chairperson, NASA Information Security Program Committee, for final 
resolution and appropriate response.

[[Page 24]]

    (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 any NASA installation 
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 the possessing NASA installation to identify the 
originating agency, and a review of the material indicates that it 
should be downgraded or declassified, the possessing NASA installation 
shall be deemed to be the originating agency for the purpose of 
declassifying or downgrading such material. If it appears probable that 
another agency or another NASA organization may have a substantial 
interest in whether the classification of any particular information 
should be maintained, the possessing NASA installation shall not 
exercise the power conferred upon it by this paragraph, until after 
consultation with any other agency or NASA organization having an 
interest in the subject matter.
    (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 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

[[Page 25]]

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]



                Subpart G--Foreign Government Information



Sec. 1203.700  Identification.

    In order to qualify as foreign government information, information 
must fall into one of the two following categories:
    (a) Information provided to the United States by a foreign 
government or international organization of governments, such as the 
North Atlantic Treaty Organizatiuon (NATO), where the United States has 
undertaken an obligation, expressed or implied, to keep the information 
in confidence. The information is considered to have been provided in 
confidence if it is marked in a manner indicating it is to be treated in 
confidence or if the circumstances of the delivery indicate that the 
information be kept in confidence.
    (b) Information requiring confidentiality produced by the United 
States pursuant to a written, joint arrangement with a foreign 
government or international organization of governments. A written, 
joint arrangement may be evidenced by an exchange of letters, a 
memorandum of understanding, or other written record of the joint 
arrangement.



Sec. 1203.701  Classification.

    (a) Foreign government information that is classified by a foreign 
entity shall either retain its original classification designation or be 
marked with a United States classification designation that will ensure 
a degree of protection equivalent to that required by the entity that 
furnished the information. Original classification authority is not 
required for this purpose.
    (b) Foreign government information that was not classified by a 
foreign entity but was provided to NASA with the expressed or implied 
obligation that it be held in confidence must be classified. ``The 
Order'' states that unauthorized disclosure of foreign government 
information, the identity of a confidential foreign source, or 
intelligence sources or methods is presumed to cause damage to the 
national security. Therefore, such foreign government information shall 
be classified at least Confidential. However, at the time of 
classification, judicious consideration shall be given to the 
sensitivity of the subject matter and the impact of its unauthorized 
disclosure upon both the United States and the originating foreign 
government or organization of governments in order to determine the most 
appropriate level of classification. Levels above Confidential must be 
assigned by an original classification authority.

[44 FR 34913, June 18, 1979, as amended at 48 FR 5892, Feb. 9, 1983]



Sec. 1203.702  Duration of classification.

    Unless the guidelines for the systematic review of 30-year old 
foreign government information developed pursuant to Sec. 1203.603(b) 
prescribe dates or events for declassification:
    (a) Foreign government information shall not be assigned a date or 
event for declassification unless such is specified or agreed to by the 
foreign entity.
    (b) Foreign government information classified after December 1, 
1978, shall be annotated: DECLASSIFY ON: Originating Agency's 
Determination Required or ``OADR.''

[48 FR 5893, Feb. 9, 1983]



Sec. 1203.703  Declassification.

    (a) Information classified in accordance with Sec. 1203.400 shall 
not be declassified automatically as a result of any unofficial 
publication or inadvertent or unauthorized disclosure in the United 
States or abroad of identical or similar information.
    (b) Following consultation with the Archivist of the United States 
and where appropriate, with the foreign government or international 
organization concerned and with the assistance of the Department of 
State, NASA will

[[Page 26]]

issue guidelines for the systematic review of 30-year old foreign 
government information that will apply to foreign government information 
of primary concern to NASA. These guidelines are authorized for use by 
the Archivist of the United States and, with the approval of NASA, by an 
agency having custody of such information. The Chairperson, NASA 
Information Security Program Committee, will initiate administrative 
functions necessary to effect review of these guidelines at least once 
every 5 years and submit recommendations to the Administrator based on 
these reviews. If, after applying the guidelines to 30-year old foreign 
government information, a determination is made by the reviewer that 
classification is necessary, a date for declassification or DECLASSIFY 
ON: Originating Agency's Determination Required or ``OADR'' shall be 
shown on the face of the document.
    (c) Requests for mandatory review for declassification of foreign 
government information shall be processed and acted upon in accordance 
with the provisions of Sec. 1203.603 except that foreign government 
information will be declassified only in accordance with the guidelines 
developed for that purpose under Sec. 1203.702 and after consultation 
with other Government agencies with subject matter interest as 
necessary. In those cases where these guidelines cannot be applied to 
the foreign government information requested, the foreign originator 
normally should be consulted, through appropriate channels, prior to 
final action on the request. However, when the responsible NASA 
installation knows the foreign originator's view toward declassification 
or continued classification of the types of information requested, 
consultation with the foreign originator is not necessary.
    (d) Requests for mandatory review for declassification of foreign 
government information which NASA has not received or classified shall 
be referred to the Government agency having a primary interest. The 
requestor shall be advised of the referral.

[44 FR 34913, June 18, 1979, as amended at 48 FR 5893, Feb. 9, 1983]



 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  Delegations.

    (a) The NASA officials listed in paragraph (b) (1) and (2) of this 
section are authorized to make, modify, or eliminate security 
classification assignments to information under their jurisdiction for 
which NASA has original classification authority. Such actions shall be 
in accordance with currently applicable criteria, guidelines, laws, and 
regulations, and they shall be subject to any contrary determination 
that has been made by the Senior Agency Official for Classified National 
Security Information, or by any other NASA official authorized to make 
such a determination. The Director, Security Management Office, is 
designated to act as the Senior Agency Official for Classified National 
Security Information. The NASA officials listed in paragraph (b)(3) of 
the section are authorized to declassify top Secret security 
classification assignments over 25 years old to information under their 
jurisdiction for which NASA has original classification authority. The 
NASA officials listed in paragraphs (b)(4) of this section are 
authorized to declassify Secret and Confidential security classification 
assignments to information under their jurisdiction for which NASA has 
original classification authority.
    (b) Designated officials--(1) TOP SECRET Classification Authority. 
(i) Administrator.
    (ii) Deputy Administrator.
    (iii) Associate Deputy Administrator.
    (iv) Associate Deputy Administrator (Technical).
    (v) Senior Agency Official for Classified National Security 
Information.
    (2) SECRET and CONFIDENTIAL Classification Authority. Officials 
listed in paragraph (b)(1) of this section.
    (3) Declassification Authority, Top Secret Assignments over 25 years 
Old. (i) Agency Security Program Manager, NASA Headquarters.
    (ii) Such other officials as may be delegated declassification 
authority, in

[[Page 27]]

writing, by the Senior Agency Official for Classified National Security 
Information.
    (4) Declassification Authority, Secret and Confidential. (i) 
Security Administrative Team Leader, Headquarters NASA.
    (ii) Such other officials as may be delegated declassification 
authority, in writing, by the Senior Agency Official for Classified 
National Security Information.
    (c) Written requests for original classification authority or 
declassification authority shall be forwarded to the Senior Agency 
Official for Classified National Security Information, with appropriate 
justification appended thereto.
    (d) The Senior Agency Official for Classified National Security 
Information shall maintain a list of all delegations of original 
classification of declassification authority by name or title of the 
position held.
    (e) The Senior Agency Official for Classified National Security 
Information shall conduct a periodic review of delegation lists to 
ensure that the officials so designated have demonstrated a continuing 
need to exercise such authority.
    (f) Original classification authority shall not be delegated to 
persons who only reproduce, extract, or summarize classified 
information, or who only apply classification markings derived from 
source material or as directed by a classification guide.



Sec. 1203.801  Redelegation.

    Redelegation of TOP SECRET, SECRET, or CONFIDENTIAL original 
classification authority or declassification authority is not 
authorized.



Sec. 1203.802  Reporting.

    The officials to whom original classification authority has been 
delegated under this section shall ensure that feedback is provided to 
the Senior Agency Official for National Security Information. The Senior 
Agency Official for National Security Information shall keep the 
Administrator currently informed of all significant actions, problems, 
or other matters of substance related to the exercise of the authority 
delegated hereunder.



         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 12958, ``National Security 
Information,'' and the National Aeronautics and Space Act of 1958, as 
amended, there is established a NASA Information Security Program 
Committee (hereinafter referred to as the Committee) as part of the 
permanent administrative structure of NASA. The Director, NASA Security 
Management Office, is designated to act as the Chairperson of the 
Committee. The Senior Security Specialist, NASA Security Management 
Office, is designated to act as the Committee Executive Secretary.

[64 FR 72535, Dec. 28, 1999]



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 NASA Security Office, NASA Headquarters, will provide staff 
assistance, and investigative and support services for the Committee.



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.

[[Page 28]]

    (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 by 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.



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: 18 U.S.C. 799.

    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 installations and component installations in order to 
provide appropriate and adequate protection for facilities, property, or 
classified information and material in the possession or custody of NASA 
or NASA contractors located at NASA installations and component 
installations.
    (b) This part 1203a 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.



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 information 
and material in the possession or custody of NASA or a NASA contractor 
located at a NASA installation or component installation, entry to which 
is subject to security measures, procedures, or controls. Security areas 
which may be established are:
    (1) Restricted area. An area wherein security measures are applied 
primarily for the safeguarding or the administrative control of property 
or to protect operations and functions which are vital or essential to 
the accomplishment of the mission assigned to a NASA installation or 
component installation.
    (2) Limited area. An area wherein security measures are applied 
primarily for the safeguarding of classified information and material or 
unclassified property warranting special protection and in which the 
uncontrolled movement of visitors would permit access to such classified 
information and material or property, but within which area such access 
may be prevented by appropriate visitor escort and other internal 
restrictions and controls.
    (3) Closed area. An area wherein security measures are applied 
primarily for the purpose of safeguarding classified information and 
material; entry to the area being equivalent, for all practical 
purposes, to access to such classified information and material.
    (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 on an interim basis, 
pending approval of its establishment as a permanent security area.
    (c) Permanent security area. A designated security area, the need 
for

[[Page 29]]

which will exceed 30 days from date of establishment.



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

    (a) Establishment. (1) Directors of NASA field and component 
installations, and the Director of Headquarters Administration for NASA 
Headquarters (including component installations) may establish, 
maintain, and protect such areas as restricted, limited, or closed 
depending upon the opportunity available to unauthorized persons either 
to:
    (i) Obtain knowledge of classified information,
    (ii) Damage or remove property, or to
    (iii) Disrupt Government operations.
    (2) The concurrence of the Director of Security NASA Headquarters, 
will be obtained prior to the establishment of a permanent security 
area.
    (3)(i) As a minimum, the following information will be submitted to 
the Director of Security 15 workdays prior to establishment of each 
permanent security area:
    (a) The name and specific location of the NASA field or component 
installation, 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 installation or component installation.
    (c) Designation desired: i.e., restricted, limited, or closed.
    (d) Specific purpose(s) for the establishment of a security area.
    (ii) For those areas currently designated by the installation as 
``permanent security areas,'' the information set forth in paragraph 
(d)(3)(i) of this section will be furnished to the Security Division, 
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. As 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 Director of 
Security, 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 installation or component installation.
    (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 Director of 
Security will be informed of permanent security area revocations within 
15 workdays.



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) Restricted 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 involved or be the recipient of a 
satisfactorily completed 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) Closed area. Possess a security clearance equal to the 
classified information or material involved.
    (b) The directors of NASA field and component installations, and the 
Director of Headquarters Administration for NASA Headquarters (including 
component installations) may rescind previously granted authorizations 
to enter a security area when an individual's continued presence therein 
is no

[[Page 30]]

longer required, threatens the security of the property therein, or is 
disruptive of Government operations.



Sec. 1203a.104  Violation of security areas.

    (a) Removal of unauthorized persons. The directors of NASA field and 
component installations (or their designees) and the Director of 
Headquarters Administration for NASA Headquarters (including component 
installations) or his designee 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 restricted, limited, or closed 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.



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

    If a Director of a NASA field or component installation 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 
Security Division (Code DHZ), NASA Headquarters, in accordance with NASA 
Management Instruction 1410.10 for processing.



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: Sec. 304(f) of the National Aeronautics and Space Act of 
1958 (42 U.S.C. 2456a).

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



Sec. 1203b.100  Purpose.

    This regulation implements section 304(f) of the National 
Aeronautics and Space Act of 1958, as amended (42 U.S.C. 2456a), by 
establishing guidelines for the exercise of arrest authority and for the 
exercise of physical force, including deadly force, in conjunction with 
such arrest authority.



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 42 U.S.C. 2456a and this regulation.



Sec. 1203b.102  Definitions.

    Accredited Course of Training. A course of instruction offered by 
the Federal Law Enforcement Training Center, 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 about 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 tiers.



Sec. 1203b.103  Arrest authority.

    (a) NASA security force personnel may exercise arrest authority, 
provided that:
    (1) They graduate from an accredited training course (see Sec. 
1203b.102(a)); and
    (2) They have been certified in writing by the Associate 
Administrator for Management Systems and Facilities, or designee, as 
specifically authorized to exercise arrest authority.

[[Page 31]]

    (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 any offense against the United States; 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 
Installation Chief Counsel's Office, as appropriate, shall provide 
guidance as to the applicability of these regulations.



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

    (a) In making an arrest, the security force officer should announce 
his/her authority and that the person is under arrest prior to taking 
the person into custody. If the circumstances are such that making such 
announcements would be useless or dangerous to the security force 
officer or others, the security force officer may dispense with these 
announcements.
    (b) The security force officer 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) After the arrest is effected, the arrested person shall be 
advised of his/her constitutional right against self-incrimination. If 
the circumstances are such that making such advisement is dangerous to 
the officer or others, this requirement may be postponed until the 
immediate danger has passed. However, no interrogation of the individual 
may occur until he/she has been properly advised of his/her right 
against self-incrimination.
    (d) 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 that the person is brought before a 
magistrate without unnecessary delay.



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

    When a security force officer 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.



Sec. 1203b.106  Use of deadly force.

    Deadly force shall be used only in those circumstances where the 
security force officer reasonably believes that either he/she or another 
person is in imminent danger of death or serious bodily harm.



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 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 officer discharges a weapon 
while in a duty status:
    (1) The incident shall be reported to the Installation Chief of 
Security who, in turn, will report it to the NASA Security Office as 
expeditiously as possible, with as many details supplied as are 
available.

[[Page 32]]

    (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 
Installation Director or the Associate Administrator for Management 
Systems and Facilities deems appropriate, pending investigation of the 
incident.
    (3) The cognizant Installation Director, or for incidents occurring 
at NASA Headquarters, the Associate Administrator for Management Systems 
and Facilities, 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 Associate Administrator for Management 
Systems and Facilities.
    (4) Upon conclusion of the investigation, the Installation Director 
or the Associate Administrator for Management Systems and Facilities, 
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 the issuance 
of firearms and ammunition.

[57 FR 4926, Feb. 11, 1992, as amended at 58 FR 5263, Jan. 21, 1993]



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 
Headquarters and Field Installations.
    (c) The Associate Administrator for Management Systems and 
Facilities, 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 knowledge and skill in the use of unarmed defense 
techniques and their assigned firearms.
    (d) The Associate Administrator for Management Systems and 
Facilities, or designee, will also:
    (1) Provide periodic refresher training to ensure continued 
proficiency and updated knowledge as to the use of unarmed defense 
techniques;
    (2) Require security force officers exercising arrest authority to 
requalify semiannually with their assigned firearms; and
    (3) Require periodic refresher training to ensure continued 
familiarity with regulations.
    (e) The Associate Administrator for Management Systems and 
Facilities and Installation Directors shall issue local management 
instructions, subject to prior NASA Headquarters approval, which will 
supplement this regulation for Headquarters/Installation-specific 
concerns.

[57 FR 4926, Feb. 11, 1992, as amended at 58 FR 5263, Jan. 21, 1993]



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, do not, 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.



PART 1204--ADMINISTRATIVE AUTHORITY AND POLICY--Table of Contents




Subparts 1-3 [Reserved]

[[Page 33]]

                    Subpart 4--Small Business Policy

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

                 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 Delegation of authority to license the use of the Centennial of 
          Flight Commission name.
1204.507 [Reserved]
1204.508 Delegation of authority of certain civil rights functions to 
          Department of Health, Education, and Welfare.
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.

Subparts 11-13 [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 Memordanda 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.

[[Page 34]]



Sec. 1204.401  Policy.

    (a) It is the policy of NASA to enable small business concerns 
(including small women-owned businesses), Historically Black Colleges 
and Universities, and other minority educational institutions the 
opportunity to participate equitably and proportionately in its total 
purchases and contracts consistent with NASA's needs to execute its 
missions.
    (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 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 
in research and development work for NASA be expanded and that there be 
an increase in the extent of participation in such work by competent 
small and small disadvantaged business firms.



Sec. 1204.402  Responsibilities.

    (a) Office of Small and Disadvantaged Business Utilization (OSDBU). 
The Associate Administrator for Small and Disadvantaged Business 
Utilization, NASA Headquarters, is responsible for the development, 
supervision, and coordination of the NASA Small Business Program. The 
Associate Administrator is also responsible for formulating policy and 
procedures relating to small business, and representing NASA before 
other Government agencies on matters primarily affecting small business.
    (b) NASA Headquarters and Field Installations. The Directors of 
Field Installations and the Associate Administrator for Procurement at 
Headquarters will designate a qualified individual as a ``Small Business 
Specialist'' to provide a central point of contact to which small and 
small disadvantaged business concerns may direct inquiries concerning 
participation in the NASA procurement program, or secure assistance in 
submitting bids or proposals and performance of contracts. Where the 
Director of the Field Installation considers that the volume of 
procurement at the Installation does not warrant a full-time Small 
Business Specialist, the Director may assign such duties to qualified 
procurement personnel on a part-time basis. NASA Field Installations 
shall establish and maintain liaison with the Small Business 
Administration (SBA) Procurement Center Representative (PCR) or the 
appropriate Small Business Administration Regional Office in matters 
relating to Field Installation procurement activities. A Small Business 
Technical Advisor shall be assigned to each contracting activity within 
the agency to which the SBA has assigned a PCR.



Sec. 1204.403  General requirements.

    (a) All proposed procurement transactions in excess of $25,000 shall 
be examined by a Small Business Specialist prior to issuance of bids or 
requests for proposals to determine suitability for small participation 
or set-asides, unless the transaction has already been set-aside for 
small business by the contracting officer.
    (b) The appropriate office of the Small Business Administration 
(assigned PCR) shall be informed of proposed procurements estimated to 
exceed $25,000.
    (c) A Bidder's list shall be maintained at each Field Installation 
on a current basis and reviewed to ensure that small business firms are 
given an equitable opportunity to participate in those procurements 
suitable for performance by such firms. Installations may use, at their 
option, the SBA Procurement Automated Source System (PASS) in lieu of 
the separate Center Bidder's list, if resources can be conserved.
    (d) NASA Small Business Specialists shall acquire descriptive data, 
brochures, or other information concerning small business firms that 
appear competent to perform research and development (R&D) work in 
fields in which NASA is interested and furnish such information to 
appropriate NASA personnel for consideration of

[[Page 35]]

these firms in future R&D procurements. The Small Business Specialists 
at Headquarters and Field Installations shall assist and consult, as 
necessary, with NASA technical personnel in analyzing such information, 
arranging field inspection of facilities, making appointments for 
technical personnel with representatives of small business firms, and 
obtaining from other agencies appraisals of work performance by such 
firms. When feasible, Small Business Specialists shall conduct or 
participate in outreach conferences and training sessions to inform 
small businesses of contracting opportunities with the Agency.
    (e) In accordance with Public Law 95-507, NASA will require 
contractors having contracts in excess of $1 million for the 
construction of any public facility, and in excess of $500,000 for all 
other contracts, and of such nature as to afford opportunities for 
subcontracting in substantial amounts, to establish and conduct small 
business subcontracting programs. Such programs will be periodically 
reviewed by NASA Small Business Specialists to evaluate their adequacy.
    (f) NASA will encourage competent small business concerns to submit 
unsolicited proposals for research and development work in areas within 
NASA's responsibility, which may lead to contracts for such work. The 
formation of contractor pools or joint ventures to perform research and 
development work will also be encouraged.
    (g) NASA Small Business Specialists will disseminate to small 
business concerns information concerning inventions for which NASA holds 
patents on behalf of the United States and under which it is NASA policy 
to grant licenses.
    (h) Small business participation in NASA procurement shall be 
accurately measured, recorded, and publicized.
    (i) NASA small business personnel shall assist small business 
concerns to obtain payments under their contracts, late payment interest 
penalties, or information due to such concerns.



                 Subpart 5--Delegations and Designations

    Authority: 42 U.S.C. 2473; 36 U.S.C. 143.



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 Associate Administrator for 
Management Systems and Facilities and the Director, Facilities 
Engineering 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 (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,

[[Page 36]]

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]



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 Associate Administrator for 
Management Systems and Facilities and the Director, Facilities 
Engineering 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) The Directors of Field Installations 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) The Directors of Field Installations may redelegate this 
authority to only two senior management officials of the appropriate 
field installation.
    (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 Director of the Field Installation 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.
    (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;

[[Page 37]]

    (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 Associate Administrator for Management 
Systems and Facilities, the Director, Facilities Engineering Division, 
or the appropriate Director of the Field Installation 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 Associate Administrator 
for Management Systems and Facilities, the Director, Facilities 
Engineering Division, or the appropriate Director of the Field 
Installation, 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 Director of a Field Installation 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 
Associate Administrator for Management Systems and Facilities or the 
Director, Facilities Engineering Division.
    (h) Services of the Corps of Engineers. In exercising the authority 
herein granted, the Directors of Field Installations, 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, Facilities Operations and Maintenance Branch (Code 
JXG), Facilities Engineering Division, Washington, DC 20546.

[51 FR 26860, July 28, 1986, as amended at 56 FR 57592, Nov. 13, 1991]



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 Associate 
Administrator for Management Systems and Facilities and the Director, 
Facilities Engineering 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) The Directors of Field Installations 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 (i) excess within the meaning of 40 U.S.C. 472(e), or 
(ii) proposed for use by a NASA exchange and subject to the provisions 
of NASA Management Instruction 9050.6, NASA Exchange Activities.
    (2) The Directors of Field Installations may redelegate this 
authority to only two senior management officials of the Field 
Installation concerned.
    (e) Restrictions. Except as otherwise specifically provided, no 
leasehold, permit, or license shall be granted under

[[Page 38]]

the authority stated in paragraph (d) of this section unless:
    (1) The Director of the Field Installation 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 Associate Administrator for Management 
Systems and Facilities, the Director, Facilities Engineering Division, 
or the Director of the Field Installation 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 Associate Administrator 
for Management Systems and Facilities, the Director, Facilities 
Engineering Division, or the Director of the Field Installation 
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 Director 
of a Field Installation 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 Management 
Systems and Facilities or the Director, Facilities Engineering Division.
    (g) Services of the Corps of Engineers. In exercising the authority 
herein granted, the Directors of Field Installations, 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 
Administrator, Facilities Operations and Maintenance Branch (Code JXG), 
Facilities Engineering Division, Washington, DC 20546.

[51 FR 27528, Aug. 1, 1986, as amended at 56 FR 57592, Nov. 13, 1991]



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 (Office of the Administrator section of NASA Form 955) 
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]

[[Page 39]]



Sec. 1204.506  Delegation of authority to license the use of the Centennial of Flight Commission name.

    (a) Delegation of authority. The Assistant Administrator for Public 
Affairs is delegated the authority of section 9 of the Centennial of 
Flight Commemoration Act, as amended (Pub. L. 105-389) to license the 
use of the Centennial of Flight Commission name on any logo, emblem, 
seal, or descriptive or designating mark adopted for use by the 
Administrator in commemorating the centennial of powered flight.
    (b) Redelegation. The authority delegated in paragraph (a) of this 
section may not be redelegated.

[67 FR 47257, July 18, 2002]



Sec. 1204.507  [Reserved]



Sec. 1204.508  Delegation of authority of certain civil rights functions to Department of Health, Education, and Welfare.

    (a) Pursuant to the authority of Sec. 1250.111(c) of this chapter, 
the following responsibilities of the National Aeronautics and Space 
Administration and of the responsible NASA official under Title VI, 
Civil Rights Act of 1964 (78 Stat. 252) (42 U.S.C. 2000d), with respect 
to institutions of higher education were delegated by the Administrator, 
NASA, to the Secretary, Department of Health, Education, and Welfare, on 
March 15, 1966:
    (1) Responsibilities with respect to compliance reports, including 
receiving and evaluation thereof under Sec. 1250.105(b) of this 
chapter, and other actions under Sec. 1250.105 of this chapter.
    (2) All actions under Sec. 1250.106 of this chapter, including 
periodic compliance reviews, receiving of complaints, investigations, 
determination of recipient's apparent failure to comply, and resolution 
of matters by informal means.
    (b) NASA specifically has reserved to itself the responsibilities 
for effectuation of compliance under Sec. Sec. 1250.107, 1250.108, and 
1250.109 of this chapter.
    (c) The responsibilities so delegated were and are to be exercised 
in accordance with the ``Plan for Coordinated Enforcement Procedures for 
Higher Education'' (dated February 1966), developed by interested 
Government agencies and approved by the Department of Justice; and 
redelegation by the Secretary to other officials of the Department of 
Health, Education, and Welfare was authorized.
    (d) NASA has retained the right to exercise these responsibilities 
itself in special cases with the agreement of the appropriate official 
in the Department of Health, Education, and Welfare. The Office of 
Grants and Research Contracts, NASA Headquarters, has been designated to 
represent NASA in carrying out the provisions of this delegation.

[32 FR 3883, Mar. 9, 1967]



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 Director, Industrial Relations 
Office, 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 Conract 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]

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: 42 U.S.C. 2455.

[[Page 40]]


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



Sec. 1204.1000  Scope of subpart.

    This subpart establishes NASA policy and prescribes minimum 
procedures concerning the inspection of persons and property in their 
possession while entering, or on, or exiting NASA real property or 
installations (including NASA Headquarters, 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 installation.



Sec. 1204.1001  Policy.

    (a) In the interest of national security, NASA will provide 
appropriate and adequate protection or security for personnel, property, 
installations (including NASA Headquarters, 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 from, any NASA installation.
    (b) It is determined that this policy is intended to comply with the 
heightened security measures for installations owned or occupied by 
Federal agencies (in this case NASA), to mitigate threats to such 
installations and to better protect the persons and property thereon.



Sec. 1204.1002  Responsibility.

    The NASA Center Directors and the Associate Administrator 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.



Sec. 1204.1003  Procedures.

    (a) All entrances to NASA real property or installations (including 
NASA Headquarters, 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 installation 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.
    (b) Only NASA security personnel or members of the installation's 
uniformed security force will conduct inspections pursuant to this 
subpart. Such inspections will be conducted in accordance with 
guidelines established by the Director, Security Management Office, NASA 
Headquarters.
    (c) If an individual does not consent to an inspection, it will not 
be conducted, but the individual will be denied admission to, or be 
escorted off the installation.
    (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 installation, the individual will be denied 
admission to or be escorted off the installation, 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 installation. The 
individual relinquishing the property will be provided with a receipt 
for the property.



Sec. 1204.1004  Trespass.

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



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

    (a) The unauthorized carrying, transporting, or otherwise 
introducing or

[[Page 41]]

causing to be introduced, or using firearms or other dangerous weapons, 
explosives or other incendiary devices, or other dangerous instrument, 
substance, or material likely to produce substantial injury or damage to 
persons or property, into or upon NASA real property, facility, or 
installation, is prohibited.
    (b) Paragraph (a) of this section 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 installation after written prior approval has been obtained 
from the installation Security Office in connection with sanctioned 
hunting, range practice, or other lawful purpose.



Sec. 1204.1006  Violations.

    Please take notice that 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.

Subparts 11-13 [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).

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



Sec. 1204.1400  Scope.

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



Sec. 1204.1401  Definitions.

    For the purpose of this subpart, the following definitions apply:
    (a) NASA Airfield Facility. Those aeronautical facilities owned and 
operated by NASA that consist of the following:
    (1) Shuttle Landing Facility. The aeronautical facility which is a 
part of the John F. Kennedy Space Center (KSC), Kennedy Space Center, 
Florida, and is located at 8041[min] west longitude and 
2837[min] north latitude.
    (2) Wallops Airport. The aeronautical facility which is part of the 
Wallops Flight Facility (WFF), Wallops Island, VA, and is located at 
7528[min] west longitude and 3756[min] 
north latitude in the general vicinity of Chincoteague, Virginia.
    (3) Moffett Federal Airfield (MFA). The aeronautical facility which 
is part of the Ames Research Center, Moffett Field, California, and is 
located at 12203[min] west longitude and 
3725[min] north latitude.
    (4) Crows Landing Airport. The aeronautical facility which is a part 
of the Crows Landing Flight Facility (CLEF) and is located at 
12106[min] west longitude and 3725[min] 
north latitude, 45 miles east of the Ames Research Center.
    (b) Aircraft not Operated for the Benefit of the Federal Government. 
Aircraft which are not owned or leased by the United States Government 
or aircraft carrying crew members or passengers

[[Page 42]]

who do not have official business requiring the use of a NASA airfield 
facility in the particular circumstance in question.
    (c) Official Business. Business, in the interest of the U.S. 
Government, which personnel aboard an aircraft must transact with U.S. 
Government personnel or organizations at or near a NASA facility. The 
use of a NASA airfield facility by transient aircraft to petition for 
U.S. Government business or to obtain clearance, servicing, or other 
items pertaining to itinerant operations is not considered official 
business.
    (d) User. An individual partnership or corporation owning, 
operating, or using an aircraft not operated for the benefit of the 
Federal Government in whose name permission to use a NASA airfield 
facility is to be requested and granted.
    (e) Hold Harmless Agreement. An agreement executed by the user by 
which the user acknowledges awareness of the conditions of the 
permission to use a NASA airfield facility, assumes any risks connected 
therewith, and releases the U.S. Government from all liability incurred 
by the use of such facility.
    (f) Use Permit. The written permission signed by the authorized 
approving official to land, take off, and otherwise use a NASA airfield 
facility. Such use permit may be issued for single or multiple 
occasions. The specific terms of the use permit and the provisions of 
this subpart govern the use which may be made of the airport by aircraft 
not operated for the benefit for the Federal Government.
    (g) Certificate of Insurance. A certificate signed by an authorized 
insurance company representative (or a facsimile of an insurance policy) 
evidencing that insurance is then in force with respect to any aircraft 
not operated for the benefit of the Federal Government, the user of 
which is requesting permission to use a NASA airfield facility (see 
Sec. 1204.1404(b)).

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



Sec. 1204.1402  Policy.

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

[[Page 43]]

Administration (FAA) or other cognizant regulatory agency requirements.
    (g) Permission to use NASA airfields, except in connection with a 
declared in-flight emergency, will consist only of the right to land, 
park an aircraft, and subsequently take off. NASA is not equipped to 
provide any other services such as maintenance or fuel and such services 
will not be provided except following an in-flight emergency.



Sec. 1204.1403  Available airport facilities.

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

[[Page 44]]

    (5) Hazards. Numerous towers in airport vicinity up to 241 feet 
above ground level. Existing tree obstructions are located 1500 feet 
west of runway 10 threshold. High shore bird population exists in the 
Wallops area. Deer occasionally venture across runways. Light-controlled 
traffic crossovers are in existence. Potential radio frequency (RF) 
hazards exist from tracking radars. Hazards involving aircraft and 
rocket launch operations exist when Restricted Area R-6604 is active.
    (6) Emergency Equipment. Aircraft rescue and fire-fighting equipment 
is normally available on a continuous basis.
    (c) Moffett Federal Airfield--(1) Runways. There are two parallel 
runways, 32-14, both in satisfactory to good condition. The runways and 
taxiways are concrete and/or asphalt. Runway 32R-14L is 9,200 feet long, 
200 feet wide; 32L-14R is 8,125 feet long, 200 feet wide with a 600 foot 
displaced threshold on 32L.
    (2) Parking Areas and Hangar Space. Hangar space is not available; 
concrete parking ramp space is available as directed by the control 
tower.
    (3) Control Tower. The control tower normally operates from 0700 to 
2300 local time, 7 days a week, excluding Federal holidays. The tower 
frequencies are 126.2 Mhz, 353.2 Mhz, and 340.2 Mhz. When the tower is 
operating, FAA regulations pertaining to the operation of aircraft at 
airports with an operating tower (Sec. 91.87 of this title) will apply. 
When the tower is not in operation, all aircraft operations will be 
conducted by Moffett UNICOM on the tower frequency. FAA regulations 
pertaining to the operation of aircraft at airports without an operating 
control tower (Sec. 91.89 of this title) will apply.
    (4) Navigation Aids. An Instrument Landing System (ILS) is 
installed. An ILS/DME approach to runway 32R and an LOC/DME approach to 
runway 14L are published in DOD Flight Information Publication 
(Terminal), Low Altitude United States, Volume 2. ILS frequency is 
110.35 Mhz, identifiers are Runway 32R, I-NUQ; Runway 14L, I-MNQ; 
Tactical Airborne Navigation (TACAN) (DME) is Channel 123, identifier is 
NUQ. Precision Approach Path Indicators (PAPI) are to be installed by 
July 1, 1995, to provide visual reference for the ILS and LOC approaches 
to runways 32R and 14L. A TACAN with approved and published approaches 
is operational at the facility (identification is NUQ, Channel 123). A 
Radio Controlled Lighting System (RCLS) is operational for the runway 
lights on 32R-14L; 3 clicks within 5 seconds, low intensity; 5 clicks, 
medium intensity; 7 clicks, high intensity (tower frequency, 126.2 Mhz). 
Lights automatically extinguish after 15 minutes.
    (5) Hazards. Large blimp hangars (approximately 200 feet high) 
bracket the parallel runways, one on the west side, two on the east 
side. A freeway at the approach end of 32L displaces the threshold 600 
feet.
    (6) Emergency Equipment. Aircraft Rescue and Fire Fighting (ARFF) 
equipment is provided by the California Air National Guard continuously 
in accordance with U.S. Air Force Regulations.
    (d) Crows Landing Airport--(1) Runways. There are two concrete 
runways, 35-17 and 30-12, both in satisfactory condition. Parallel 
taxiways are asphalt overlay or concrete. Runway 35-17 is 7,950 feet 
long, 200 feet wide; runway 30-12 is 6,975 feet long, 200 feet wide.
    (2) Parking Areas and Hangar Space. Hangars/hangar space do not 
exist; concrete parking ramp space is available as directed by the 
control tower.
    (3) Control Tower. The control tower normally operates only when 
research flight is scheduled by NASA-Ames. The airfield is closed at all 
other times except as arranged by other Federal users with the Chief, 
Airfield Management Office, Moffett Federal Airfield. The tower 
frequencies are 125.05 Mhz, 126.2 Mhz, 328.1 Mhz, and 337.8 Mhz. When 
the tower is operating, FAA regulations pertaining to the operation of 
aircraft at airports with an operating tower (Sec. 91.87 of this title) 
will apply. When the tower is not operating, all aircraft operations 
will be conducted with Crows Landing UNICOM on the primary tower 
frequency. FAA regulations pertaining to the operation of aircraft at 
airports without an operating control tower (Sec. 91.89 of this title) 
will apply.
    (4) Navigation Aids. Crows Landing Airport is a VFR facility. No 
certified

[[Page 45]]

NAVAIDS or published approach procedures exist.
    (5) Hazards. Crows Landing Airport is located in an agricultural 
area. No obstructions exist within or immediately adjacent to the 
airspace. The most persistent potential hazard is that of agricultural 
aircraft (crop dusters) without radios which transit the airspace.
    (6) Emergency Equipment. Aircraft Rescue and Fire Fighting (ARFF) 
equipment and services are provided by the California Air National Guard 
only during published hours of operation.
    (e) Other Facilities. No facilities or services other than those 
described above are available except on an individual emergency basis to 
any user.
    (f) Status of Facilities. Changes to the status of the KSC, WFF, 
MFA, and CLFF facilities will be published in appropriate current FAA or 
DOD aeronautical publications.

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



Sec. 1204.1404  Requests for use of NASA airfield facilities.

    (a) Request for use of a NASA airfield, whether on a one time or 
recurring basis, must be in writing and addressed to the appropriate 
NASA facility, namely:
    (1) Shuttle Landing Facility. Director of Center Support Operations, 
John F. Kennedy Space Center, Kennedy Space Center, Florida 32899.
    (2) Wallops Airport. Director of Suborbital Projects and Operations, 
Goddard Space Flight Center, Wallops Flight Facility, Wallops Island, 
Virginia 23337.
    (3) Moffett Federal Airfield and Crows Landing Flight Facility. 
Chief, Airfield Management Office, Ames Research Center, Mail Stop 158-
1, Moffett Field, California 94035-1000.
    (b) Such requests will:
    (1) Fully identify the prospective user and aircraft.
    (2) State the purpose of the proposed use and the reason why the use 
of the NASA airfield is proposed rather than a commercial airport.
    (3) Indicate the expected annual use, to include number and 
approximate date(s) and time(s) of such proposed use.
    (4) State that the prospective user is prepared to fully comply with 
the terms of this subpart 14 and the use permit which may be issued.
    (c) Upon receipt of the written request for permission to use the 
airport, the NASA official designated by each facility will request 
additional information, if necessary, and forward both this regulation 
and the required Hold Harmless Agreement for execution by the requestor 
or forward, where appropriate, a denial of the request.
    (d) The signed original of the Hold Harmless Agreement shall be 
returned to the designated NASA official, and a copy retained in the 
aircraft at all times. Such copy shall be exhibited upon proper demand 
by any designated NASA official.
    (e) At the same time that the prospective user returns the executed 
original of the Hold Harmless Agreement, the user shall forward to the 
designated NASA official the required Certificate of Insurance and 
waiver of rights to subrogation. Such certificate shall evidence that 
during any period for which a permit to use is being requested, the 
prospective user has in force a policy of insurance covering liability 
in amounts not less than those listed in the Hold Harmless Agreement.
    (f) When the documents (in form and substance) required by 
paragraphs b through e of this section have been received, they will be 
forwarded with a proposed use permit to the approving authority for 
action.
    (g) The designated NASA official will forward the executed use 
permit or notification of denial thereof to the prospective user after 
the approving authority has acted.

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



Sec. 1204.1405  Approving authority.

    The authority to establish limitations and procedures for use of a 
NASA airfield, as well as the authority to approve or disapprove the use 
of the NASA airfield facilities subject to the terms and conditions of 
this subpart and any supplemental rules or procedures established for 
the facility is vested in:

[[Page 46]]

    (a) Shuttle Landing Facility. Director of Center Support Operations, 
Kennedy Space Center, NASA.
    (b) Wallops Airport. Director of Suborbital Projects and Operations, 
Goddard Space Flight Center, Wallops Flight Facility, NASA.
    (c) Moffett Federal Airfield and Crows Landing Flight Facility. 
Chief, Airfield Management Office, Ames Research Center, NASA.

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



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

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



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

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

    Editorial Note: For additional information, see related documents 
published at 47 FR 57369, December 23, 1982, 48 FR 17101, April 21, 
1983, and 48 FR 29096, June 24, 1983.



Sec. 1204.1501  Purpose.

    (a) The regulations in this part implement Executive Order 12372, 
``Intergovernmental Review of Federal Programs,'' issued July 14, 1982, 
and amended on April 8, 1983. These regulations also implement 
applicable provisions of section 401 of the Intergovernmental 
Cooperation Act of 1968, as amended.

[[Page 47]]

    (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 48]]


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 49]]

    (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]

    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 50]]



PART 1206--AVAILABILITY OF AGENCY RECORDS TO MEMBERS OF THE PUBLIC--Table of Contents




Sec.

                        Subpart 1-- Basic Policy

1206.100 Scope of part.
1206.101 Definitions.
1206.102 General policy.

                      Subpart 2--Records Available

1206.200 Types of records to be made available.
1206.201 Records which have been published.
1206.202 Deletion of segregable portions of a record.
1206.203 Creation of records.
1206.204 Records of interest to other agencies.
1206.205 Incorporation by reference.
1206.206 Availability for copying.
1206.207 Copies.
1206.208 Release of exempt records.

                          Subpart 3--Exemptions

1206.300 Exemptions.
1206.301 Limitation of exemptions.

    Subpart 4--Location for Inspection and Request of Agency Records

1206.400 Information Centers.
1206.401 Location of NASA Information Centers.
1206.402 Documents available for inspection at NASA Information Centers.
1206.403 Duty hours.

                       Subpart 5--Responsibilities

1206.500 Associate Deputy Administrator.
1206.501 General Counsel.
1206.502 Centers and Components.
1206.503 NASA Headquarters.
1206.504 Inspector General.
1206.505 Delegation of authority.

                          Subpart 6--Procedures

1206.600 Requests for records.
1206.601 Mail, fax and e-mail requests.
1206.602 Requests in person.
1206.603 Procedures and time limits for initial determinations.
1206.604 Request for records that exist elsewhere.
1206.605 Appeals.
1206.606 Request for additional records.
1206.607 Actions on appeals.
1206.608 Time extensions in unusual circumstances.
1206.609 Litigation.
1206.610 Notice to submitters of commercial information.

             Subpart 7--Search, Review, and Duplication Fees

1206.700 Schedule of fees.
1206.701 Categories of requesters.
1206.702 Waiver or reduction of fees.
1206.703 Aggregation of requests.
1206.704 Advance payments.
1206.705 Form of payment.
1206.706 Nonpayment of fees.

           Subpart 8--Failure to Release Records to the Public

1206.800 Failure to release records to the public.

                        Subpart 9--Annual Report

1206.900 Requirements for annual report.

    Authority: 5 U.S.C. 552, 552a; 42 U.S.C. 2473.

    Source: 64 FR 39404, July 22, 1999, unless otherwise noted.



                         Subpart 1--Basic Policy



Sec. 1206.100  Scope of part.

    This Part 1206 establishes the policies, responsibilities, and 
procedures for the release of Agency records which are under the 
jurisdiction of the National Aeronautics and Space Administration, 
hereinafter NASA, to members of the public. This part applies to 
information and Agency records located at NASA Headquarters, at NASA 
Centers, and at NASA Component, as defined in Part 1201 of this chapter.



Sec. 1206.101  Definitions.

    For the purposes of this part, the following definitions shall 
apply:
    (a) The term Agency records or records means any information that 
would be an Agency record subject to the requirements of the Freedom of 
Information Act (FOIA) when maintained by NASA in any format, including 
an electronic format. Such information includes all books, papers, maps, 
photographs, or other documentary materials made or received by NASA in 
pursuance of Federal law or in connection with the transaction of public 
business and preserved by NASA as evidence of the organization, 
functions, policies, decisions, procedures, operations, or

[[Page 51]]

other activities or because of the informational value of data contained 
therein. It does not include tangible objects or articles, such as 
structures, furniture, paintings, sculptures, exhibits, models, vehicles 
or equipment; library or museum material made or acquired and preserved 
solely for reference or exhibition purposes; or records of another 
agency, a copy of which may be in NASA's possession.
    (b) The term initial determination means 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 Subpart 3 of this part.
    (c) The term appeal means a request by a member of the public, 
hereinafter requester, to the Administrator or designee, or, in the case 
of records as specified in Sec. 1206.504, to the Inspector General or 
designee for reversal of any adverse initial determination the requester 
has received in response to a request for an Agency record.
    (d) The term final determination means a decision by the 
Administrator or designee, or, in the case of records as specified in 
Sec. 1206.504, by the Inspector General or designee on an appeal.
    (e) The term working days means all days except Saturdays, Sundays, 
and Federal holidays.
    (f) As used in Sec. 1206.608, the term unusual circumstance means, 
but only to the extent reasonably necessary to the proper processing of 
a particular request for Agency records--
    (1) The need to search for and collect the requested records from 
NASA Centers or other establishments that are separate from the NASA 
Information Center processing the request (see Subpart 6 of this part 
for procedures for processing a request for Agency records);
    (2) The need to search for, collect, and appropriately examine a 
voluminous amount of separate and distinct records which are demanded in 
a single request; or
    (3) The need for consultation, which shall be conducted with all 
practicable speed, with another agency having a substantial interest in 
the determination of the request or among two or more components of NASA 
having substantial subject-matter interest therein.
    (g) A statute specifically providing for setting the level of fees 
for particular types of records (5 U.S.C. 552(a)(4)(A)(vi)) means any 
statute that specifically requires a government agency to set the level 
of fees for particular types of records in order to:
    (1) Serve both the general public and private sector organizations 
by conveniently making available government information;
    (2) Ensure that both groups and individuals pay the cost of 
publications and other services that are for their special use so that 
these costs are not borne by the general taxpaying public;
    (3) Operate, to the maximum extent possible an information 
dissemination activity on a self-sustaining basis (to the maximum extent 
possible); or
    (4) Return revenue to the Treasury for defraying, wholly or in part, 
appropriated funds used to pay the cost of disseminating government 
information.
    (h) The term direct costs means those expenditures that NASA 
actually incurs in searching for, duplicating, and downloading computer 
files and documents in response to a FOIA request. 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) and the cost of operating duplicating machinery. 
Direct costs do not include overhead expenses such as costs of space, 
heating, or lighting in the records storage facility.
    (i) The term 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 for Agency records 
that are responsive to the request may be accomplished by manual or 
automated means. NASA will make reasonable efforts to search for records 
in electronic form or format, except when such efforts would

[[Page 52]]

significantly interfere with the operation of NASA's automated 
information systems. NASA will ensure that searching for material is 
done in the most efficient, least expensive manner so as to minimize 
costs for both the Agency and the requester and will only utilize line-
by-line, page-by-page search when consistent with this policy. Search 
should be distinguished, however, from review of material in order to 
determine whether the material is exempt from disclosure (see paragraph 
(k) of this section).
    (j) The term duplication means the process of making a copy of a 
document in order to respond to a FOIA request. Such copies can take the 
form of paper copy, electronic forms, microfilm, audio-visual materials, 
or machine-readable documentation (e.g., magnetic tape on disk), among 
others.
    (k) The term review means the process of examining documents located 
in response to a request (see paragraph (l) of this section) to 
determine whether any portion of any document located is permitted to be 
withheld. It also includes processing any documents for disclosure, 
e.g., doing all that is necessary to excise them and otherwise prepare 
them for release. Review does not include time spent resolving general 
legal or policy issues regarding the application of exemptions.
    (l) The term commercial use request means a request from or on 
behalf of one whom seeks information for a use or purpose that furthers 
the commercial, trade, or profit interests of either the requester or 
the person on whose behalf the request is made. In determining whether a 
requester properly belongs in this category, NASA will look first to the 
use to which a requester will put the documents requested. When NASA has 
reasonable cause to doubt the use to which a requester will put the 
records sought or when the use is not clear from the request itself, 
NASA will ask the requester to further clarify the immediate use for the 
requested records. 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.
    (m) The term educational institution refers to a preschool, a public 
or private elementary or secondary school, an institution of graduate 
higher education, an institution of undergraduate higher education, an 
institution of professional education, and an institution of vocational 
education, operating a program or programs of scholarly research.
    (n) The term noncommercial scientific institution refers to an 
institution that is not operated on a commercial basis as that term is 
referenced in paragraph (l) of this section, and which is operated 
solely for the purpose of conducting scientific research, the results of 
which are not intended to promote any particular product or industry.
    (o) The term representative of the news media means any person 
actively gathering news for an entity that publishes, broadcasts, or 
makes news available to the public. The term news means information 
about events that would be of interest to the public. Examples of news 
media include, but are not limited to, television or radio stations 
broadcasting to the public at large, publishers of periodicals who make 
their products available for purchase or subscription by the general 
public (but only in those instances when they can qualify as 
disseminators of news), and entities that disseminate news to the 
general public through telephone, computer or other telecommunications 
methods. Moreover, as traditional methods of news delivery evolve (e.g., 
electronic dissemination of newspapers through telecommunications 
services), such alternative media would be included in this category. In 
the case of freelance journalists, they may be regarded as working for a 
news organization if they can demonstrate a solid basis for expecting 
publication through that organization, even though not actually employed 
by it. A publication contract would be the clearest proof, but NASA may 
also look to the past publication record of a requester in making this 
determination.
    (p) The term commercial information means, for the purpose of 
applying the notice requirements of Sec. 1206.610, information provided 
by a submitter and in the possession of NASA, that may arguably be 
exempt from disclosure

[[Page 53]]

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.
    (q) The term submitter means a person or entity that is the source 
of commercial information in the possession of NASA. The term submitter 
includes, but is not limited to, corporations, state governments, and 
foreign governments. It does not include other Federal Government 
agencies or departments.
    (r) The term compelling need means:
    (1) That a failure to obtain requested records on an expedited basis 
could reasonably be expected to pose an imminent threat to the life or 
physical safety of an individual; or
    (2) With respect to a request made by a person primarily engaged in 
disseminating information, urgency to inform the public concerning 
actual or alleged Federal government activity.
    (s) The term electronic reading room means a World Wide Web site 
from which members of the public can access information regarding 
activities, missions, organizations, publications, or other material 
related to NASA's congressional mandate.



Sec. 1206.102  General policy.

    (a) In accordance with section 203(a)(3) of the National Aeronautics 
and Space Act of 1958 (42 U.S.C. 2473(a)(3)), it has been and continues 
to be NASA policy to provide for the ``widest practicable and 
appropriate dissemination of information concerning its activities and 
the results thereof.''
    (b) In compliance with the Freedom of Information Act, as amended (5 
U.S.C. 552), a positive and continuing obligation exists for NASA to 
make available to the fullest extent practicable upon request by members 
of the public all Agency records under its jurisdiction, as described in 
Subpart 2 of this part, except to the extent that they may be exempt 
from disclosure under Subpart 3 of this part.



                      Subpart 2--Records Available



Sec. 1206.200  Types of records to be made available.

    (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 under Subpart 3 of this 
part, or unless they are promptly published and copies offered for sale, 
NASA shall make available the following records for public inspection 
and copying or purchase:
    (i) All final opinions (including concurring and dissenting 
opinions) and all orders made in the adjudication of cases;
    (ii) Those statements of NASA policy and interpretations which have 
been adopted by NASA and are not published in the Federal Register;
    (iii) Administrative staff manuals (or similar issuances) and 
instructions to staff that affect a member of the public;
    (iv) Copies of all records, regardless of form or format, which have 
been released to any person under subpart 6

[[Page 54]]

herein and which, because of the nature of their subject matter, the 
Agency determines have become or are likely to become the subject of 
subsequent requests for substantially the same records.
    (v) A general index of records referred to under paragraph 
(b)(1)(iv) of this section.
    (2) (i) For records created after November 1, 1997, which are 
covered by paragraph (b)(l)(i) through (b)(l)(v) of this section, such 
records shall be available electronically, through an electronic reading 
room 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 Subpart 3. 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 
under Subpart 3 of this part, or unless they may be purchased from other 
readily available sources, as provided in Sec. 1206.201.
    (2) Furthermore, at a minimum, NASA will maintain in its electronic 
reading room records created after November 1, 1997, under paragraphs 
(b)(1)(iv) and (v) and a guide for requesting records or information 
from NASA. Such guide shall include all NASA major information systems, 
a description of major information and record locator systems, and a 
handbook for obtaining various types and categories of NASA public 
information through the FOIA.



Sec. 1206.201  Records which have been published.

    Publication in the Federal Register is a means of making certain 
Agency records are available to the public. NASA has a FOIA Electronic 
Reading Room at NASA Headquarters and each of its Centers. Also, the 
Commerce Business Daily, Synopsis of U.S. Government Proposed 
Procurement, Sales and Contract Awards (Department of Commerce) is 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, the National Technical Information Service (Department of 
Commerce), and the Earth Resources Observation Systems Data 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. If a 
publication or document is readily available from a source other than 
NASA, the requester shall be informed of the procedures to follow to 
obtain the publication or document.



Sec. 1206.202  Deletion of segregable portions of a record.

    If a record requested by a member of the public contains both 
information required to be made available and that which is exempt from 
disclosure under Subpart 3 of this part, and the portion of the records 
that is required to be made available is reasonably segregable from the 
portion that is exempt, the portion that is exempt from disclosure shall 
be deleted and the balance of the record shall be made available to the 
requester. If the nonexempt portion of the record appears to be 
unintelligible or uninformative, the requester shall be informed of that 
fact, and such nonexempt portion shall not be sent to the requester 
unless thereafter specifically requested. If technically feasible, the 
amount of information deleted shall be indicated on the released portion 
of the record, unless including that indication would harm an interest 
protected by the exemption in Subpart 3 under which the deletion is 
made.

[[Page 55]]



Sec. 1206.203  Creation of records.

    Records will not be created by compiling selected items from the 
files at the request of a member of the public, nor will records be 
created to provide the requester with such data as ratios, proportions, 
percentages, frequency distributions, trends, correlations, or 
comparisons.



Sec. 1206.204  Records of interest to other agencies.

    If a NASA record is requested and another agency has a substantial 
interest in the record, such an agency shall be consulted on whether the 
record shall be made available under this part (see Sec. 
1206.101(f)(3)). If a record is requested that is a record of another 
agency, the request shall be returned to the requester, as provided in 
Sec. 1206.604(c) unless NASA has possession and control of the record 
requested.



Sec. 1206.205  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).



Sec. 1206.206  Availability for copying.

    Except as provided in Sec. 1206.201, the availability of a record 
for inspection shall include the opportunity to extract information 
therefrom or to purchase copies.



Sec. 1206.207  Copies.

    The furnishing of a single copy of the requested record will 
constitute compliance with this part.



Sec. 1206.208  Release of exempt records.

    If a record which has been requested is exempt from disclosure under 
Subpart 3 of this part, the record may nevertheless be made available 
under the procedures of Subpart 6 of this part if it is determined by an 
official authorized to make either an initial determination or a final 
determination that such action would not be inconsistent with a purpose 
of the exemptions set forth in Subpart 3 of this part.



                          Subpart 3--Exemptions



Sec. 1206.300  Exemptions.

    (a) Under 5 U.S.C. 552(b) Agency records falling within the 
exemptions of paragraph (b) of this section are not required to be made 
available under this part. Such records may nevertheless be made 
available if it is determined that such actions would not be 
inconsistent with a purpose of the exemption (see Sec. 1206.208).
    (b) The requirements of this part to make Agency records available 
do not apply to matters that are--
    (1)(i) Specifically authorized under criteria established by an 
Executive Order to be kept secret in the interest of national defense or 
foreign policy and
    (ii) Are in fact properly classified pursuant to such Executive 
Order;
    (2) Related solely to the internal personnel rules and practices of 
NASA;
    (3) Specifically exempted from disclosure by statute (other than 5 
U.S.C. 552), provided that such statute:
    (i) Requires that the matters be withheld from the public in such a 
manner as to leave no discretion on the issue, or
    (ii) Establishes particular criteria for withholding or refers to 
particular types of matters to be withheld;
    (4) Trade secrets and commercial or financial information obtained 
from a person which is privileged or confidential;
    (5) Interagency or intra-agency memoranda or letters which would not 
be available by law to a party other than an agency in litigation with 
NASA;
    (6) Personnel and medical files and similar files the disclosure of 
which would constitute a clearly unwarranted invasion of personal 
privacy;
    (7) Records or information compiled for law enforcement purposes, 
but only to the extent that the production of such law enforcement 
records or information--
    (i) Could reasonably be expected to interfere with enforcement 
proceedings,
    (A) Whenever a request is made which involves access to these 
records and--

[[Page 56]]

    (1) The investigation or proceeding involves a possible violation of 
criminal law; and
    (2) There is reason to believe that the subject of the investigation 
or proceeding is not aware of its pendency, and disclosure of the 
existence of the records could reasonably be expected to interfere with 
enforcement proceedings, the Agency may, during only such time as that 
circumstance continues, treat the records as not subject to the 
requirements of 5 U.S.C. 552.
    (B) [Reserved]
    (ii) Would deprive a person of a right to a fair trial or an 
impartial adjudication,
    (iii) Could reasonably be expected to constitute an unwarranted 
invasion of personal privacy,
    (iv) Could reasonably be expected to disclose the identity of a 
confidential source, including a State, local, or foreign agency or 
authority or any private institution which furnished information on a 
confidential basis, and, in the case of a record or information compiled 
by criminal law enforcement authority in the course of a criminal 
investigation or by an agency conducting a lawful national security 
intelligence investigation, information furnished by a confidential 
source. Whenever informant records maintained by a criminal law 
enforcement agency under an informant's name or personal identifier are 
requested by a third party according to the informant's name or personal 
identifier, the Agency may treat the records as not subject to the 
requirements of 5 U.S.C. 552 unless the informant's status as an 
informant has been officially confirmed.
    (v) Would disclose techniques and procedures for law enforcement 
investigations or prosecutions, or would disclose guidelines for law 
enforcement investigations or prosecutions if such disclosure could 
reasonably be expected to risk circumvention of the law, or
    (vi) Could reasonably be expected to endanger the life or physical 
safety of any individual.
    (8) Contained in or related to examination, operating, or condition 
reports prepared by, on behalf of, or for the use of an agency 
responsible for the regulation or supervision of financial institutions; 
or
    (9) Geological and geophysical information and data, including maps, 
concerning wells.



Sec. 1206.301  Limitation of exemptions.

    (a) This Part 1206 does not authorize the withholding of information 
or the availability of records to the public, except as specifically 
stated in this part.
    (b) Nothing in this part shall be construed as authority to withhold 
information from Congress.



    Subpart 4--Location for Inspection and Request of Agency Records



Sec. 1206.400  Information Centers.

    NASA will maintain Information Centers as set forth in this subpart.



Sec. 1206.401  Location of NASA Information Centers.

    (a) NASA will maintain the following Information Centers, at which 
Agency records may be inspected, from which copies of Agency records may 
be requested and at which copies of Agency forms may be obtained:
    (1) NASA Headquarters (HQ) Information Center, National Aeronautics 
and Space Administration, Washington, DC 20546.
    (2) NASA Information Center, Ames Research Center (ARC), Moffett 
Field, CA 94035.
    (3) NASA Information Center, Hugh L. Dryden Flight Research Center, 
(DFRC), Post Office Box 273, Edwards, CA 93523.
    (4) NASA Information Center, Glenn Research Center (GRC), 21000 
Brookpark Road, Cleveland, OH 44135.
    (5) NASA Information Center, Goddard Space Flight Center (GSFC), 
Greenbelt, MD 20771.
    (6) NASA Information Center, John F. Kennedy Space Center (KSC), 
Kennedy Space Center, FL 32899.
    (7) NASA Information Center, Langley Research Center (LaRC), Langley 
Station, Hampton, VA 23665.
    (8) NASA Information Center, Lyndon B. Johnson Space Center (JSC), 
2101 NASA Road 1, Houston, TX 77058.

[[Page 57]]

    (9) NASA Information Center, George C. Marshall Space Flight Center 
(MSFC), Huntsville, AL 35812.
    (10) NASA Information Center, John C. Stennis Space Center (SSC), MS 
39529.
    (11) NASA Information Center, NASA Management Office Jet Propulsion 
Laboratory (JPL), 4800 Oak Grove Drive, Pasadena, CA 91109.
    (12) NASA Information Center, Wallops Flight Facility (WFF), Wallops 
Island, VA 23337.
    (b) NASA Headquarters and each NASA Center also has a FOIA 
Electronic Reading Room on the Internet. The Uniform Resource Locator 
(URL) addresses are as follows:
    (1) (HQ) http://www.hq. nasa.gov/office/pao /FOIA/;
    (2) (ARC) http://george .arc.nasa.gov/dx /FOIA/elec.html;
    (3) (DFRC) http://www.dfrc. nasa.gov/FOIA/ readroom.html;
    (4) (GRC) http://www.grc. nasa.gov/WWW/FOIA/ ReadingRm.htm;
    (5) (GSFC) http://genesis.gsfc .nasa.gov//foia /read-rm.htm;
    (6) (JSC) http://www.jsc. nasa.gov/pao/public/foia /edocs.html;
    (7) (KSC) http://www-foia.ksc. nasa.gov/foia /READROOM.HTM;
    (8) (LaRC) http://foia.larc.nasa .gov /readroom.html;
    (9) (MSFC) http://www1.msfc.nasa. gov/FOIA/docs /docs.html and
    (10) (SSC) http://www.ssc.nasa.gov/foia/reading/
    (c) In addition a requester may submit a FOIA request 
electronically. The addresses are as follows: (HQ) foia@hq.nasa.gov; 
(ARC) foia@arc. nasa.gov; (DFRC) foia@dfrc.nasa .gov; (GRC) 
foia@grc.nasa .gov; (GSFC) foia@gsfc.nasa. gov; (JSC) foia@ems.jsc.nasa 
.gov; (KSC)FOIA@ksc.nasa. gov; (LaRC) foia@larc.nasa .gov; (MSFC) 
foia@msfc.nasa. gov and (SSC) foia@ssc.nasa. gov; and for Inspector 
General records, foiaoig@hq.nasa. gov.



Sec. 1206.402  Documents available for inspection at NASA Information Centers.

    (a) Each NASA Information Center will have available for inspection, 
as a minimum, a current version of the following documents:
    (1) 5 U.S.C. 552;
    (2) Title 14 CFR Chapter V, and Title 41 CFR Chapter 18, and 
material published in the Federal Register for codification but not yet 
included in the Code of Federal Regulations;
    (3) A master list and index of NASA Issuances, and a copy of all 
such issuances;
    (4) A list and index of the management issuances of the NASA Center 
at which the Information Center is located, and a copy of such 
issuances;
    (5) NASA's Scientific and Technical AeroSpace Reports and current 
indexes thereto;
    (6) Cumulative Index to Selected Speeches and News Releases issued 
by NASA Headquarters;
    (7) Index/Digest of Decisions, NASA Board of Contract Appeals;
    (8) Decisions of the NASA Contract Adjustment Board and a current 
index thereto;
    (9) Copies of Environmental Impact Statements filed by NASA under 
the National Environmental Policy Act of 1969;
    (10) Collection of all issues of ``NASA Activities'';
    (11) List of licenses granted under NASA-owned patents; and
    (12) A master list and an index of NASA Policy Directives, 
Guidelines, and Charters, and a copy of all such Directives, Guidelines, 
and Charters.
    (b) Because the indexes listed in paragraph (a) of this section are 
voluminous and because current versions thereof will be available for 
inspection at NASA Information Centers, from which copies of the indexes 
may be requested under Sec. 1206.603, it is determined and so ordered 
that publication of the indexes quarterly in the Federal Register would 
be unnecessary and impractical.

[[Page 58]]



Sec. 1206.403  Duty hours.

    The NASA Information Centers listed in Sec. 1206.401 shall be open 
to the public during all regular workdays, from 9 a.m. to 4 p.m.



                       Subpart 5--Responsibilities



Sec. 1206.500  Associate Deputy Administrator.

    Except as otherwise provided in Sec. 1206.504, the Associate Deputy 
Administrator or designee is responsible for the following:
    (a) Providing overall supervision and coordination of the 
implementation of the policies and procedures set forth in this Part 
1206;
    (b) After consultation with the General Counsel, making final 
determinations under Sec. 1206.607, within the time limits specified in 
Subpart 6 of this part;
    (c) Determining whether unusual circumstances exist under Sec. 
1206.608 as would justify the extension of the time limit for a final 
determination.



Sec. 1206.501  General Counsel.

    The General Counsel is responsible for the interpretation of 5 
U.S.C. 552 and of this part, and for the handling of litigation in 
connection with a request for an Agency record under this part.



Sec. 1206.502  Centers and Components.

    (a) Except as otherwise provided in Sec. 1206.504, the Director of 
each NASA Center or the Official-in-Charge of each Component, is 
responsible for the following:
    (1) After consultation with the Chief Counsel or the Counsel charged 
with providing legal advice to a Center or a Component Facility, making 
initial determinations under Sec. 1206.603 and Sec. 1206.604;
    (2) Determining whether unusual circumstances exist under Sec. 
1206.608 as would justify the extension of the time limit for an initial 
determination; and
    (3) In coordination with the Associate Deputy Administrator, 
ensuring that requests for records under the cognizance of his/her 
respective Center are processed and initial determinations made within 
the time limits specified in Subpart 6 of this part.
    (b) If so designated by the Director or Officials-in-Charge of the 
respective Center, the principal Public Affairs Officer at the Center 
may perform the functions set forth in paragraphs (a)(1) and (2) of this 
section.



Sec. 1206.503  NASA Headquarters.

    (a) Except as otherwise provided in Sec. 1206.504, the Associate 
Administrator for Public Affairs, is responsible for the following:
    (1) Preparing the annual reports required by Sec. 1206.900, 
including establishing reporting procedures throughout NASA to 
facilitate the preparation of such reports;
    (2) After consultation with the Office of General Counsel, making 
initial determinations under Sec. 1206.603 and Sec. 1206.604;
    (3) Determining whether unusual circumstances exist under Sec. 
1206.608 as would justify the extension of the time limit for an initial 
determination; and
    (4) In coordination with the Associate Deputy Administrator, 
ensuring that requests for Agency records under the cognizance of 
Headquarters are processed and initial determinations made within the 
time limits specified in Subpart 6 of this part.
    (b) The functions set forth in paragraphs (a)(1), (2) and (3) of 
this section may be delegated by the Associate Administrator for Public 
Affairs to a Public Affairs Officer or Specialist and to the Manager or 
his/her designee, NASA Management Office--JPL.



Sec. 1206.504  Inspector General.

    (a) The Inspector General or designee is responsible for making 
final determinations under Sec. 1206.607, within the time limits 
specified in Subpart 6 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.

[[Page 59]]

    (b) The Assistant Inspectors General or their designees are 
responsible for making initial determinations under Sec. 1206.603 and 
Sec. 1206.604 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 with the Office of the 
Inspector General, after consultation with the Attorney-Advisor 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 6 of this part.
    (d) The Inspector General or designee is responsible for determining 
whether unusual circumstances exist under Sec. 1206.608 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.



Sec. 1206.505  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.



                          Subpart 6--Procedures



Sec. 1206.600  Requests for records.

    A member of the public may request an Agency record by mail, 
facsimile (FAX), electronic-mail (e-mail), or in person from the FOIA 
Office having cognizance over the record requested or from the NASA 
Headquarters FOIA Office.



Sec. 1206.601  Mail, fax and e-mail requests.

    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 (see Sec. 1206.603), a 
request must meet the following requirements:
    (a) The request must be addressed to an appropriate NASA FOIA Office 
or otherwise be clearly identified in the letter as a request for an 
Agency record under the ``Freedom of Information Act.''
    (b) The request must identify the record requested or reasonably 
describe it in a manner that enables a professional NASA employee who is 
familiar with the subject area of the request to identify and locate the 
record with a reasonable amount of effort. 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 
is sought. NASA will in good faith endeavor to identify and locate the 
record sought and will consult with the requester when necessary and 
appropriate for that purpose. However, as provided in Sec. 1206.203, 
NASA will undertake no obligation to compile or create information or 
records not already in existence at the time of the request.
    (c) If a fee is chargeable under Subpart 7 of this part for search 
or duplication costs incurred in connection with a request for an Agency 
record, and the requester knows the amount of the fee at the time of the 
request, the request should be accompanied by a check or money order 
payable in that amount to the ``National Aeronautics and Space 
Administration.'' NASA cannot be responsible for cash sent by mail; 
stamps will not be accepted. If the 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 the fee chargeable (see Sec. 1206.608(c)). For 
circumstances in which advance payment of fees is required, see Sec. 
1206.704.



Sec. 1206.602  Requests in person.

    (a) A member of the public may request an Agency record in person at 
a NASA FOIA Office (see Sec. 1206.401) during the duty hours of NASA 
Headquarters or the Center.

[[Page 60]]

    (b) A request at a FOIA Office must identify the record requested or 
reasonably describe it as provided in Sec. 1206.601(b).
    (c) If the record requested is located at the FOIA Office or 
otherwise readily obtainable, it shall be made available to the 
requester upon the payment of any fees that are chargeable (see Subpart 
7 of this part), which fees may be paid by a check or money order 
payable to the ``National Aeronautics and Space Administration''. If the 
record requested is not located at the FOIA Office or otherwise readily 
obtainable, the request will be docketed at the FOIA Office and 
processed in accordance with the procedures in Sec. 1206.603 and Sec. 
1206.604, with any fee chargeable being handled in accordance with Sec. 
1206.601(c).



Sec. 1206.603  Procedures and time limits for initial determinations.

    (a) Except as provided in Sec. 1206.608, an initial determination 
on a request for an Agency record, addressed in accordance with Sec. 
1206.601(a) or made in person at a NASA FOIA Office shall be made, and 
the requester shall be sent notification thereof, within 20 working days 
after receipt of the request, as required by 5 U.S.C. 552(a)(6).
    (b) An initial determination on a request for an Agency record by 
mail not addressed in accordance with Sec. 1206.601(a) shall be made, 
and the requester shall be sent notification thereof, within 20 working 
days after the correspondence is recognized as a request for an Agency 
record under the ``Freedom of Information Act'' and received by the 
appropriate NASA FOIA Office. With respect to such a request, unless an 
initial determination can reasonably be made within 20 working days of 
the original receipt, the request will be promptly acknowledged and the 
requester notified of the date the request was received at that FOIA 
Office and that an initial determination on the request will be made 
within 20 working days of that date.
    (c) If it is determined that the requested record (or portion 
thereof) will be made available, and if the charges are under $250, NASA 
will either send a copy of the releasable record and a bill for the fee 
or send the initial determination and a bill for the fee to the 
requester. In the latter case, the documents will be released when the 
fee is received. If the fee chargeable is over $250, a request for 
payment of the fee will always be sent with the initial determination, 
and the records will be mailed only upon receipt of payment. When 
records are sent before payment is received, the fact that interest will 
be charged from the 31st day after the day of the response shall be 
stated in the response. The date of the mailing of an initial 
determination, with or without the records(s), shall be deemed to 
satisfy the time limit for initial determinations.
    (d) Any notification of an initial determination that does not 
comply fully with the request for an Agency record, including those 
searches that produce no 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, under Sec. 1206.605.
    (e) If the requester demonstrates a ``compelling need'' as defined 
in Sec. 1206.101(r) for records, NASA shall provide expedited 
processing of the request. NASA will inform the requester as to whether 
the request for expedited processing has been granted within 10 working 
days after the date of the request.



Sec. 1206.604  Request for records that exist elsewhere.

    (a) If a request for an Agency record is received by a FOIA Office 
not having cognizance of the record (for example, when a request is 
submitted to one NASA Center or Headquarters and the requested record 
exists only at another NASA Center), the FOIA Office receiving the 
request shall promptly forward it to the NASA FOIA Office having 
cognizance of the record requested. That Center shall acknowledge the 
request and inform the requester that an initial determination on the 
request will be sent within 20 working days from the date of receipt by 
such Center.
    (b) If a request is received for Agency records which exist at two 
or more Centers, the FOIA Office receiving the

[[Page 61]]

request shall undertake to comply with the request, if feasible, or to 
forward the request (or portions thereof) promptly to a more appropriate 
Center for processing. The requester shall be kept informed of the 
actions taken to respond to the request.
    (c) If a request is received by a NASA FOIA Office for a record of 
another agency, the requester shall promptly be informed of that fact, 
and the request shall be returned to the requester, with advice as to 
where the request should be directed.



Sec. 1206.605  Appeals.

    (a) A member of the public who has requested an Agency record in 
accordance with Sec. 1206.601 or Sec. 1206.602, 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. 1206.504, to the Inspector General 
under the procedures of this section.
    (b) The Appeal must:
    (1) Be in writing;
    (2) Be addressed to the Administrator, NASA Headquarters, 
Washington, DC 20546, or, for records as specified in Sec. 1206.504, to 
the Inspector General, NASA Headquarters, Washington, DC 20546;
    (3) Be identified clearly on the envelope and in the letter as an 
``Appeal under the Freedom of Information Act'';
    (4) Include a copy of the request for the Agency record and a copy 
of the adverse initial determination;
    (5) To the extent possible, state the reasons why the requester 
believes the adverse initial determination should be reversed; and
    (6) Be sent to the Administrator or the Inspector General, as 
appropriate, within 30 calendar days of the date of receipt 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. 1206.607(a)) shall 
run from the date of such waiver.



Sec. 1206.606  Request for additional records.

    If, upon receipt of a record (or portions thereof) following an 
initial determination to comply with a request, the requester believes 
that the materials received do not comply with the request, the 
requester may elect either to request additional records under the 
procedures of Sec. 1206.601 or Sec. 1206.602, or to file an appeal 
under the procedures of Sec. 1206.605, in which case the appeal must be 
sent to the Administrator, or to the Inspector General, in the case of 
records as specified in Sec. 1206.504, within 30 days of receipt of the 
record (or portions thereof), unless good cause is shown for any 
additional delay.



Sec. 1206.607  Actions on appeals.

    (a) Except as provided in Sec. 1206.608, the Administrator or 
designee, or in the case of records as specified in Sec. 1206.504, the 
Inspector General or designee, shall make a final determination on an 
appeal and notify the requester thereof, within 20 working days after 
the receipt of the appeal.
    (b) 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.
    (c) 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); and
    (4) Enclose a copy of 5 U.S.C. 552(a)(4).



Sec. 1206.608  Time extensions in unusual circumstances.

    (a) In ``unusual circumstances'' as that term is defined in Sec. 
1206.101(f), the time limits for an initial determination (see Sec. 
1206.603 and Sec. 1206.604) and for a final determination (see Sec. 
1206.607) may be extended, but not to exceed a

[[Page 62]]

total of 10 working days in the aggregate in the processing of any 
specific request for an Agency record.
    (b) If an extension of time under this section would be required, 
the requester shall be promptly notified of the reasons therefor and the 
date when a determination will be sent.
    (c) If a record described in a request cannot be located within the 
20-working-day time limit for an initial determination, after 
consultation with a professional NASA employee who is familiar with the 
subject area of the request, that fact normally will justify an initial 
determination that the record requested cannot be identified or located, 
rather than a decision that an extension of time under this section 
would be appropriate.
    (d) In exceptional circumstances, if it would be impossible to 
complete a search for or review of Agency records within the 20-working-
day period for an initial determination, an official authorized to make 
an initial determination or the designee may seek an extension of time 
from the requester. If such an extension of time can be agreed upon, 
that fact should be clearly documented and the initial determination 
made within the extended time period; if not, an initial determination 
that the record cannot be identified or located, or reviewed, within the 
20-working-day time limit shall be made under Sec. 1206.603. 
``Exceptional circumstances'' do not include a delay that results from a 
predictable Agency workload of requests unless the Agency demonstrates 
reasonable progress in reducing its backlog of pending requests. Refusal 
by the requester to reasonably modify the scope of a request or arrange 
an alternative time frame for processing the request shall be considered 
as a factor in determining whether exceptional circumstances exist.



Sec. 1206.609  Litigation.

    In any instance in which a requester brings suit concerning a 
request for an Agency record under this part, the matter shall promptly 
be referred to the General Counsel together with a report on the details 
and status of the request. In such a case, if a final determination with 
respect to the request has not been made, such a determination shall be 
made as soon as possible, under procedures prescribed by the General 
Counsel in each case.



Sec. 1206.610  Notice to submitters of commercial information.

    (a) General policy. Upon receipt of a request for commercial 
information pursuant to the Freedom of Information Act, NASA shall 
provide the submitter with notice of the request in accordance with the 
requirements of this section.
    (b) Notice to submitters. Except as provided in paragraph (g) or (h) 
of this section, the Agency shall make a good faith effort to provide a 
submitter with prompt notice of a request appearing to encompass its 
commercial information whenever required under paragraph (c) of this 
section. Such notice shall identify the commercial information requested 
and shall inform the submitter of the opportunity to object to its 
disclosure in accordance with paragraph (d) of this section. If the 
submitter would not otherwise have access to the document that contains 
the information, upon the request of the submitter, the Agency shall 
provide access to, or copies of, the records or portions thereof 
containing the commercial information. This notice shall be provided in 
writing upon the request of the submitter. 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.
    (c) When notice is required. Notice shall be given to a submitter 
whenever the information 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.
    (d) Opportunity to object to disclosure. Through the notice 
described in paragraph (b) of this section, the Agency shall afford a 
submitter a reasonable period within which to provide the Agency with a 
detailed statement of any objection to disclosure. This period shall not 
exceed 10 working days from the date after which the Agency can

[[Page 63]]

reasonably assume receipt of notice by the submitter, unless the 
submitter provides a reasonable explanation justifying additional time 
to respond. If the Agency does not receive a response from the submitter 
within this period, the Agency shall proceed with its review of the 
information and initial determination. The submitter's response shall 
include all bases, factual or legal, for withholding any of the 
information pursuant to Exemption 4. Information provided by a submitter 
pursuant to this paragraph may itself be subject to disclosure under the 
FOIA. Submitters will not be provided additional opportunities to object 
to disclosure, and, therefore, should provide a complete explanation of 
any and all bases for withholding any information from disclosure.
    (e) Notice of intent to disclose. The Agency shall carefully 
consider any objections of the submitter in the course of determining 
whether to disclose commercial information. 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 the information to the submitter; and
    (3) A date after which disclosure is expected. Such notice of intent 
to disclose shall be forwarded to the submitter in a reasonable number 
of working days prior to the expected disclosure date.
    (f) Notice of FOIA lawsuit. Whenever a requester brings suit seeking 
to compel disclosure of commercial information covered by paragraph (c) 
of this section, the Agency shall promptly notify the submitter. 
Whenever a submitter brings suit against the Agency in order to prevent 
disclosure of commercial information, the Agency shall promptly notify 
the requester.
    (g) Exceptions to notice requirements. The notice requirements of 
this section do not apply if--
    (1) The information has been published or otherwise made available 
to the public.
    (2) Disclosure of the information is required by law (other than 5 
U.S.C. 552);
    (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;
    (4) Upon submitting the information or within a reasonable period 
thereafter,
    (i) The submitter reviewed its information in anticipation of future 
requests pursuant to the FOIA,
    (ii) Provided the Agency a statement of its objections to disclosure 
consistent with that described in paragraph (e) of this section, and
    (iii) The Agency intends to release information consistent with the 
submitter's objections;
    (5) Notice to the submitter may disclose information exempt from 
disclosure pursuant to 5 U.S.C. 552(b)(7).
    (h)(1) An additional limited exception to the notice requirements of 
this section, to be used only when all of the following exceptional 
circumstances are found to be present, authorizes the Agency to withhold 
information which is the subject of a FOIA request, based on Exemption 4 
(5 U.S.C. 552(b)(4)), without providing the submitter individual notice:
    (i) The Agency would be required to provide notice to over 10 
submitters, in which case, notification may be accomplished by posting 
or publishing the notice in a place reasonably calculated to accomplish 
notification.
    (ii) Absent any response to the published notice, the Agency 
determines that if it provided notice as is otherwise required by 
paragraph (c) of this section, it is reasonable to assume that the 
submitter would object to disclosure of the information based on 
Exemption 4; and,
    (iii) If the submitter expressed the anticipated objections, the 
Agency would uphold those objections.
    (2) This exemption shall be used only with the approval of the Chief 
Counsel of the Center, the Attorney-Advisor to

[[Page 64]]

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.

[64 FR 39404, July 22, 1999, as amended at 65 FR 19647, Apr. 12, 2000]



             Subpart 7--Search, Review, and Duplication Fees



Sec. 1206.700  Schedule of fees.

    The fees specified in this section shall be charged for searching 
for, reviewing, and/or duplicating Agency records made available in 
response to a request under this part.
    (a) Copies. For copies of documents such as letters, memoranda, 
statements, reports, contracts, etc., $0.10 per copy of each page. For 
copies of oversize documents, such as maps, charts, etc., $0.15 for each 
reproduced copy per square foot. These charges for copies 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 full 
direct cost to NASA of reproducing or copying the record.
    (b) Clerical searches. For each one-quarter hour spent by clerical 
personnel in searching for an Agency record in response to a request 
under this part, $3.75.
    (c) Nonroutine, nonclerical searches. When a search cannot be 
performed by clerical personnel; for example, when the task of 
determining which records fall within a request and collecting them 
requires the time of professional or managerial personnel, and when the 
amount of time that must be expended in the search and collection of the 
requested records by such higher level personnel is substantial, charges 
for the search may be made at a rate in excess of the clerical rate, 
namely for each one-quarter hour spent by such higher level personnel in 
searching for a requested record, $7.50.
    (d) Review of records. For commercial use requests only, when time 
is spent reviewing to determine whether they are exempt from mandatory 
disclosure, a charge may be made at the rate for each one-quarter hour 
spent by an attorney, $11.25. No charge shall be made for the time spent 
in resolving general legal or policy issues regarding the application of 
exemptions. This charge will only be assessed the first time NASA 
reviews a record and not at the administrative appeal level.
    (e) Computerized records. Because of the diversity in the types and 
configurations of computers which may be required in responding to 
requests for Agency records maintained in whole or in part in 
computerized form, it is not feasible to establish a uniform schedule of 
fees for search and printout of such records. In most instances, records 
maintained in computer data banks are available also in printed form and 
the standard fees specified in paragraph (a) of this section shall 
apply. 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 
paragraphs (b) and (c) of this section. The charge for the computer time 
involved and for any special supplies or materials used shall not exceed 
the direct cost to NASA. This charge may be as high as $125.00 per 
quarter hour. Before any computer search or printout is undertaken in 
response to a request for an Agency record, the requester shall be 
notified of the applicable unit costs involved and the total estimated 
cost of the search and/or printout.
    (f) Other search and duplication costs. Reasonable standard fees, 
other than as specified in paragraphs (a) through (e) of this section, 
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 which may be 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.
    (g) Charges for special services. Complying with requests for 
special services such as those listed in (g)(1), (2),

[[Page 65]]

and (3) of this section is entirely at the discretion of NASA. Neither 
the FOIA nor its fee structure cover these kinds of services. 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.
    (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.
    (h) Unsuccessful or unproductive searches. Search charges, as set 
forth in paragraphs (b) and (c) of this section, may be made 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, or if 
located, cannot be made available under Subpart 3 of this part. 
Ordinarily, however, fees will not be charged in such instances unless 
they are substantial (over $50.00) and the requester has consented to 
the search after having been advised that it cannot be determined in 
advance whether any records exist which can be made available (see Sec. 
1201206.704) and that search fees will be charged even if no record can 
be located and made available.
    (i) Fees not chargeable.
    (1) NASA will not charge for the first 100 pages of duplication and 
the first 2 hours of search time either manual or electronic except to 
requesters seeking documents for commercial use.
    (2) If the cost to be billed to the requester is equal to or less 
than $15.00, no charges will be billed.
    (j) Records will be provided in a form or format specified by the 
requester if they are readily reproducible in such format with 
reasonable efforts. 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 the requester refuses to specify an alternative form or format, the 
Agency will not process the request further.



Sec. 1206.701  Categories of requesters.

    There are four categories of FOIA requesters: 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:
    (a) Commercial use requesters. When NASA receives a request for 
documents appearing to be for commercial use, it will assess charges 
which recover the full direct costs of searching for, reviewing for 
release, and duplicating the records sought. Requesters must reasonably 
describe the records sought. Moreover, in the case of such a request, 
NASA will not consider a request for waiver or reduction of fees based 
upon an assertion that disclosure would be in the public interest. 
Commercial use requesters are not entitled to 2 hours of free search 
time or to 100 free pages of reproduction of documents.
    (b) Education and noncommercial scientific institution requesters. 
NASA shall provide documents to requesters in this category for the cost 
of reproduction alone, excluding charges for the first 100 pages. To be 
eligible for inclusion in this category, requesters must show that the 
request being made is authorized by and under the auspices of a 
qualifying institution and that the records are not being sought for a 
commercial use, but are being sought in furtherance of scholarly (if the 
request is from an educational institution) or scientific (if the 
request is from a noncommercial scientific institution) research. 
Requesters must reasonably describe the records sought.
    (c) Requesters who are representatives of the news media. NASA shall 
provide documents to requesters in this category for the cost of 
reproduction alone, excluding charges for the first 100 pages. To be 
eligible for inclusion in this category, a requester must demonstrate 
that he/she meets the criteria in Sec. 1206.101(o) of this part, and 
his/her request must not be made for a commercial use. Requesters must 
reasonably describe the records sought.
    (d) All other requesters. NASA shall charge requesters who do not 
fit into any of the categories mentioned in this section, fees which 
recover the full direct reasonable cost of searching for

[[Page 66]]

and reproducing records that are responsive to the request, except that 
the first 100 pages of reproduction and the first 2 hours of search time 
shall be furnished without charge. Moreover, requests from individuals 
for records about themselves located in NASA's systems of records will 
continue to be processed under the fee provisions of the Privacy Act of 
1974, which permits fees only for reproduction. Requesters must 
reasonably describe the records sought.



Sec. 1206.702  Waiver or reduction of fees.

    The burden is always on the requester to provide the evidence to 
qualify him/her for a fee waiver or reduction.
    (a) NASA shall furnish documents without charge or at reduced 
charges in accordance with 5 U.S.C. 552(a)(4)(A)(iii), provided that:
    (1) Disclosure of the information is in the public interest because 
it is likely to contribute significantly to public understanding of the 
operations or activities of the government and
    (2) It is not primarily in the commercial interest of the requester.
    (b) Where these two statutory requirements are satisfied, based upon 
information supplied by the requester or otherwise made known to NASA, 
the FOIA fee shall be waived or reduced. Where one or both of these 
requirements is not satisfied, a fee waiver or reduction is not 
warranted under the statute.
    (c) In determining whether disclosure is in the public interest 
because it is likely to contribute significantly to public understanding 
of the operations or activities of the government, the following 
considerations shall be applied:
    (1) Whether the subject of the requested records concerns ``the 
operations or activities of the government'';
    (2) Whether the disclosure is ``likely to contribute'' to an 
understanding of government operations or activities;
    (3) Whether disclosure of the requested information will contribute 
to ``public understanding''; and
    (4) Whether the disclosure is likely to contribute ``significantly'' 
to public understanding of government operations or activities.
    (d) In determining whether disclosure of the information ``is not 
primarily in the commercial interest of the requester,'' the following 
consideration shall be applied:
    (1) Whether the requester has a commercial interest that would be 
furthered by the requested disclosure; and if so,
    (2) Whether the magnitude of the identified commercial interest of 
the requester is sufficiently large, in comparison with the public 
interest in disclosure, that disclosure is ``primarily in the commercial 
interest of the requester.''



Sec. 1206.703  Aggregation of requests.

    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. When NASA has reason to believe that a requester or a 
group of requesters acting in concert, is attempting to break a request 
down into a series of requests for the purpose of evading the assessment 
of fees, NASA will aggregate any such requests and charge accordingly. 
NASA will consider that multiple requests made within a 30-day period 
were so intended, unless there is evidence to the contrary. Where the 
relevant time period exceeds 30 days, NASA will not assume such a motive 
unless there is evidence to the contrary. In no case will NASA aggregate 
multiple requests on unrelated subjects from one requester.



Sec. 1206.704  Advance payments.

    (a) NASA will not require a requester to make an advance payment, 
i.e., payment before work is commenced or continued on a request, 
unless:
    (1) NASA estimates or determines that the allowable charges are 
likely to exceed $250. NASA will notify the requester of the likely cost 
and obtain satisfactory assurance of full payment where the requester 
has a history of prompt payment of FOIA fees, or require an advance 
payment of an amount up to the full estimated charges in the case of 
requesters with no history of payment; or

[[Page 67]]

    (2) A requester has previously failed to pay a fee in a timely 
fashion (within 30 days of billing), then NASA may require the requester 
to pay the full amount owed plus any applicable interest as provided 
below (see Sec. 1206.706(a)), or demonstrate that he/she has, in fact, 
paid the fee, and to make an advance payment of the full amount of the 
estimated fee before the Agency begins to process a new request or a 
pending request from that requester.
    (b) When NASA acts under paragraphs (a)(1) and (2) of this section, 
the administrative time limits will begin only after NASA has received 
the fee payments described in paragraph (a) of this section.



Sec. 1206.705  Form of payment.

    Payment shall be made by check or money order payable to the 
``National Aeronautics and Space Administration'' and sent per 
instructions in the initial determination.



Sec. 1206.706  Nonpayment of fees.

    (a) Interest to be charged. 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 section 
3717 of Title 31 U.S.C.
    (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.



           Subpart 8--Failure to Release Records to the Public



Sec. 1206.800  Failure to release records to the public.

    (a) Except to the extent that a person has actual and timely notice 
of the terms thereof, a person may not in any manner be required to 
resort to, or be adversely affected by, a matter required to be 
published in the Federal Register under Sec. 1206.200(a) and not so 
published.
    (b) A final order, opinion, statement of policy, interpretation, or 
staff manual or instruction that affects a member of the public may be 
relied upon, used, or cited as precedent by NASA against any member of 
the public only if it has been indexed and either made available or 
published as provided by Sec. 1206.200(b) or if the member of the 
public has actual and timely notice of the terms thereof.
    (c) Failure to make available an Agency record required to be made 
available under this part could provide the jurisdictional basis for a 
suit against NASA under 5 U.S.C. 552(a)(4) (B) through (G), which 
provides as follows:

    (B) On complaint, the District Court of the United States in the 
district in which the complainant resides, or has his principal place of 
business, or in which the Agency records are situated, or in the 
District of Columbia, has jurisdiction to enjoin the Agency from 
withholding Agency records and to order the production of any Agency 
records improperly withheld from the complainant. In such a case the 
court shall determine the matter de novo, and may examine the contents 
of such Agency records in camera to determine whether such records or 
any part thereof shall be withheld under any of the exemptions set forth 
in subsection (b) of this section, and the burden is on the Agency to 
sustain its action.
    (C) Notwithstanding any other provision of law, the defendant shall 
serve an answer or otherwise plead to any complaint made under this 
subsection within 30 days after service upon the defendant of the 
pleading in which such complaint is made, unless the court otherwise 
directs for good cause shown.
    [(D) Repealed. Pub. L. 98-620, Title IV, 402(2), Nov. 8, 1984, 98 
Stat. 3335, 3375.]
    (E) The court may assess against the United States reasonable 
attorney fees and other litigation costs reasonably incurred in any case 
under this section in which the complainant has substantially prevailed.
    (F) Whenever the court orders the production of any Agency records 
improperly withheld from the complainant and assesses against the United 
States reasonable attorney fees and other litigation costs, and the 
court additionally issues a written finding that the circumstances 
surrounding the withholding raise questions whether Agency personnel 
acted arbitrarily or capriciously with respect to the withholding, the 
Special Counsel shall promptly initiate a proceeding to determine 
whether disciplinary action is

[[Page 68]]

warranted against the officer or employee who was primarily responsible 
for the withholding. The Special Counsel, after investigation and 
consideration of the evidence submitted, shall submit his findings and 
recommendations to the administrative authority of the Agency concerned 
and shall send copies of the findings and recommendations to the officer 
or employee or his representative. The administrative authority shall 
take the corrective action that the Special Counsel recommends.
    (G) In the event of noncompliance with the order of the court, the 
district court may punish for contempt the responsible employee, and in 
the case of a uniformed service, the responsible member.



                        Subpart 9--Annual Report



Sec. 1206.900  Requirements for annual report.

    On or before February 1 of each year, NASA shall submit a report 
covering the preceding fiscal year to the Department of Justice.



PART 1207--STANDARDS OF CONDUCT--Table of Contents




                      Subpart A--General Provisions

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

                 Subpart B--Post-Employment Regulations

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

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

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



                      Subpart A--General Provisions



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

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

[59 FR 49338, Sept. 28, 1994]



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

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

[[Page 69]]

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

[66 FR 59137, Nov. 27, 2001]



Sec. 1207.103  Designations of responsible officials.

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

[[Page 70]]



Sec. 1207.201  Scope of subpart.

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



Sec. 1207.202  Exemption for scientific and technological communications.

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

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



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




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

    Editorial Note: For additional information, see related documents 
published at 50 FR 8953, March 5, 1985, 52 FR 18768, May 19, 1987, and 
52 FR 45667, December 1, 1987.



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 and 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 42 U.S.C. 2473(c)(1).

    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

[[Page 71]]

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 NASA Management Instruction (NMI) 1152.5 and this regulation.



Sec. 1209.303  Functions of Board.

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



Sec. 1209.304  Membership.

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



Sec. 1209.305  Legal advice and assistance.

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



              Subpart 4--Inventions and Contributions Board

    Authority: 42 U.S.C. 2457(f) and 2458.

    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 42 U.S.C. 
2457(f) and pursuant to 14 CFR part 1245 subpart 1 (NASA Management 
Instruction 5109.2), 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.

[[Page 72]]

    (b) Patent licenses. Under the authority of 35 U.S.C. 207(b) and 
pursuant to 14 CFR part 1245 subpart 2 (NASA Management Instruction 
5109.3), the Board will accord a licensee or applicant for license an 
opportunity for a hearing with respect to an appeal which raises a 
dispute over material facts and will be responsible for making findings 
of fact and forwarding them to the Administrator or designee.
    (c) Monetary awards for scientific and technical contributions. (1) 
Under the authority of 42 U.S.C. 2458 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 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.

[51 FR 3945, Jan. 31, 1986, as amended at 59 FR 35623, July 13, 1994]



Sec. 1209.403  Organizational location.

    The Board is established within the Office of Policy Coordination 
and International Relations.

[59 FR 35623, July 13, 1994]



Sec. 1209.404  Membership.

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



Sec. 1209.405  Supporting services.

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

[[Page 73]]



PART 1210--DEVELOPMENT WORK FOR INDUSTRY IN NASA WIND TUNNELS--Table of Contents




Sec.
1210.1 Introduction.
1210.2 General classes of work.
1210.3 Priorities and schedules.
1210.4 Company projects.
1210.5 Government projects.
1210.6 Test preparation and conduct.

    Authority: 50 U.S.C. 511-515, 42 U.S.C. 2473(c)(5) and (6).

    Source: 51 FR 34083, Sept. 25, 1986, unless otherwise noted.



Sec. 1210.1  Introduction.

    (a) Authority. The regulations, as they apply to the Unitary Wind 
Tunnel Plan facilities, are promulgated under authority of the Unitary 
Wind Tunnel Plan Act of 1949, as amended, codified at 50 U.S.C. 511-515. 
This statute states ``The facilities authorized * * * shall be operated 
and staffed by the National Aeronautics and Space Administration but 
shall be available primarily industry for testing experimental models in 
connection with the development of aircraft and missiles. Such tests 
shall be scheduled and conducted in accordance with industry's 
requirements, and allocation of laboratory time shall be made in 
accordance with the public interest, with proper emphasis upon the 
requirements of each military service and due consideration of civilian 
needs.''
    (b) Unitary wind tunnel plan facilities. The unitary wind tunnel 
plan facilities are the Ames Research Center 11- by 11-foot wind tunnel, 
9- by 7-foot wind tunnel, and 8- by 7-foot wind tunnel; the Langley 
Research Center 4- by 4-foot high Mach number test section and the 4- by 
4-foot low Mach number test section; and the Lewis Research Center 10- 
by 10-foot wind tunnel. These wind tunnels are operated by NASA for 
industry, NASA, the Department of Defense, and other Government agency 
projects.
    (c) National aeronautical facilities. The national aeronautical 
facilities include the National Transonic Facility (NTF) at Langley 
Research Center and the National Full-Scale Aerodynamic Complex, 
consisting of the 40- by 80-foot and the 80- by 120-foot wind tunnels 
and related support facilities at Ames Research Center. These facilities 
are operated by NASA for industry, NASA, the Department of Defense, and 
other Government agency projects.
    (d) All other wind tunnels. All other NASA wind tunnels will be used 
primarily for NASA research. However, all of these wind tunnels may be 
used for industry work when it is in the public interest either in joint 
programs with NASA or on a fee basis.
    (e) NASA policy. All the projects to be performed in any of the NASA 
wind tunnels must be appropriate to the facility.



Sec. 1210.2  General classes of work.

    (a) Company projects. Includes work for industry on:
    (1) Projects which are neither under contract nor supported by a 
letter of intent from a Government agency; and
    (2) Company desired tests which are related to a project which is 
either under contract with or supported by a letter of intent from a 
Government agency, but are beyond the scope of the tests requested by 
the Government agency.
    (3) A fee will be charged for company projects.
    (b) Government projects. Includes work for industry on projects 
which are either under contract with or supported by a letter of intent 
from a Government agency. The work must be requested by the Government 
agency. No fee will be charged for Government projects.
    (c) United States/foreign industry consortium projects. This 
involves U.S. companies, which have formed a consortium or any other 
type of association with foreign companies, that desire tests on 
aerospace projects of joint or foreign interest. An application for work 
for such a consortium shall disclose the foreign interest in or 
anticipated foreign benefit from tests to be conducted and shall first 
be reviewed by the Director, International Affairs Division, for 
consistency with current U.S. foreign policy and for compatibility with 
section 102 of the National Aeronautics and Space Act of 1958, as 
amended, prior to a final decision being reached on the application. A 
fee will be charged for these consortium

[[Page 74]]

projects unless, in these review procedures, it is determined that 
Government agency cooperative sponsorship warrants a non-fee 
arrangement.
    (d) Foreign company projects. Foreign company requests for wind 
tunnel use that are not related to U.S. Government or U.S. industry 
interests or programs will generally not be granted and will in no event 
be granted prior to a review, as required in paragraph (c) of this 
section, by the Director, International Affairs Division.



Sec. 1210.3  Priorities and schedules.

    (a) Priorities. Unitary wind tunnels shall be available primarily to 
industry for development work. However, allocations of wind tunnel time 
shall be in accordance with the public interests, with due consideration 
to the requirements of the military services, civilian needs, and NASA 
research. Research work shall have priority in all other NASA 
facilities.
    (b) Schedules. Schedules showing the allocation of testing time for 
Government projects and for company projects for unitary wind tunnels 
and other major wind tunnels will be established by the appropriate 
center.



Sec. 1210.4  Company projects.

    (a) Initiation of company projects. Company projects will be 
initiated by a letter to the Center Director followed by a conference 
between company and NASA representatives at the center having 
responsibility for the facility proposed for the project. The company 
representatives will be required to explain the technical need for the 
project and why the NASA facility is required, as well as to define the 
extent of the test program, model and equipment requirements, and 
schedule. The center shall maintain a file of all company requests and 
their disposition. The company will be required to provide a Safety 
Analysis Report (SAR) describing potential hazards that the company test 
program, model, and equipment may present to NASA facilities and 
personnel, and other documentation required by the facility management 
to assure that safety requirements are met.
    (b) Scheduling of tests. In scheduling time for company projects, 
the responsible NASA center will consider the merits of all projects, 
including government, company, and NASA research work relative to the 
national interest and priorities specified in Sec. 1210.3. Every 
reasonable attempt will be made to accommodate technically justifiable 
projects on as timely a basis as possible.
    (c) Fees for company projects. The policy on charges for the use of 
NASA facilities is explained in NASA Management Instruction 9080.1, 
``Review, Approval, and Imposition of User Charges.'' The fee imposed 
for a company project will cover all direct and indirect costs to NASA 
for the wind tunnel test.
    (1) Occupancy time charge. (i) The occupancy time will be computed 
from the start of installation of the test article in the wind tunnel 
test section through the time that the test article is removed from the 
test section and the test section is restored to its original condition.
    (ii) The occupancy time rate will be determined in accordance with 
NASA Management Instruction 9080.1.
    (2) Energy/Fuel. The charge for energy/fuel will be determined from 
the energy/fuel consumed during the tests and the actual cost to NASA.
    (3) Data reduction. The cost of data reduction and the data report 
will include labor, materials, computational costs, and appropriate 
indirect charges in accordance with NASA Management Instruction 9080.1.
    (4) Cancellation of scheduled wind tunnel time. Upon determination 
of a test schedule by the representatives of the company and of NASA, it 
becomes the responsibility of the company to meet this schedule. A 
project may be cancelled by the company without charge on 60 days' 
notice if succeeding projects are ready for testing and can be moved 
into the company's previously scheduled time. In the event subsequently 
scheduled work cannot be scheduled in lieu of the company's work, when 
cancelled with less than 60 days' notice, the company shall be required 
to pay the occupancy time charge for the scheduled test period or for 
the period the facility test section

[[Page 75]]

is idle due to the cancellation, whichever results in the smaller 
charge. Curtailment of a project underway before the end of the 
scheduled test period may be made by the company. In this event, the 
company shall be required to pay the occupancy charge for the time used 
plus the unused scheduled time or for the idle time of the test section, 
whichever is the smaller.
    (5) High-power requirements. Unavailability of adequate power or 
economic considerations may, on occasion, cause delay or cancellation of 
high-powered test runs. The company shall cooperate with the facility 
staff in the scheduling of low-powered runs during periods when large 
blocks of power are unavailable. However, should rescheduling of test 
runs to accommodate power shortages be impractical, occupancy time 
charge credits will be made for time lost arising from such shortages. 
The basis for these credits, which will also be made for delays due to 
breakdown or malfunction of Government-furnished equipment or 
instrumentation, or due to other reasons beyond the control of the 
company, will be determined by each center. For example, the test period 
allotted for the program may be extended to offset delays in lieu of a 
refund.
    (d) Test data transmittal. The basic data for company projects will 
be transmitted to the requesting company without detailed analysis but 
with the necessary description of methods and techniques employed to 
permit proper interpretation of the data.
    (e) Proprietary rights. In order to protect the trade secrets of 
companies, NASA will generate one set of final results, which will 
become the property of the company and be promptly transmitted to the 
company. If, subsequently, there is need to review the results, it will 
be the responsibility of the company to provide the NASA center with 
copies of the resulting data. Upon completion of the review, the data 
will be returned to the company. Should the company desire to maintain 
its trade secret rights in the data during the loan period, it should 
mark the data with a notice stating that the data shall not be used or 
disclosed other than for review purposes without prior written 
permission of the company. NASA, in turn, will protect that data covered 
by the notice which is protected under the law as a trade secret.
    (f) Test preparation and conduct. See Sec. 1210.6.



Sec. 1210.5  Government projects.

    (a) Initiation of Government projects. Government projects shall be 
initiated through a conference of representatives from the contracted 
company, the sponsoring Government agency, and the staff of the NASA 
center having responsibility for the facility proposed for the project. 
The purpose of the conference will be to establish the technical basis 
for the project and why the NASA facility is required as well as to 
define the extent of the test program, model and instrumentation 
requirements, and schedule. Upon concurrence of the NASA staff, the 
sponsoring Government agency will submit a letter of request to the 
Center Director. A Safety Analysis Report (SAR) will be required, 
describing the potential hazards that the project test program, model, 
and equipment may present to NASA facilities and personnel, as well as 
other documentation required by the facility management to assure that 
safety requirements have been met.
    (b) Scheduling of tests. In scheduling time for Government projects, 
the responsible NASA center will consider the merits of all projects, 
including Government, company, and NASA research work relative to the 
national interest and priorities specified in Sec. 1210.3. Every 
reasonable attempt will be made to accommodate technically justifiable 
projects on a timely basis.
    (c) Test data transmittal. The basic data for Government projects, 
without detailed analysis but with the necessary description of methods 
and techniques employed to permit the proper interpretation of the data, 
will be transmitted to the company for whom the tests were made and to 
the sponsoring Government agency. Further disclosure by NASA of the test 
results will be made only with the prior concurrence of the sponsoring 
Government agency.

[[Page 76]]



Sec. 1210.6  Test preparation and conduct.

    (a) Programming by user. The user will be given the greatest 
possible freedom within the objectives of the scheduled program to 
obtain the quality and quantity of information desired, to determine the 
sequence and number of test runs to be made, and to make modifications 
to the program arising from the results obtained, subject to 
requirements of safety, energy conservation, practicability, and the 
total time assigned.
    (b) Model systems criteria. Information will be furnished for each 
facility on the permissible size of model, standard balances, safety 
margins to be used in the design of models, model mounting details, and 
other pertinent factors. All model systems criteria required by the 
facility for safety consideration including the necessary drawings and 
stress analyses of the articles to be tested will be furnished at a time 
specified by the facility staff for their use in preparing for the test.
    (c) Instrumentation. Each facility will provide basic 
instrumentation suitable for the test range of the respective facility 
and computing equipment for the reduction of test data. If the basic 
instrumentation furnished by the facility does not meet these test 
requirements, the user will provide suitable instrumentation which will 
be calibrated by the facility staff to ensure accuracy of measurement. 
This Instrumentation will be made available sufficiently in advance of 
the test date to accomplish the calibration. Serious delays arising from 
inaccuracies in user supplied instrumentation, if occurring during the 
scheduled test period, may result in reassignment of the position of the 
tests on the facility schedule. Detailed specifications and arrangements 
for special instrumentation will be established by mutual agreement. The 
user will be required to furnish all information necessary to prepare 
the data reduction software program at a date specified by the facility 
staff.
    (d) Test program. All tests will be conducted under NASA supervision 
and by NASA personnel or by NASA support service contractor personnel 
unless approved otherwise by the facility manager. The test program 
shall be approved by NASA personnel before the test project is accepted. 
By agreement between the user (company representatives or the requesting 
agency) and the center staff, changes in the test program may be made 
within the objectives of the scheduled program if time is available. 
When tests are not totally conducted by NASA personnel or by NASA 
support service contractor personnel, the NASA Field Installation Safety 
Officer shall verify that the user personnel are fully cognizant of 
facility safety problems and operations. A current SAR on the facility 
shall be available to the user personnel for review.
    (e) Test data. The NASA staff will be responsible for obtaining all 
test data, its reduction to suitable coefficient form, and the accuracy 
of the final data, but NASA will assume no responsibility for the 
interpretation of the data by others. Transmittal of the data will be 
made as soon as the test is completed and the data are deemed releasable 
by NASA. For company projects, the data will be transmitted as directed 
by the company. The data for Government projects will be transmitted 
simultaneously to the sponsoring Government agency and the contractor 
(if applicable), unless otherwise directed by the sponsoring agency.
    (f) Shops and office space. During the conduct of user testing, NASA 
will provide desk space and at least limited use of the shop facilities 
to the user whose projects are under test.
    (g) User furnished personnel. User personnel associated with each 
project will be agreed upon between the user and facility staff prior to 
the test.

                          PART 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--Access to Records

1212.200 Determining existence of records subject to the Privacy Act.
1212.201 Requesting a record.
1212.202 Identification procedures.

[[Page 77]]

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 Assistant Deputy Administrator.
1212.702 Associate Administrator for Management Systems and Facilities.
1212.703 Headquarters and Field or Component Installations.
1212.704 System manager.
1212.705 Assistant Administrator for Procurement.
1212.706 Delegation of authority.

    Subpart 1212.8--Failure to Comply With Requirements of This Part

1212.800 Civil remedies.
1212.801 Criminal penalties.

    Authority: The National Aeronautics and Space Act of 1958, as 
amended, 72 Stat. 429, 42 U.S.C. 2473; the Privacy Act of 1974, as 
amended, 88 Stat. 1896, 5 U.S.C. 552a.

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



                      Subpart 1212.1--Basic Policy



Sec. 1212.100  Scope and purpose.

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



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 
Installation, the term system

[[Page 78]]

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 Installation.
    (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) related 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.
    (i) The term NASA information center refers to information centers 
established to facilitate public access to NASA records under part 1206 
of this chapter. See Sec. 1206.401 of this chapter for the address of 
each NASA information center.



                    Subpart 1212.2--Access to Records



Sec. 1212.200  Determining existence of records subject to the Privacy Act.

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



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 NASA Headquarters or Field Installation 
Information 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, 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 information center receives a request for access, the 
Information Center will record the date of receipt and immediately 
forward the request to the responsible system manager for handling.
    (f) 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:

[[Page 79]]

    (i) Notify the requester that there is no record on the individual 
in the system of records and inform the requester of the procedures to 
follow for appeal (See Sec. 1212.4);
    (ii) Notify the requester that the record is exempt from disclosure, 
cite the appropriate exemption, and inform the requester of the 
procedures to follow for appeal (See Sec. 1212.4);
    (iii) Upon request, promptly provide copies of the record, subject 
to the fee requirements (Sec. 1212.204); or
    (iv) Make the individual's record available for personal inspection 
in the presence of a NASA representative.
    (2) Unless the system manager agrees to another location, personal 
inspection of the record shall be at the location of the record as 
identified in the system notice.
    (3) When an individual requests records in a system of records 
maintained on a third party, the request shall be processed as a Freedom 
of Information Act (FOIA) request under 14 CFR part 1206. If the records 
requested are subject to release under FOIA (5 U.S.C. 552(b)), then a 
Privacy Act exemption may not be invoked to deny access.
    (4) When an individual requests records in a system of records 
maintained on the individual, the request shall be processed under this 
part. NASA will not rely on exemptions contained in FOIA to withhold any 
record which is otherwise accessible to the individual under this part.



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 (See 
NASA Management Instruction (NMI) 1382.18).
    (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(g) (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

[[Page 80]]

transferred in a form that is not individually identifiable;
    (6) To the National Archives and Records Administration as a record 
which has sufficient historical or other value to warrant its continued 
preservation by the United States Government or for evaluation by the 
Archivist of the United States or the Archivist's designee to determine 
whether the record has such value;
    (7) To another agency or to an instrumentality of any governmental 
jurisdiction within or under the control of the United States for a 
civil or criminal law enforcement activity, if the activity is 
authorized by law and if the head of the agency or instrumentality has 
made a written request to NASA specifying the particular portion desired 
and the law enforcement activity for which the record is sought;
    (8) To a person pursuant to a showing of compelling circumstances 
affecting the health or safety of an individual if upon such disclosure 
notification is transmitted to the last known address of such 
individual;
    (9) To either House of Congress or, to the extent the matter is 
within its jurisdiction, any committee or subcommittee, or any joint 
committee of Congress or subcommittee of any such joint committee;
    (10) To the Comptroller General, or any of the Comptroller's 
authorized representative(s), in the course of the performance of the 
duties of the General Accounting Office;
    (11) Pursuant to the order of a court of competent jurisdiction; or
    (12) To a consumer reporting agency in accordance with section 
3711(f) of Title 31.



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.

[[Page 81]]



            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. 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.



Sec. 1212.301  Processing the request to amend.

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



Sec. 1212.302  Granting the request to amend.

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



               Subpart 1212.4--Appeals and Related Matters



Sec. 1212.400  Appeals.

    (a) Individuals may appeal to the Assistant Deputy Administrator 
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) An appeal shall:
    (1) Be in writing and addressed to the Assistant Deputy 
Administrator, NASA, Washington, DC 20546;
    (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.
    (c) 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)).
    (d) A final determination on an appeal shall be made within 30 work 
days after its receipt by the Assistant Deputy Administrator, unless, 
for good cause shown, the Assistant Deputy Administrator 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.
    (e) 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).

[[Page 82]]



Sec. 1212.401  Filing statements of dispute.

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



Sec. 1212.402  Disclosure to third parties of disputed records.

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



       Subpart 1212.5--Exemptions to Individuals' Rights of Access



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

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



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: (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 there may exist noncriminal investigative 
files 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.

[[Page 83]]

    (2) Reason for exemptions. (i) The Office of Inspector General is an 
office of NASA, a component of which performs as its principal function 
activity pertaining to the enforcement of criminal laws, within the 
meaning of 5 U.S.C. 552a(j)(2). This exemption applies only to those 
records and information contained in the system of records pertaining to 
criminal investigations. This system of records is exempt for one or 
more of the following reasons:
    (A) To prevent interference with law enforcement proceedings.
    (B) To avoid unwarranted invasion of personal privacy, by disclosure 
of information about third parties, including other subjects of 
investigation, investigators, and witnesses.
    (C) To protect the identity of Federal employees who furnish a 
complaint or information to the OIG, consistent with section 7(b) of the 
Inspector General Act of 1978, as amended, 5 U.S.C. App.
    (D) To protect the confidentiality of non-Federal employee sources 
of information.
    (E) To assure access to sources of confidential information, 
including that contained in Federal, State, and local criminal law 
enforcement information systems.
    (F) To prevent disclosure of law enforcement techniques and 
procedures.
    (G) To avoid endangering the life or physical safety of confidential 
sources and law enforcement personnel.
    (ii) Investigative records within this system of records which are 
compiled for law enforcement purposes, other than material within the 
scope of subsection (j)(2), are exempt under the provisions of 5 U.S.C. 
552a(k)(2): Provided, however, That if any individual is denied any 
right, privilege, or benefit that they would otherwise be entitled by 
Federal law, or for which they would otherwise be eligible, as a result 
of the maintenance of such material, such material shall be provided to 
such individual, except to the extent that the disclosure of such 
material would reveal the identity of a source who furnished information 
to the Government under an express promise that the identity of the 
source would be held in confidence, or, prior to January 1, 1975, under 
an implied promise that the identity of the sources would be held in 
confidence. This system of records is exempt for one or more of the 
following reasons:
    (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 fullfill 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.

[[Page 84]]

The Security Records System is exempted from the following sections of 
the Privacy Act (5 U.S.C. 552a): (c)(3) relating to access to the 
disclosure accounting; (d) relating to access to the records; (e)(1) 
relating to the type of information maintained in the records; (e)(4) 
(G), (H), and (I) relating to publishing the system notice information 
as to agency procedures for access and amendment, and information as to 
the categories of sources of records; and (f) relating to developing 
Agency rules for gaining access and making corrections.
    (2) Reason for exemption. (i) Personnel Security Records contained 
in the system of records which are compiled solely for the purpose of 
determining suitability, eligibility, or qualifications for Federal 
civilian employment, Federal contracts, or access to classified 
information are exempt under the provisions of 5 U.S.C. 552a(k)(5), but 
only to the extent that the disclosure of such material would reveal the 
identity of the source who furnished information to the Government under 
an express promise that the identity of the source would be held in 
confidence, or, prior to January 1, 1975, under an implied promise that 
the identity of the sources would be held in confidence. This system of 
records is exempt for one or more of the following reasons:
    (A) To fulfill commitments made to protect the confidentiality of 
sources.
    (B) To assure access to sources of confidential information, 
including that contained in Federal, State, and local criminal law 
enforcement information systems.
    (ii) Criminal Matter Records are contained in the system of records 
and are exempt under the provisions of 5 U.S.C. 552a(k)(2): Provided, 
however, That if any individual is denied any right, privilege, or 
benefit that they would otherwise be entitled by Federal law, or for 
which they would otherwise be eligible, as a result of the maintenance 
of such material, such material shall be provided to such individual, 
except to the extent that the disclosure of such material would reveal 
the identity of a source who furnished information to the Government 
under an express promise that the identity of the source would be held 
in confidence, or, prior to January 1, 1975, under an implied promise 
that the identity of the sources would be held in confidence. This 
system of records is exempt for one or more of the following reasons:
    (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).



             Subpart 1212.6--Instructions for NASA Employees



Sec. 1212.600  General policy.

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

[[Page 85]]



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

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



Sec. 1212.602  Requirements for collecting information.

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



Sec. 1212.603  Mailing lists.

    NASA will not sell, rent, or otherwise disclose an individual's name 
and address to anyone, unless otherwise specifically authorized by law.



Sec. 1212.604  Social security numbers.

    (a) It is unlawful for NASA to deny to individuals any rights, 
benefits, or privileges provided by law because of the individuals' 
refusal to disclose their social security numbers, except where:
    (1) The disclosure is required by law; or
    (2) The disclosure is from a system of records in existence and 
operating before January 1, 1975, and was required

[[Page 86]]

under statute or regulation adopted before that date to verify the 
identity of the individual(s).
    (b) Any time individuals are requested to disclose their social 
security numbers, NASA shall indicate whether that disclosure is 
mandatory or voluntary, by what authority the numbers are requested, and 
what uses will be made of them.



Sec. 1212.605  Safeguarding information in systems of records.

    (a) Safeguards appropriate for a NASA system of records shall be 
developed by the system manager in a written plan approved by the 
Installation Security Officer.
    (b) When records or copies of records are distributed within NASA 
they shall be prominently identified as records protected under the 
Privacy Act and shall be subject to the same safeguard, retention, and 
disposition requirements applicable to the system of records.
    (c) When records or copies of records are distributed to other 
Federal agencies, other than those having custody of the systems of 
records, they shall be prominently identified as records protected under 
the Privacy Act.
    (d) Records that are otherwise required by law to be released to the 
public need not be safeguarded or identified as Privacy Act records.



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

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



           Subpart 1212.7--NASA Authority and Responsibilities



Sec. 1212.700  NASA employees.

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



Sec. 1212.701  Assistant Deputy Administrator.

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



Sec. 1212.702  Associate Administrator for Management Systems and Facilities.

    (a) The Associate Administrator for Management Systems and 
Facilities is responsible for the following:
    (1) Providing overall supervision and coordination of NASA's 
policies and procedures under this regulation;

[[Page 87]]

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



Sec. 1212.703  Headquarters and Field or Component Installations.

    (a) Officials-in-Charge of Headquarters Offices, Directors of NASA 
Field Installations and Officials-in-Charge of Component Installations 
are responsible for the following with respect to those systems of 
records maintained in their organization:
    (1) Avoiding the establishment of new systems of records or new 
routine uses of a system of records without first complying with the 
requirements of this regulation;
    (2) Ensuring that the requirements of this regulation and the 
Privacy Act are followed by employees;
    (3) Ensuring that there is appropriate coordination within NASA 
before a determination is made to disclose information without the 
individual's consent under authority of 5 U.S.C. 552a(b) (See Sec. 
1212.203(g)); and
    (4) Providing appropriate oversight for responsibilities and 
authorities exercised by system managers under their jurisdiction (Sec. 
1212.704).
    (b) Directors of NASA Field Installations and Officials-in-Charge of 
Component Installations or designees may establish a position of 
installation Privacy Officer to assist in carrying out the 
responsibilities listed in paragraph (a) of this section.



Sec. 1212.704  System manager.

    (a) Each system manager is responsible for the following with regard 
to the system of records over which the system manager has cognizance:
    (1) Overall compliance with the ``Privacy Act--NASA Regulations'' 
(NASA Management Instruction (NMI) 1382.17) and the Computer Matching 
Program (NMI 1382.18);
    (2) Ensuring that each person involved in the design, development, 
operation, or maintenance of the system of records is instructed with 
respect to the requirements of this regulation and the possible 
penalties for noncompliance;
    (3) Submitting a request to the Assistant Deputy Administrator for 
an exemption of the system under subpart 1212.5 of this part, setting 
forth in proposed rulemaking form the reasons for the exemption and 
citing the specific provision of the Privacy Act which is believed to 
authorize the exemption;
    (4) After consultation with the Office of the General Counsel or the 
Chief Counsel, making reasonable efforts to serve notice on an 
individual when any record on such individual is made available to any 
person under compulsory legal process when such process becomes a matter 
of public record;
    (5) Making an initial determination on an individual's request to 
correct or amend a record, in accordance with Sec. 1212.302;
    (6) Prior to disclosure of any record about an individual, assuring 
that the record is first reviewed for accuracy, completeness, 
timeliness, and relevance;
    (7) Authorizing disclosures of a record without the individual's 
consent under Sec. 1212.203(g) (1) through (12);
    (8) Responding within the requirements of Sec. 1212.200 to an 
individual's request for information as to whether the system contains a 
record pertaining to the individual;
    (9) Responding to an individual's request for access and copying of 
a record, in accordance with subpart 1212.2 of this part;
    (10) Amending a record under subpart 1212.3 of this part, or filing 
in an individual's record a statement of dispute;
    (11) Preparing an addendum to an individual's statement of dispute 
to be

[[Page 88]]

filed in the individual's records, in accordance with Sec. 1212.401;
    (12) Maintaining disclosure accountings in accordance with 5 U.S.C. 
552a(c) and 14 CFR 1212.203. This includes records disclosed pursuant to 
any computer matching programs;
    (13) Notifying persons to whom a record has been disclosed and for 
which an accounting was made as to disputes and corrections involving 
the record; and
    (14) Developing appropriate safeguards for the system of records in 
accordance with Sec. 1212.605(a).
    (b) Where a system of records has subsystems described in the system 
notice, the subsystem manager will have the responsibilities outlined in 
paragraph (a) of this section. Although the system manager has no line 
authority over subsystem managers, the system manager does have overall 
functional responsibility for the total system, and may issue guidance 
to subsystem managers on implementation of this part. When furnishing 
information for required reports, the system manager will be responsible 
for reporting the entire system of records, including any subsystems.
    (c) Exercise of the responsibilities and authorities in paragraph 
(a) of this section by any system or subsystem managers at a NASA 
Installation shall be subject to any conditions or limitations imposed 
in accordance with Sec. 1212.703 (a)(4) and (b).



Sec. 1212.705  Assistant Administrator for Procurement.

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



Sec. 1212.706  Delegation of authority.

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



    Subpart 1212.8--Failure to Comply With Requirements of This Part



Sec. 1212.800  Civil remedies.

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



Sec. 1212.801  Criminal penalties.

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



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




Sec.
1213.100 Scope.
1213.101 Policy.
1213.102 Responsibility.
1213.103 Procedures for issuance of news releases.

[[Page 89]]

1213.104 Procedures for news release coordination and concurrence.
1213.105 Interviews.
1213.106 Audiovisual material.
1213.107 International news releases.
1213.108 Security.

    Authority: 42 U.S.C. 2473(a)(3) and NSDD-84, ``Safeguarding National 
Security Information.''

    Source: 52 FR 45936, Dec. 3, 1987, unless otherwise noted.



Sec. 1213.100  Scope.

    This part 1213 sets forth the policy governing the release of 
information in any form to news and information media. Not included is 
the release of scientific and technical information to scientific and 
technical journals and audiences.



Sec. 1213.101  Policy.

    (a) Consistent with NASA statutory responsibility, NASA will ``* * * 
provide for the widest practicable and appropriate dissemination of 
information concerning its activities and the results thereof, * * *''
    (b) Release of information concerning NASA activities and the 
results will be made promptly, factually and completely. Exceptions 
include that information whch may be exempt from disclosure under the 
``Freedom of Information Act'' (5 U.S.C. 552, as amended) (14 CFR part 
1212). For classified DoD missions on the National Space Transportation 
System (NSTS), release of information concerning NASA activities will be 
restricted by the STS Security Classification Guide. In addition, 
information concerning the survivability/vulnerability of the NSTS may 
be classified for all NSTS operations.
    (c) NASA will respond promptly to queries from the information media 
and industry, and cooperate with contractors in their release of NASA 
related informational material including advertising.
    (d) NASA officials may participate in interviews and speak for the 
Agency in areas of their assigned responsibility.



Sec. 1213.102  Responsibility.

    (a) The Associate Administrator for Public Affairs is responsible 
for the development and overall administration of an integrated 
Agencywide communications program and determines whether the specific 
information is to be released. The Associate Administrator for Public 
Affairs will:
    (1) Direct and coordinate all Headquarters and agencywide public 
information activities.
    (2) Direct and coordinate all agencywide news-oriented audiovisual 
activities.
    (b) In accordance with Sec. 1213.104, the Public Affairs Officers 
assigned to Headquarters Program and Staff Offices are responsible for 
developing plans and coordinating all public information activities 
covering their respective programs at Headquarters and in the field.
    (c) In accordance with Sec. 1213.104, Directors of Field 
Installations, through their Public Affairs Officers, are responsible 
for initiating and obtaining concurrences for information programs and 
public releases issued by their respective installation and component 
installations.
    (d) The requirements of this section do not apply to the Office of 
Inspector General (IG) regarding IG activities.

[52 FR 45936, Dec. 3, 1987, as amended at 56 FR 66787, Dec. 26, 1991]



Sec. 1213.103  Procedures for issuance of news releases.

    (a) All Headquarters news releases will be issued by the Office of 
Public Affairs, Media Services Division.
    (b) Directors of Field Installations, through their Public Affairs 
Officer, may release information for which that Field Installation is 
the primary or sole source, i.e., launch, mission, and planetary 
encounter commentary; telephone recorded messages; status reports; and 
releases of local or regional interest. Release of information that has 
national significance will be coordinated with the Associate 
Administrator for Public Affairs. Material received from contractors 
prior to its public release may be reviewed for technical accuracy at 
the contracting Installation.
    (c) The requirements of this section do not apply to the Office of 
Inspector General regarding IG activities.

[52 FR 45936, Dec. 3, 1987, as amended at 56 FR 66787, Dec. 26, 1991]

[[Page 90]]



Sec. 1213.104  Procedures for news release coordination and concurrence.

    (a) General. All organizational elements of NASA involved in 
preparing and issuing NASA news releases are responsible for proper 
coordination and obtaining concurrences and clearances prior to issuance 
of the news release. Such coordination will be accomplished through the 
Associate Administrator for Public Affairs, NASA Headquarters.
    (b) Headquarters-field. (1) The Headquarters Office of Public 
Affairs will release information after obtaining all necessary 
concurrences and clearances from the appropriate Program or other 
Headquarters Office. Field Installations will obtain clearances from the 
appropriate Institutional Program or other Headquarters Office.
    (2) Headquarters issuance of a news release bearing on a Field 
Installation will be coordinated with the Installation through the 
appropriate Institutional Program Office/Public Affairs Office, 
Associate Administrator for Public Affairs, or Director, Media Services 
Division. If Headquarters is the issuing Agency for a release for which 
the primary source is an Installation, the Office of Public Affairs will 
keep the Installation fully informed.
    (3) If the Office of Public Affairs changes, delays, or cancels a 
release proposed for issuance by a Field Installation, the Installation 
and the appropriate Institutional Program Office affected will be 
notified of the reasons for the action.
    (c) Field-other. A release originating in one field installation 
that involves the activities of another installation (including 
Headquarters) will not be issued until the concurrences of all 
installations and appropriate Institutional Program Offices concerned 
have been obtained. The originating installation is responsible for 
arranging a mutually acceptable release time.
    (d) Simultaneous release. Where a release is to be simultaneously 
issued, whether by Headquarters, a field installation, industry-NASA, or 
university-NASA, it will be so stated on the news release. Simultaneous 
release will be coordinated by the Headquarters Director, Media Services 
Division.
    (e) Date lines. Out-of-town date lines will not be used on releases 
issued by Headquarters except in the case of an advance release of a 
speech text intended for regional distribution in the area where the 
speech will be delivered.
    (f) Exchange of releases. All Agency releases will be exchanged 
electronically with all field installations by the Headquarters 
newsroom. The full text of important releases, regardless of source, 
which may generate unusual interest and queries shall be sent by 
electronic mail or telephoned to all interested installations and 
Headquarters in advance of release time to enable public information 
officers to respond intelligently to queries arising locally.
    (g) Exchange of communication activities. All field installations 
will exchange information with the appropriate Headquarters Public 
Affairs Officers concerning news events and releases. Immediate 
notification will be made to Headquarters and any impacted installation 
of events or situations that will make news, particularly of a negative 
nature.
    (h) The requirements of this section do not apply to the Office of 
Inspector General regarding IG activities.

[52 FR 45936, Dec. 3, 1987, as amended at 56 FR 66787, Dec. 26, 1991]



Sec. 1213.105  Interviews.

    (a) NASA personnel will respond promptly to requests to media 
representatives for information or interviews.
    (b) Normally, requests for interviews with NASA officials will be 
made through the appropriate Public Affairs Office. However, journalists 
will have direct access to those NASA officials they seek to interview.
    (c) Information given to the press will be on an ``on-the-record'' 
basis only and attributable to the person(s) making the remarks. Any 
NASA employee providing material to the press will identify himself/
herself as the source.
    (d) Any attempt by news media representatives to obtain classified 
information will be reported through the Headquarters Office of Public 
Affairs or Installation Public Affairs Office to the Installation 
Security Office. The

[[Page 91]]

knowing disclosure of classified information to unauthorized individuals 
will be cause for disciplinary actions against the NASA employee 
involved.
    (e) Public information volunteered by a NASA official will not be 
considered exclusive to any one media source and will be made available 
to other sources, if requested.
    (f) For a DoD classified operation, all inquiries concerning this 
activity will be responded to by the designated DoD officer.

[52 FR 45936, Dec. 3, 1987, as amended at 56 FR 66788, Dec. 26, 1991]



Sec. 1213.106  Audiovisual material.

    (a) NASA's central repository of audiovisual material will be 
available to the information media and to all NASA installations.
    (b) Field installations will provide NASA Headquarters with:
    (1) Selected prints and original or duplicate negatives of news-
oriented photographs generated within their respective areas.
    (2) Selected color motion picture footage (prints) which, in the 
opinion of the installation, would be appropriate for use as features in 
programs.
    (3) Audio and/or video tapes of significant news developments and 
other events of historical or public information interest.
    (4) For DoD classified operations, all audiovisual material of or 
related to the classified operation will be reviewed and deemed 
releasable by the designated DoD officer.



Sec. 1213.107  International news releases.

    (a) All releases of information involving NASA activities or views 
affecting another country or an international organization require prior 
coordination with the International Relations Division, Office of 
External Relations, through the Public Affairs Officer assigned to that 
division.
    (b) NASA field installations and Headquarters offices will report 
all visits proposed by representatives of foreign news media to the 
Public Affairs Officer for the International Relations Division, NASA 
Headquarters.
    (c) Safeguards intended to control access to classified information, 
materials, or facilities and provisions to protect the NSTS as a 
national resource will not be diminished in providing assistance to 
foreign or U.S. news representatives.



Sec. 1213.108  Security.

    It is the responsibility of each Public Affairs Officer to implement 
the STS Security Classification Guide for each DoD classified operation 
on the NSTS. Guidance for this implementation will be provided in the 
joint NASA and USAF Public Affairs plan for each mission. In addition, 
each NASA installation involved in the NSTS will have information 
concerning the protection of the NSTS as a national resource. This 
category of information, including NSTS survivability/vulnerability 
data, may be classified. Therefore, all questions regarding security 
classification will be resolved by the appropriate security 
classification officer at any NASA installation or by the designated DoD 
security officer for DoD classified information.



PART 1214--SPACE FLIGHT--Table of Contents




 Subpart 1214.1--General Provisions Regarding Space Shuttle Flights of 
        Payloads for Non-U.S. Government, Reimbursable Customers

Sec.
1214.100 Scope.
1214.101 Eligibility for flight of a non-U.S. government reimbursable 
          payload on the Space Shuttle.
1214.102 Definitions.
1214.103 Reimbursement for standard services.
1214.104 Reimbursement for optional services.
1214.105 Apportionment and/or assignment of services.
1214.106 Minor delays.
1214.107 Postponement.
1214.108 Termination.
1214.109 Scheduling.
1214.110 Reflight.
1214.111 Rendezvous services.
1214.112 Patent, data and information matters.
1214.113 Allocation of risk.
1214.114 Provision of services.
1214.115 Standard services.
1214.116 Typical optional services.
1214.117 Launch and orbit parameters for a standard launch.
1214.118 Special criteria for deployable payloads.

[[Page 92]]

1214.119 Spacelab payloads.

  Subpart 1214.2--Reimbursement for Shuttle Services Provided to Civil 
   U.S. Government Users and Foreign Users Who Have Made Substantial 
                      Investment in the STS Program

1214.200 Scope.
1214.201 Definition.
1214.202 Reimbursement policy.
1214.203 Optional reflight guarantee.
1214.204 Patent and data rights.
1214.205 Revisit and/or retrieval services.
1214.206 Damage to payload.
1214.207 Responsibilities.

Appendix A to Subpart 1214.2--Costs for Which NASA Shall Be Reimbursed
Appendix B to Subpart 1214.2--Occupancy Fee Schedule

  Subpart 1214.3--Payload Specialists for Space Transportation System 
                             (STS) Missions

1214.300 Scope.
1214.301 Definitions.
1214.302 Background.
1214.303 Policy.
1214.304 Process.
1214.305 Payload specialist responsibilities.
1214.306 Payload specialist relationship with sponsoring institutions.

            Subpart 1214.4--International Space Station Crew

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

  Subpart 1214.5--Mission Critical Space System Personnel Reliability 
                                 Program

1214.500 Scope.
1214.501 Applicability.
1214.502 Definitions.
1214.503 Policy.
1214.504 Screening requirements.
1214.505 Program implementation.

          Subpart 1214.6--Mementos Aboard Space Shuttle Flights

1214.600 Scope.
1214.601 Definitions.
1214.602 Policy.
1214.603 Official Flight Kit (OFK).
1214.604 Personal Preference Kit (PPK).
1214.605 Preflight packing and storing.
1214.606 Postflight disposition.
1214.607 Media and public inquiries.
1214.608 Safety requirements.
1214.609 Loss or theft.
1214.610 Violations.

      Subpart 1214.7--The Authority of the Space Shuttle Commander

1214.700 Scope.
1214.701 Definitions.
1214.702 Authority and responsibility of the Space Shuttle commander.
1214.703 Chain of command.
1214.704 Violations.

           Subpart 1214.8--Reimbursement for Spacelab Services

1214.800 Scope.
1214.801 Definitions.
1214.802 Relationship to Shuttle policy.
1214.803 Reimbursement policy.
1214.804 Services, pricing basis, and other considerations.
1214.805 Unforeseen customer delay.
1214.806 Premature termination of Spacelab flights.
1214.807 Exceptional payloads.
1214.808 Standby payloads.
1214.809 Short-term call-up and accelerated launch.
1214.810 Integration of payloads.
1214.811 Reflight guarantee.
1214.812 Payload specialists.
1214.813 Computation of sharing and pricing parameters.

          Subpart 1214.9--Small Self-Contained Payloads (SSCPs)

1214.900 What does this subpart cover?
1214.901 What is the relationship of this subpart with subparts 1214.1 
          and 1214.2?
1214.902 Definitions.
1214.903 What are the requirements concerning Launch Services Agreements 
          (LSA)?
1214.904 What are the conditions of use for a SSCP?
1214.905 What is NASA's reimbursement policy?
1214.906 When will my payload be scheduled to fly?
1214.907 Will NASA re-fly my payload if something goes wrong (and it's 
          not my fault)?
1214.908 Who gets rights to patents resulting from the payload or to the 
          scientific/research data generated?
1214.909 What if my payload is damaged?
1214.910 What are the standard services NASA provides for my payload?
1214.911 Can I buy optional services for my payload from NASA?
1214.912 Are there special provisions for SSCP participants who already 
          have a signed LSA governed by regulations in effect before 
          April 23, 1999?

Subpart 1214.10 [Reserved]

[[Page 93]]

1214.1000-1214.1004 [Reserved]

  Subpart 1214.11--NASA Astronaut Candidate Recruitment and Selection 
                                 Program

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

Subparts 1214.12-1214.16 [Reserved]

               Subpart 1214.17--Space Flight Participants

1214.1700 Scope.
1214.1701 Applicability.
1214.1702 Relation to other part 1214 material.
1214.1703 Definitions.
1214.1704 Policy.
1214.1705 Selection of space flight participants.
1214.1706 Program management.
1214.1707 Media and public inquiries.

    Authority: Section 203(c)(1), National Aeronautics and Space Act of 
1958, as amended (42 U.S.C. 2473(c)).



 Subpart 1214.1--General Provisions Regarding Space Shuttle Flights of 
        Payloads for Non-U.S. Government, Reimbursable Customers

    Authority: Section 203(c)(1), National Aeronautics and Space Act of 
1958, as amended (42 U.S.C. 2473(c)).

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



Sec. 1214.100  Scope.

    This subpart 1214.1 sets forth general provisions regarding flight 
of Space Shuttle cargo bay payloads for non-U.S. government, 
reimbursable customers. It does not apply to Small Self-Contained 
Payloads flown under the provision of subpart 1214.9 or payloads flown 
on a space-available basis on NASA-provided Hitchiker carriers.



Sec. 1214.101  Eligibility for flight of a non-U.S. government reimbursable payload on the Space Shuttle.

    To be eligible for flight on the Space Shuttle, non-U.S. government, 
reimbursable payloads must meet criteria for use of the Shuttle 
established by U.S. law and public policy. The NASA Administrator will 
determine and/or certify the compliance of the payload with these 
criteria. To qualify for flight on the Space Shuttle, non-U.S. 
government, reimbursable payloads must require the unique capabilities 
of the Shuttle, or be important for either national security or foreign 
policy purposes.



Sec. 1214.102  Definitions.

    (a) Customer. Any non-U.S. government person or entity who, by 
virtue of a contract or other arrangement with NASA, arranges for or 
otherwise provides payloads to be flown on the Shuttle on a reimbursable 
basis.
    (b) Dedicated flight. A shuttle flight flown for a single customer.
    (c) Dedicated flight price. The price established by NASA for a 
dedicated flight that provides the standard services listed in Sec. 
1214.115 for 1 day of single-shift, on-orbit mission operations.
    (d) Jettison. To physically separate all or a portion of a payload 
from the Shuttle after liftoff of the Shuttle without the intent of 
fulfilling the payload operations requirements agreed to by NASA and the 
customer.
    (e) Launch agreement. The primary document between NASA and the non-
U.S. government, reimbursable customer, containing the detailed terms, 
conditions, requirements and constraints under which NASA commits to 
provide launch services.
    (f) Marginal cost. Solely for the purposes of determining the cost 
of a reflight launch, marginal cost is defined as the cost to the U.S. 
Government, as determined by NASA's normal accounting procedures, 
associated with the addition or reduction of one flight in a given U.S. 
government fiscal year.
    (g) Non-U.S. government reimbursable customers are:
    (1) All non-U.S. Government persons or entities paying NASA for 
Shuttle services under this subpart 1214.1; or
    (2) U.S. Government agencies obtaining reimbursable Shuttle services 
for those persons or entities cited in paragraph (g)(1) of this section; 
e.g., the Department of Defense under a Foreign Military sales case.

[[Page 94]]

    (h) Optional services. Those nonstandard services provided at the 
customer's request and with the concurrence of NASA. The price for 
optional services is not included in the standard flight price.
    (i) Payload integration documentation. Documentation developed to 
reflect NASA/customer agreements on payload requirements, payload/
Shuttle interfaces, and ground and flight implementation of the mission. 
Includes the Payload Integration Plan, its Annexes and all related 
documentation.
    (j) Payload length. The maximum length of the payload in the Space 
Shuttle cargo bay at any time during launch, landing, operations, 
deployment, servicing or retrieval. It includes any clearance length 
necessary for items such as dynamic envelope considerations, deployment, 
retrieval, servicing and use of the remote manipulator system.
    (k) Payload weight. The maximum weight of the payload in the Space 
Shuttle cargo bay, including the weight of the payload itself and a pro 
rata share of the weight of any special equipment or materials needed 
for the mission.
    (l) Scheduled launch date. NASA's official then-best-estimate of the 
data of launch. This will be the date of record for all scheduling and 
reimbursement procedures.
    (m) Shared flight. A flight that may be shared by more than one 
customer.
    (n) Shuttle standard flight price. The price for Shuttle standard 
services provided to the customer.
    (o) Standard launch. A launch meeting all the launch and orbit 
criteria defined in Sec. 1214.117.
    (p) Standard services. Those services which are generally made 
available for all customers, which for Space Shuttle are generically 
defined in NASA document NSTS 07700, Volume XIV, and which are included 
in the standard flight price. If the payload uses only a portion of the 
standard services, the standard flight price will not be affected.



Sec. 1214.103  Reimbursement for standard services.

    (a) Establishment of price. NASA will establish, and update as 
appropriate, the standard flight price under this Sec. 1214.1.
    (b) Advance pricing. NASA normally will agree to a standard flight 
price no later than 3 years in advance of launch.
    (c) Price stability. The standard flight price will be fixed, 
subject to the terms of the launch agreement, and subject to escalation 
pursuant to Sec. 1214.103(d), and will be the price set by NASA as of 
the time of signing a launch agreement.
    (d) Escalation of payments. With the exception of payments for 
earnest money, all payments will be escalated according to the U.S. 
Bureau of Labor Statistics Index, ``Private Business Sector, All 
Persons: Productivity, Hourly Compensation, Unit Labor Cost and Prices 
Seasonally Adjusted'' table, ``Compensation, Per Hour,'' column 
published in the U.S. Department of Labor, Bureau of Labor Statistics, 
news release entitled ``Productivity and Costs.''
    (e) Independence of pricing and manifesting. The standard flight 
price for a shared flight payload as computed from 1214.103(g) will be 
independent from the actual payload manifest for a specific shared 
flight.
    (f) Allocation of services. (1) Customers contracting for a 
dedicated flight are eligible for the full standard services, as defined 
in Sec. 1214.115, available on the flight.
    (2) Customers contracting for a standard shared flight meeting the 
criteria of Sec. 1214.117 are eligible for a portion of the standard 
services, as defined in Sec. 1214.115, available on the flight. The 
basis of apportionment will be determined by NASA and will be a function 
of the payload load factor.
    (g) Computation of prices. (1) The Shuttle standard flight price for 
a dedicated flight is the dedicated flight price as defined in Sec. 
1214.102(c).
    (2) The Shuttle standard flight price for a standard shared flight 
is the product of the payload's charge factor and the dedicated flight 
price as defined in Sec. 1214.102(c).
    (3) The computed charge factor for a payload is defined as:
    [GRAPHIC] [TIFF OMITTED] TC14NO91.003
    

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    If the computed charge factor exceeds 1.0, the charge factor will be 
1.0. If the computed charge factor is less than 0.067, the charge factor 
will be 0.067.
    (4) The load factor is defined as the maximum of:
    [GRAPHIC] [TIFF OMITTED] TC14NO91.004
    

where:
    (i) Payload length is as defined in Sec. 1214.102(j);
    (ii) Payload weight is as defined in Sec. 1214.102(k);
    (iii) For those payloads for which NASA has reviewed and accepted a 
NASA Form 1628 (Request for Flight Assignment) and received earnest 
money (if required) prior to (insert date of publication in Federal 
Register), the Shuttle lift capability for a shared flight, standard 
launch will be 29,478 kg. For all other payloads, the lift capability 
for a shared flight, standard launch will be 21,542 kg.
    (h) Payment schedule--(1) Earnest money. Earnest money in the amount 
of $100,000 per payload will be paid to NASA by the customer. The 
earnest money will be paid at the time of submission of a NASA Form 
1628, and will be applied to the first payment made by the customer 
toward the standard flight price, or will be retained by NASA unless 
NASA determines that the payload does not meet the eligibility criteria 
referenced in Sec. 1214.101.
    (2) Payment schedule for standard services. (i) Payment for standard 
services will be made in accordance with the following schedule:

----------------------------------------------------------------------------------------------------------------
                                                                     Percent of price due
                                            --------------------------------------------------------------------
  Number of months before launch flight is                         Months prior to scheduled launch date
                 scheduled                    At time of -------------------------------------------------------
                                              scheduling    33      24      18      12       6       3     Total
----------------------------------------------------------------------------------------------------------------
33 or more.................................  ...........      10      10      15      25      25      15     100
24-32......................................           11  ......      10      15      25      25      15     101
18-23......................................           23  ......  ......      15      25      25      15     103
12-17......................................           42  ......  ......  ......      25      25      15     107
6-11*......................................           73  ......  ......  ......  ......      25      15     113
3-5*.......................................          107  ......  ......  ......  ......  ......      15     122
Less than 3*...............................          122  ......  ......  ......  ......  ......  ......     122
----------------------------------------------------------------------------------------------------------------
*Additional charges pursuant to Sec. 1214.103(h)(2)(ii) also may apply.

    (ii) Unless otherwise agreed to by NASA, for purposes of the payment 
schedule of Sec. 1214.103(h)(2)(i), the percent of price due at the 
time of scheduling will be the cumulative amount due at the time of:
    (A) NASA's initial commitment to the schedule of a newly scheduled 
payload;
    (B) A customer's requested rescheduling of a payload such that it 
will be launched at an earlier date; or
    (C) Rescheduling of a payload postponed at the request of the 
customer or caused by the customer.
    (iii) If the time from a customer's request for initial scheduling 
or rescheduling of a payload is less than 1 year from the launch date 
being requested, and NASA can accommodate the request, NASA may also 
charge the customer any estimated additional cost of providing standard 
services on such a shortened schedule.
    (iv) Normally no charges for standard services will be made after 
the flight, except for a final adjustment for escalation.
    (i) Late payment fees. Customers who do not meet the payment 
schedule defined in Sec. 1214.103(h) will be subject to a late payment 
fee established by NASA in the launch agreement.



Sec. 1214.104  Reimbursement for optional services.

    (a) Pricing basis. To the extent practical, optional services will 
be provided on a fixed-price or fixed-rate basis. If this is not 
practical, the price will be on a governmental cost basis; i.e., the 
actual cost or in certain cases the estimated actual costs.

[[Page 96]]

    (b) Escalation of payments. All payments for optional services 
subject to escalation will be escalated in accordance with the 
provisions of Sec. 1214.103(d).
    (c) Schedules of payments. NASA will establish payment schedules for 
optional services and will incorporate those schedules in the launch 
agreement at the time a particular optional service is agreed to between 
the customer and NASA.
    (d) Late payment fees. Customers who do not make payments by the due 
dates defined by NASA will be subject to a late payment fee established 
by NASA in the launch agreement.



Sec. 1214.105  Apportionment and/or assignment of services.

    (a) Subject to NASA approval, a customer may apportion and/or assign 
Shuttle services to third parties within the payload. No apportionment 
and/or assignment of Shuttle services may take place outside the 
payload.
    (b) Integration of apportioned/assigned payload elements within the 
payload is the responsibility of the customer. Any NASA assistance in 
such integration will be provided as an optional service.
    (c) Customers intending to apportion and/or assign services will so 
designate at the time the launch agreement is signed.



Sec. 1214.106  Minor delays.

    NASA will attempt to accommodate customer requested minor launch 
delays. Such delays will normally be requested just prior to launch. 
Except for potential optional service charges, delays up to 72 hours can 
normally be accommodated at no charge. This 72-hour period is shared by 
all customers on a particular flight. The basis of proration will be 
established in the launch agreement. Delays beyond 72 hours will require 
NASA's approval and will result in an additional charge as established 
in the launch agreement.



Sec. 1214.107  Postponement.

    (a) Provisions of this paragraph apply to postponements requested or 
caused by the customer.
    (b) A customer postponing the flight of a payload will pay a 
postponement fee to NASA. The fee will be computed as a percentage of 
the customer's Shuttle standard flight price and will be based on the 
table below.

------------------------------------------------------------------------
                                                     Postponement fee,
                                                    percent of standard
    Months before scheduled launch date when           flight price
               postponement occurs               -----------------------
                                                   Dedicated     Shared
                                                    flights     flights
------------------------------------------------------------------------
More than 33....................................            0          0
18 or more but less than or equal to 33
    --1st postponement..........................            0          0
    --2nd and subsequent........................            5          5
17 or more but less than 18.....................            6          9
16 or more but less than 17.....................            7         13
15 or more but less than 16.....................            8         17
14 or more but less than 15.....................           10         20
13 or more but less than 14.....................           11         24
12 or more but less than 13.....................           12         28
11 or more but less than 12.....................           13         32
10 or more but less than 11.....................           14         36
9 or more but less than 10......................           15         40
8 or more but less than 9.......................           17         43
7 or more but less than 8.......................           18         47
6 or more but less than 7.......................           19         51
Less than 6.....................................           20         55
------------------------------------------------------------------------

    (c) If at any point, a customer postponement results in a launch 
date more than 12 months later than the original scheduled launch date, 
the standard flight price for the customer's payload may be adjusted by 
NASA to reflect any new standard flight price applicable at the time of 
the postponed launch, if such new price is higher than the originally 
contracted price.
    (d) The payment schedule for postponed flights will be as defined in 
Sec. 1214.103(h)(2).
    (e) Customers postponing the flight of a payload may also be subject 
to new or additional charges for optional services.



Sec. 1214.108  Termination.

    (a) Customers terminating the launch of a payload will pay a 
termination fee for standard services to NASA.
    (1) The termination fee for dedicated flights will be computed as a 
percentage of the Shuttle standard flight price and will be based on the 
table below.

------------------------------------------------------------------------
                                                       Termination fee,
Months before scheduled launch date when termination  percent of Shuttle
                       occurs                           standard flight
                                                             price
------------------------------------------------------------------------
18 or more..........................................                  10
17 or more but less than 18.........................                  11
16 or more but less than 17.........................                  12
15 or more but less than 16.........................                  13
14 or more but less than 15.........................                  15
13 or more but less than 14.........................                  16
12 or more but less than 13.........................                  17

[[Page 97]]

 
11 or more but less than 12.........................                  18
10 or more but less than 11.........................                  19
9 or more but less than 10..........................                  20
8 or more but less than 9...........................                  22
7 or more but less than 8...........................                  23
6 or more but less than 7...........................                  24
Less than 6.........................................                  25
------------------------------------------------------------------------

    (2) The termination fee for shared flights will be the sum of all 
payments previously paid or due for the standard flight price, as 
defined in Sec. 1214.103(h)(2), at the time of termination.
    (b) NASA may establish, in the launch agreement, certain conditions 
under which the customer may terminate a payload launch with reduced 
termination fees if NASA delays the launch of the customer's payload for 
an extended period.
    (c) Customers terminating the flight of a payload may also be 
subject to new or additional charges for optional services.



Sec. 1214.109  Scheduling.

    (a) Establishment of a launch date. (1) NASA will assign a tentative 
launch date for a payload only after NASA's receipt, review and 
acceptance of a customer-submitted NASA Form 1628 requesting flight 
assignment and NASA's receipt of the customer's earnest money.
    (2) NASA's confirmation of a particular launch date will be at the 
time a launch services agreement is signed, normally not later than 36 
months prior to the desired launch date.
    (b) NASA changes to launch date. NASA will attempt to maintain the 
customer's launch date as long as the customer's obligations, as 
established by NASA, are met. However, NASA may revise the launch date 
under those circumstances contained in the launch agreement. If 
practical, NASA launch date changes will be in consultation with the 
customer; however, NASA reserves the unilateral right to make decisions 
with regard to launch schedules.
    (c) Payload delivery. NASA, in consultation with the customer, will 
establish a date for payload delivery to the launch site.
    (d) Reflight scheduling. NASA will attempt to schedule a payload 
reflight at the earliest opportunity, but normally no earlier than 14 
months after a determination is made that a customer is entitled to, and 
in fact requests a reflight.



Sec. 1214.110  Reflight.

    (a) NASA will provide a reflight of a customer's payload under 
conditions defined in the launch agreement. The standard flight price 
for reflights will be based on NASA's marginal cost as defined in Sec. 
1214.102(f). Reflights only apply to dedicated flights and those shared-
flight payloads that can be accommodated on a standard launch as defined 
in Sec. 1214.117.
    (b) Reflights as defined in this Sec. 1214.110 apply only to the 
same payload involved in the launch that necessitated the reflight, or 
to an essentially identical payload with essentially identical 
integration and flight operations requirements.



Sec. 1214.111  Rendezvous services.

    (a) A rendezvous mission involves the rendezvous of the Space 
Shuttle orbiter with an orbiting spacecraft for one or more of the 
following purposes:
    (1) Retrieval and return to Earth of the orbiting spacecraft (or 
part thereof), including a spacecraft deployed earlier on the same Space 
Shuttle flight.
    (2) Exchange of a spacecraft (or part thereof) delivered to orbit on 
a particular Space Shuttle mission for an already orbiting spacecraft 
(or part thereof) and return of already orbiting spacecraft to Earth.
    (3) Revisit of an orbiting spacecraft for purposes such as resupply, 
repair, reboost or inspection.
    (b) Mission operational requirements and associated optional service 
charges and conditions for both dedicated and shared flight rendezvous 
services will be negotiated on a case-by-case basis.



Sec. 1214.112  Patent, data and information matters.

    (a) Patent and data rights. NASA will not acquire rights to 
inventions, patents or proprietary data which may be used in, or arise 
from, activities for which a customer has reimbursed

[[Page 98]]

NASA under the policies set forth herein. However, in certain instances 
in which the NASA Administrator has determined that activities may have 
a significant impact on the public health, safety or welfare, NASA may 
obtain assurances from the customer that the results will be made 
available to the public on terms and conditions reasonable under the 
circumstances.
    (b) Information. All customers will be required to furnish NASA with 
sufficient information to ensure Shuttle safety and NASA's and the U.S. 
Government's continued compliance with law, published policy and the 
U.S. Government's obligations.



Sec. 1214.113  Allocation of risk.

    The U.S. Government will assume no risk for damages to the customer 
resulting from certain activities conducted under the launch agreement 
or to third parties resulting from launch related activities or on-orbit 
operations. The customer will be required to agree to be bound by a 
cross-waiver of liability among the customer, other customers, related 
entities and NASA for all activities under the launch agreement. The 
customer will also be required to purchase third-party liability 
insurance covering launch and on-orbit operations in an amount deemed 
appropriate by NASA.



Sec. 1214.114  Provision of services.

    NASA will provide, solely at its discretion, services to the extent 
consistent with U.S. obligations, law, policy and capability.



Sec. 1214.115  Standard services.

    Standard services for the Space Shuttle are generically defined in 
NASA document NSTS 07700, Volume XIV. The standard services to be 
provided for a specific payload will be agreed to between NASA and the 
customer in the launch agreement and associated payload integration 
documentation. Typical standard services include the following for each 
customer.
    (a) A standard launch that meets the criteria established in Sec. 
1214.117.
    (b) Transportation of the customer's payload in the orbiter cargo 
bay in a location selected by NASA.
    (c) One day of single-shift, on-orbit mission operations.
    (d) A five-person flight crew: commander, pilot and three mission 
specialists.
    (e) Orbiter flight planning services.
    (f) One day of transmission of payload data to compatible receiving 
stations via an Independent Payload Data Stream. (Subject to 
availability, NASA may make excess orbiter instrumentation downlink 
capability available to payloads at no additional charge.)
    (g) Deployment of a free flyer, provided the payload meets all the 
conditions stated in Sec. 1214.118.
    (h) NASA support of selected payload design reviews.
    (i) Prelaunch payload installation, verification and orbiter 
compatibility testing.
    (j) NASA payload safety reviews.



Sec. 1214.116  Typical optional services.

    Typical optional services that may be provided by NASA include the 
following, and will be further defined and limited in payload 
integration documentation agreed upon by NASA and the customer.
    (a) Use of Extended Duration Orbiter (EDO) capability or other 
mission kits to extend basic orbiter capability.
    (b) Extravehicular activity (EVA) services.
    (c) Transportation to orbit of all or a part of the customer's 
payload in other than the orbiter cargo bay.
    (d) Unique payload/orbiter integration and test.
    (e) Payload mission planning services, other than for launch, 
deployment and entry phases.
    (f) Additional time on orbit.
    (g) Payload data processing.
    (h) Flight of payload specialists.
    (i) Transmission of payload data via an Independent Payload Data 
Stream during additional time on orbit.
    (j) Transmission of payload data via a Direct Data Stream.



Sec. 1214.117  Launch and orbit parameters for a standard launch.

    To qualify for the standard flight price, all payloads must meet the 
following launch criteria:
    (a) For dedicated flights:

[[Page 99]]

    (1) Launch from Kennedy Space Center (KSC) into the customer's 
choice of two standard mission orbits: 160 NM circular orbit, 
28.5 inclination (nominal), or 160 NM circular orbit, 
57 inclination (nominal).
    (2) Launch on a date selected by NASA within the scheduling 
constraints specified in the launch agreement.
    (3) Launch at a time, selected by NASA, from a launch window of not 
less than 1 hour (a more restrictive launch window may be provided as an 
optional service).
    (b) For shared flights from KSC to the standard mission orbit of 160 
NM circular orbit, 28.5 inclination (nominal):
    (1) Launch on a date selected by NASA within the scheduling 
constraints specified in the launch agreement.
    (2) Launch at any time of day, selected by NASA.



Sec. 1214.118  Special criteria for deployable payloads.

    To qualify for the standard flight price, deployable payloads must 
meet certain criteria in terms of time of day of launch, and other 
factors. These criteria will be specified in the launch agreement and 
associated payload integration documentation.



Sec. 1214.119  Spacelab payloads.

    (a) Special provisions. This Sec. 1214.119 establishes the special 
provisions for Spacelab services provided to Space Shuttle customers. 
Where designated, provisions of this Sec. 1214.119 supersede those of 
other portions of this document. The following five types of Spacelab 
flights are available to accommodate payload requirements:
    (1) Dedicated-Shuttle Spacelab flight (Ref. Sec. 1214.119(d)(3)).
    (2) Dedicated-pallet flight (Ref. Sec. 1214.119(d)(4)).
    (3) Dedicated-FMDM/MPESS (flexible multiplexer-demultiplexer/
multipurpose experiment support structure) flight (Ref. Sec. 
1214.119(d)(4)).
    (4) Complete-pallet flight (Ref. Sec. 1214.119(d)(5)).
    (5) Shared-element flight (Ref. Sec. 1214.119(d)(6)).
    (b) Definitions--(1) Spacelab elements. Pallets (3-meter segments), 
pressurized modules (long or short), and the FMDM/MPESS (1-meter cross-
bay structure), all as maintained in the NASA-approved Spacelab 
configuration.
    (2) Spacelab standard flight price. The price for standard services 
provided to Spacelab customers. If a customer elects not to use a 
portion of the standard services, the Spacelab standard flight price 
will not be affected. The Spacelab standard flight price is a pro rata 
share of:
    (i) The dedicated flight price as defined in Sec. 1214.102(c);
    (ii) The standard price for use of the selected Spacelab elements; 
and
    (iii) For complete-pallet and shared-element flights:
    (A) The price for 6 extra days on orbit; and
    (B) The price for 7 days of second-shift operation.
    (c) Mandatory use of dedicated-Shuttle Spacelab flight. (1) The 
customer will be required to fly under the provisions of Sec. 
1214.119(d)(3), if the customer requires exclusive use of any of the 
following:
    (i) Pressurized module (long or short).
    (ii) Three pallets in the ``1+1+1'' configuration.
    (iii) Four pallets in the ``2+2'' configuration.
    (2) In the cases cited in paragraph (1)(i) of this section, if the 
customer requests, NASA will attempt to find compatible sharees to fly 
with the customer's payload. If NASA is successful, the customer's 
Shuttle standard flight price will be the greater of:
    (i) The dedicated flight price less reimbursements from sharees 
actually flown; or
    (ii) The computed Shuttle shared-flight price for the customer's 
Spacelab payload.
    (d) Reimbursement for standard services. (1) Customers will 
reimburse NASA an amount equal to the Spacelab standard flight price 
computed according to the following provisions:
    (2) Earnest money. For those customers required to pay earnest money 
in accordance with Sec. 1214.103(h)(1), the total earnest money payment 
per payload for Spacelab payloads (including

[[Page 100]]

Shuttle services) will be either $150,000 or 10 percent of the 
customer's estimated Spacelab standard flight price, whichever is less.
    (3) Dedicated-Shuttle Spacelab flight. (i) A dedicated-Shuttle 
Spacelab flight is a Shuttle flight flown for a single customer who is 
entitled to select the Spacelab elements used on the flight.
    (ii) In addition to the standard services listed in Sec. 
1214.119(j), the following standard services are provided to customers 
of dedicated-Shuttle Spacelab flights and form the basis for the 
Spacelab standard flight price:
    (A) Use of the full standard services of the Shuttle and the 
Spacelab elements selected.
    (B) One day of one-shift on-orbit operations.
    (C) Standard mission destinations consistent with launch criteria as 
defined in Sec. 1214.117.
    (D) The available payload operations time of two NASA-furnished 
mission specialists.
    (iii) Customers contracting for a dedicated-Shuttle Spacelab flight 
will reimburse NASA for standard services an amount that is the sum of:
    (A) The dedicated flight price as defined in Sec. 1214.102(c); and
    (B) The price for the use of all Spacelab elements used (including 
all necessary mission-independent Spacelab equipment).
    (4) Dedicated 3-meter pallets and dedicated FMDM/MPESS. (i) A 
dedicated pallet (or a dedicated FMDM/MPESS) is one that is flown for a 
single customer and includes all Spacelab hardware necessary to permit 
it to be flown on any shared flight as an autonomous payload (e.g., a 
dedicated 3-meter pallet may either be supplied with its own exclusive 
igloo or be flown without an igloo, if it requires only standard Shuttle 
services).
    (ii) In addition to a pro rata share of the standard services listed 
in Sec. 1214.119(j), the following standard services are provided to 
customers of dedicated pallets (or dedicated FMDM/MPESS) and form the 
basis for establishing the Spacelab standard flight price:
    (A) A pro rata share of the standard services listed in Sec. 
1214.115, where the basis for proration is the customer's Shuttle load 
factor as defined in Sec. 1214.119(l)(4)(i) for dedicated pallets and 
in Sec. 1214.119(l)(5)(ii) for a dedicated FMDM/MPESS.
    (B) The exclusive services of the pallet (or FMDM/MPESS) and all 
Spacelab hardware provided to support the pallet (or FMDM/MPESS).
    (C) One day of one-shift on-orbit operations.
    (D) Launch on a shared standard Shuttle flight as defined in Sec. 
1214.117.
    (E) A pro rata share of the on-orbit payload operations time of two 
NASA-furnished mission specialists, where the basis of proration will be 
the customer's Shuttle load factor.
    (iii) Customers contracting for a dedicated-pallet (or FMDM/MPESS) 
flight will reimburse NASA for standard services an amount that is the 
sum of:
    (A) The product of the customer's Shuttle charge factor and the 
dedicated flight price as defined in Sec. 1214.102(c); and
    (B) The price for the use of the pallet (or FMDM/MPESS) selected 
(including all necessary mission-independent Spacelab equipment).
    (5) Complete pallet. (i) A complete Spacelab pallet is one that is 
flown for a single customer, but flies with other Spacelab elements on a 
NASA or NASA-designated Spacelab flight and shares the common standard 
Spacelab services (e.g., shares an igloo with other pallets).
    (ii) In addition to a pro rata share of the standard services listed 
in Sec. 1214.119(j), the following standard services are provided to 
customers of complete pallets and form the basis for the Spacelab 
standard flight price:
    (A) The pallet's pro rata share of standard services listed in Sec. 
1214.115, where the basis of proration will be the customer's Shuttle 
load factor as defined in Sec. 1214.119(l)(6)(i).
    (B) A pro rata share of 7 days of two-shift on-orbit operations, 
where the basis of proration will be the customer's Shuttle load factor.
    (C) Mission destination selected by NASA in consultation with the 
customer.
    (D) Assignment, with the customer's concurrence, to a Spacelab 
flight designated by NASA.

[[Page 101]]

    (E) Launch date established by NASA.
    (F) A pro rata share of the on-orbit payload operations time of two 
NASA-furnished mission specialists and two payload specialists, where 
the basis of proration will be the customer's Shuttle load factor.
    (G) Use of the entire volume above a pallet.
    (iii) Customers contracting for complete-pallet flights will 
reimburse NASA for standard services an amount which is the sum of:
    (A) The product of the customer's Shuttle charge factor and the sum 
of:
    (1) The dedicated flight price as defined in Sec. 1214.102(c).
    (2) The charge for 6 extra days of one-shift on-orbit operations.
    (3) The standard price for additional services required to support a 
second shift of on-orbit operations for 7 days.
    (B) The price for the use of a complete pallet, including all 
necessary mission-independent Spacelab equipment.
    (6) Shared element. (i) A shared element is a Spacelab pallet, FMDM/
MPESS, or module that:
    (A) May be shared by two or more customers on a NASA-designated 
Spacelab flight; and
    (B) Shares common standard services with other Spacelab elements on 
the same flight.
    (ii) In addition to a pro rata share of the standard services listed 
in Sec. 1214.119(j), the following standard services are provided to 
customers of shared elements and form the basis for the Spacelab 
standard flight price:
    (A) For shared pallets, a pro rata share of the standard services 
provided by a pallet. The basis of proration will be the customer's 
Spacelab load fraction as defined in Sec. 1214.119(l)(7)(i)(A).
    (B) For shared modules, a pro rata share of the standard services 
provided by a long module flown on a dedicated-Shuttle Spacelab flight. 
The basis of proration will be the customer's Spacelab load fraction as 
defined in Sec. 1214.119(l)(7)(i)(B). The type of pressurized module 
actually used to meet a customer's requirement for a shared module will 
be determined by NASA subsequent to launch agreement negotiations.
    (C) A pro rata share of the element's share of standard services 
listed in Sec. 1214.115, where the basis for proration will be the 
customer's Spacelab load fraction.
    (D) A pro rata share of 7 days of two-shift on-orbit operations, 
where the basis of proration will be the customer's Shuttle load factor 
as defined in Sec. 1214.119(l)(7)(i).
    (E) Mission destination selected by NASA in consultation with the 
customer.
    (F) Assignment, with the customer's concurrence, to a Spacelab 
flight designated by NASA.
    (G) Launch date established by NASA.
    (H) A pro rata share of the on-orbit operations time of two NASA-
furnished mission specialists, where the basis of proration will be the 
customer's Shuttle load factor.
    (iii) Customers contracting for shared-element flights will 
reimburse NASA for Standard services an amount that is the sum of:
    (A) The product of the customer's Shuttle charge factor and the sum 
of:
    (1) The dedicated flight price as defined in Sec. 1214.102(c);
    (2) The charge for 6 extra days of one-shift on-orbit operations; 
and
    (3) The standard price for additional services required to support a 
second shift of on-orbit operations for 7 days.
    (B) The product of the customer's element charge factor and the 
price for the use of the Spacelab element being used, including all 
necessary mission-independent Spacelab equipment.
    (e) Minor delays. The minor delay provisions of Sec. 1214.106 will 
apply only to those Spacelab payloads whose Shuttle load factor is equal 
to or greater than 0.05.
    (f) Postponement and termination. (1) A customer may postpone the 
flight of a Spacelab payload one time with no additional charge if 
postponement occurs more than 18 months before the scheduled launch 
date.
    (2) Postponement or termination fees for Spacelab payloads will 
consist of the sum of:
    (i) A fee for postponement or termination of the Shuttle launch.
    (ii) A fee for use of the Spacelab elements.

[[Page 102]]

    (3) For Shuttle launch postponement and termination fee customers 
will be governed by the provisions of Sec. 1214.107 or Sec. 1214.108, 
as appropriate.
    (4) The postponement and termination fees for use of the Spacelab 
elements are computed as a percentage of the customer's price for use of 
the Spacelab elements and will be based on the table below. When 
postponement or termination occurs less than 18 months before launch, 
the fees will be computed by linear interpolation using the points 
provided.

------------------------------------------------------------------------
                                                Fee for use of Spacelab
                                                 element(s), percent of
   Months before scheduled launch date when         price for use of
      postponement or termination occurs               element(s)
                                              --------------------------
                                               Postponement  Termination
------------------------------------------------------------------------
     Dedicated Flights, Dedicated Elements, and Dedicated FMDM/MPESS
------------------------------------------------------------------------
 
18 or more...................................           5           10
12...........................................          14           20
3............................................          60           85
0............................................          75          100
----------------------------------------------
Complete Pallets and Shared Elements
------------------------------------------------------------------------
18 or more...................................           5           10
12...........................................          18           80
9............................................          32           95
8 or less....................................          95          100
------------------------------------------------------------------------

    (5) At the time of signing of the launch agreement, NASA will define 
a payload removal cutoff date (relative to the launch date) for each 
Spacelab payload to be flown on a shared flight. A customer may still 
postpone or terminate a flight after the payload's cutoff date; however, 
NASA will not be required to remove the payload before flight.
    (6) Customers postponing or terminating the flight of a payload may 
also be subject to new or additional charges for optional services 
associated with Shuttle or Spacelab support provided by NASA.
    (g) Spacelab reflight. (1) For Spacelab payloads, the provisions of 
Sec. 1214.110 apply.
    [Reserved]
    (h) Premature termination of Spacelab flights. If a dedicated-
Shuttle Spacelab flight, a dedicated-pallet flight or dedicated-FMDM/
MPESS flight is prematurely terminated, NASA will refund the optional 
services charges for planned, but unused, extra days on orbit. If a 
complete-pallet or shared-element flight is prematurely terminated, NASA 
will refund a pro rata share of the charges for planned, but unused, 
extra days on orbit to customers whose payload operations are, in NASA's 
judgment, adversely affected by such premature termination. The basis 
for proration will be the customer's Shuttle load factor.
    (i) Integration of payloads. (1) The customer will bear the cost of 
the following typical Spacelab-payload mission management functions:
    (i) Performing analytical design of the mission.
    (ii) Generating mission requirements and their documentation in the 
Payload Integration Plan (PIP).
    (iii) Providing mission-unique training and payload specialists (if 
appropriate).
    (iv) Physically integrating experiments into racks and/or onto 
pallets.
    (v) Providing payload-unique software for use during ground 
processing, on orbit or in POCC operations.
    (vi) Providing operation support.
    (vii) Ensuring the mission is safe.
    (2) All physical integration (and de-integration) of payloads into 
racks and/or onto pallets will normally be performed at KSC by NASA. 
When the customer provides Spacelab elements, these physical integration 
activities may be done by the customer at a location chosen by the 
customer.
    (3) Except for the restrictions noted in paragraph (i)(2) of this 
section, and the implementation of paragraph (i)(1)(vii), customers 
contracting for dedicated-Shuttle and dedicated-pallet flights may 
perform the Spacelab-payload mission management functions defined in 
paragraph (i)(1) of this section. NASA will assist customers in the 
performance of these functions, if requested. Charges for this service 
will be based on estimated actual costs, or actual costs where 
appropriate, and will be in addition to the price for standard services.
    (4) For complete pallets or shared elements, NASA will normally 
perform the Spacelab-payload mission management functions listed in 
paragraph (i)(1) of this section. Charges for this

[[Page 103]]

service will be based on estimated actual costs, or actual costs where 
appropriate, and will be in addition to the price for standard services.
    (5) Integration of payload entities mentioned in paragraphs (i)(2) 
through (i)(4) of this section with NASA-furnished Spacelab support 
systems and with the Shuttle will be performed by NASA as a standard 
service for all payloads flown on customer-furnished Spacelab elements. 
Customers will be available to participate as required by NASA in these 
levels of integration. Customer equipment will be operated only to the 
extent necessary for interface verification. Customers requiring 
additional payload operation after delivery of the payload to NASA will 
negotiate such operation as an optional service.
    (j) Common standard services for Spacelab payloads. The following 
standard services are common to all Spacelab flights:
    (1) Use of Shuttle \1\ and Spacelab hardware.
---------------------------------------------------------------------------

    \1\ Typical standard Shuttle services repeated for clarity.
---------------------------------------------------------------------------

    (2) Spacelab interface analysis.
    (3) A five-person NASA flight crew consisting of commander, pilot 
and three mission specialists.
    (4) Accommodations for a five-person flight crew.
    (5) Prelaunch integration and interface verification of preassembled 
racks and pallets (Levels III, II and I for NASA-furnished Spacelab 
hardware; Level I only for customer-furnished Spacelab hardware).
    (6) Shuttle \1\ and Spacelab flight planning.
    (7) Payload electrical power.
    (8) Payload environmental control.
    (9) On-board data acquisition and processing services.
    (10) One day of transmission of payload data to compatible receiving 
stations via an Independent Payload Data Stream. (Subject to 
availability NASA may make excess orbiter instrumentation downlink 
capability available to payloads at no additional charge.) \1\
    (11) Use of NASA-furnished standard payload monitoring and control 
facilities.
    (12) Voice communications between on-orbit flight personnel 
operating the customer's payload and a NASA-designated payload 
monitoring and control facility.
    (13) NASA payload safety review.\1\
    (14) NASA support of payload design reviews.\1\
    (k) Typical optional services for Spacelab payloads. The following 
are typical optional Spacelab services.
    (1) Use of special payload support equipment, e.g., instrument 
pointing system.
    (2) Nonstandard mission destination.
    (3) Additional time on orbit.
    (4) Mission-independent training, use of, and accommodations for all 
flight personnel in excess of five.
    (5) Mission-dependent training of all NASA-furnished personnel and 
backups.
    (6) Analytical and/or hands-on integration (and de-integration) of 
the customer's payload into racks and/or onto pallets.
    (7) Unique integration or testing requirements.
    (8) Additional resources beyond the customer's pro rata share.
    (9) Additional experiment time or crew time beyond the customer's 
pro rata share.
    (10) Special access to and/or operation of payloads.
    (11) Customer-unique requirements for: software development for the 
Command and Data Management Subsystem (CDMS) onboard computer, 
configuration of the Payload Operations Control Center (POCC) and/or 
CDMS used during KSC ground processing.
    (12) Extravehicular Activity (EVA) services.
    (13) Payload flight planning services.
    (14) Transmission of Spacelab data contained in the Shuttle OI 
telemetry link to a location other than a NASA-designated monitoring and 
control facility.
    (15) Transmission of payload data via an Independent Payload Data 
Stream during additional time on orbit.
    (16) Transmission of payload data via a Direct Data Stream.
    (17) Level III/II integration of customer-furnished Spacelab 
hardware.

[[Page 104]]

    (l) Computation of sharing and pricing parameters--(1) General. (i) 
Computational procedures as contained in the following subparagraphs 
will be applied as indicated. The procedure for computing Shuttle load 
factor, charge factor and flight price for Spacelab payloads replaces 
the procedure contained in Sec. 1214.103.
    (ii) Shuttle charge factors as derived herein apply to payloads 
meeting the launch and orbit criteria established in Sec. 1214.117. 
Customers will reimburse NASA an optional services fee for flights to 
nonstandard destinations.
    (iii) The customer's total Shuttle charge factor will be the sum of 
the Shuttle charge factors for the customer's individual (dedicated, 
complete or shared) elements, with the limitation that the customer's 
Shuttle charge factor will not exceed 1.0.
    (iv) Customers contracting for pallet-only payloads are entitled to 
locate minimal controls as agreed to by NASA in a pressurized area to be 
designated by NASA. There is no additional charge for this service.
    (v) NASA will, at its discretion, adjust, up or down, the load 
factors and load fractions calculated according to the procedures 
defined in this section. Adjustments will be made for special space or 
weight requirements, which include, but not limited to:
    (A) Sight clearances, orientation or placement limits.
    (B) Clearances for movable payloads.
    (C) Unusual access clearance requirements.
    (D) Clearances extending beyond the bounds of the normal element 
envelope.
    (E) Extraordinary shapes.

The adjusted values will be used as the basis for computing charge 
factors and prorating services.
    (2) Definitions used in computations. (i) Lc=Chargeable 
payload length, m. The total length in the cargo bay occupied by the 
customer's experiment and the Spacelab element(s) used to carry it.
    (ii) Wc=The weight, kg, of the customer's payload and the 
customer's pro rata share of the weight of NASA mission-peculiar 
equipment carried to meet the customer's needs.
    (3) Dedicated-Shuttle Spacelab flight (1-day mission). The total 
reimbursement is as defined in Sec. 1214.119(d)(3)(iii).
    (4) Dedicated-pallet flight (1-day mission). (i) The Shuttle load 
factors, charge factors and nominal payload capacities for dedicated-
pallet flights are shown in the table below. Subject to other Shuttle 
Spacelab structural limits, customers are entitled to use the payload 
weight capability of the pallets as indicated in the table. Payload 
weights in excess of those shown are subject to NASA approval and may 
entail optional services charges.

----------------------------------------------------------------------------------------------------------------
                                      Load Factor                Charge Factor         Nominal Payload Capacity,
                             --------------------------------------------------------             kg
       No. of Pallets                                                                ---------------------------
                               With Igloo       FMDM       With Igloo       FMDM                        FMDM
                                           Configuration               Configuration   With Igloo  Configuration
----------------------------------------------------------------------------------------------------------------
1...........................        0.228         0.189         0.305         0.252         2,325         2,950
2...........................        0.392            NA         0.523            NA         4,470            NA
3-pallet train*.............        0.556            NA         0.742            NA         4,435            NA
2+1 config..................        0.594            NA         0.792            NA         7,750            NA
----------------------------------------------------------------------------------------------------------------
*Three pallets requiring the ``1+1+1'' configuration will be flown on a dedicated-flight basis [See Sec.
  1214.119(c)(1)].

    (ii) Total reimbursement. The customer's total reimbursement is as 
defined in Sec. 1214.119(d)(4)(iii).
    (5) Dedicated FMDM/MPESS flight (1-day mission)--(i) Shuttle charge 
factor. The Shuttle charge factor for dedicated FMDM/MPESS flights is 
defined as:
[GRAPHIC] [TIFF OMITTED] TC09SE91.000

    (ii) Shuttle load factor. (A) The Shuttle load factor is defined as 
the maximum of:
[GRAPHIC] [TIFF OMITTED] TC09SE91.001


or
[GRAPHIC] [TIFF OMITTED] TC09SE91.002


[[Page 105]]


    (B) The minimum value of Lc is based on the element 
length, plus clearances, and is 1.18 m.
    (iii) Total reimbursement. The customer's total reimbursement is as 
defined in Sec. 1214.119(d)(4)(iii).
    (6) Complete pallets (7-day mission). (i) The Shuttle load factor 
and charge factor for a complete pallet are 0.198 and 0.228, 
respectively, and its payload weight capability is 2,583 kg. Subject to 
other Shuttle or Spacelab structural limits, customers are entitled to 
use this payload weight capability. Payload weight in excess of 2,583 kg 
is subject to NASA approval and may entail optional service charges.
    (ii) Total reimbursement. The customer's total reimbursement is as 
defined in Sec. 1214.119(d)(5)(iii).
    (7) Shared elements (7-day mission).
    (i) Spacelab load fractions and Shuttle load factors.
    (A) Pallet. Spacelab load fraction is the greater of:
    [GRAPHIC] [TIFF OMITTED] TC09SE91.003
    

or
[GRAPHIC] [TIFF OMITTED] TC09SE91.004


Shuttle load factor is the greater of:
[GRAPHIC] [TIFF OMITTED] TC09SE91.005


or
[GRAPHIC] [TIFF OMITTED] TC09SE91.006

    (B) Pressurized module. Spacelab load fraction and Shuttle load 
factor are identical and are the greater of:
[GRAPHIC] [TIFF OMITTED] TC09SE91.007


or
[GRAPHIC] [TIFF OMITTED] TC09SE91.008

    (ii) Shuttle charge factors and element charge factors for 
pressurized modules. Shuttle charge factors and element charge factors 
are identical and are defined as follows:

------------------------------------------------------------------------
                                                    The element charge
If the Spacelab load fraction (and Shuttle load     factor and Shuttle
                  factor) is:                     charge factor will be:
------------------------------------------------------------------------
Less than 0.00435..............................                    0.005
0.00435 to 0.87................................   Spacelab load fraction
                                                         divided by 0.87
Greater than 0.87..............................                      1.0
------------------------------------------------------------------------

    (iii) Element charge factors for shared pallets.

------------------------------------------------------------------------
                                                    The element charge
       If the Spacelab load fraction is:             factor will be:
------------------------------------------------------------------------
Less than 0.0189...............................                   0.0218
0.0189 to 0.87.................................   Spacelab load fraction
                                                         divided by 0.87
Greater than 0.87..............................                      1.0
------------------------------------------------------------------------

    (iv) Shuttle charge factors for shared pallets.

------------------------------------------------------------------------
                                                    The Shuttle charge
         If the Shuttle load factor is:              factor will be:
------------------------------------------------------------------------
Less than 0.00375..............................                    0.005
0.00375 to 0.75................................      Shuttle load factor
                                                         divided by 0.75
Greater than 0.75..............................                      1.0
------------------------------------------------------------------------

    (v) Total reimbursement.
    (A) The customer's total reimbursement is as defined in Sec. 
1214.119(d)(6)(iii).
    (B) If a customer contracts for portions of more than one element, 
the charges for the use of the elements will apply individually to each 
element used.
    (vi) Pressurized module experiment volume. Experiment volume in the 
pressurized module is defined to be the sum of the customer's payload 
volume in racks and in the center aisle.

[[Page 106]]

    (A) Rack volume is defined relative to basic Air Transportation Rack 
(ATR) configurations. The customer's rack volume will be defined as the 
volume of one or more rectangular parallelepipeds (rectangular-sided 
boxes) which totally enclose the cuss payload. Width dimensions will be 
either 45.1 or 94.0 centimeters. Height dimensions will be integral 
multiples of 4.45 centimeters. Depth dimensions will be 61.2 or 40.2 
centimeters.
    (B) Center aisle space volume is defined as the volume of a 
rectangular parallelepiped which totally encloses the customer's 
payload. No edge of the parallelepiped will be less than 30 centimeters 
in length.
    (vii) Pressurized module storage volume. Storage volume in the 
pressurized module is defined as the volume of one or more rectangular 
parallelepipeds enclosing the customer's stowed payload. No edge of the 
parallelepiped(s) will be less than 30 centimeters in length.
    (viii) Pallet payload volume. Volume of the customer's pallet-
mounted payload is defined as the volume of a rectangular parallelepiped 
enclosing the pallet payload and customer-dictated mounting hardware. No 
edge of the parallelepiped will be less than 30 centimeters in length.



  Subpart 1214.2--Reimbursement for Shuttle Services Provided to Civil 
   U.S. Government Users and Foreign Users Who Have Made Substantial 
                      Investment in the STS Program

    Source: 42 FR 8631, Feb. 11, 1977, unless otherwise noted.



Sec. 1214.200  Scope.

    This subpart 1214.2 sets forth:
    (a) The policy on reimbursement for Shuttle services which are 
provided by NASA to users (as defined in Sec. 1214.201) under launch 
services agreements, and
    (b) Responsibilities for putting such policy into effect and 
carrying it out.



Sec. 1214.201  Definition.

    For the purpose of this subpart, the term users means:
    (a) For all civil U.S. Government agencies who request Shuttle 
services from NASA, and
    (b) Foreign users who have made substantial investment in the STS 
program, i.e., European Space Agency (ESA), ESA member or observer 
nations participating in Spacelab development, and Canada, when 
conducting experimental science or experimental applications missions 
with no near-term commercial implications.



Sec. 1214.202  Reimbursement policy.

    (a) Features of policy. (1) All users will be charged on a fixed 
price basis; there will be no post-flight charges, except for 
prespecified optional services.
    (2) The price will be based on estimated costs.
    (3) The price will be held constant for flights in the first three 
years of Space Transportation System (STS) operations.
    (4) Payments shall be escalated according to the Bureau of Labor 
Statistics Index for Compensation per hour, Total Private.
    (5) Subsequent to the first three years, the price will be adjusted 
annually to insure that total operating costs are recovered over a 
twelve-year period.
    (6) Pricing incentives are designed to maximize the proper 
utilization of the STS.
    (b) Dedicated flight reimbursements. (1) For the purposes of this 
policy, a dedicated flight is one sold to a single user.
    (2) The policy is established for two distinct phases of Shuttle 
operations. The first phase is through the third full fiscal year of 
Shuttle operations and the second phase consists of nine full fiscal 
years subsequent to the first phase.
    (i) For a dedicated Shuttle flight during the first phase, NASA 
shall be reimbursed in an amount which is a pro-rata share of forecast 
additive costs averaged over the first phase of three years; however, 
the price shall not be less than a pro-rata share of forecast total 
operating costs averaged over both the first and second phases of the 
twelve year Shuttle operation period.
    (ii) For a dedicated Shuttle flight during the second phase, NASA 
shall be reimbursed a pro-rata share of forecast

[[Page 107]]

total operating costs over both phases to insure that total operating 
costs are recovered over the twelve year period.
    (iii) The definition of the costs are specified in this subpart are 
set forth in appendix A to this subpart.
    (iv) Subject to NASA approval, a dedicated flight user may apportion 
and assign STS services to other STS users provided they satisfy STS 
user requirements. The price of integrating additional payloads will be 
negotiated.
    (v) A summary of standard Shuttle services included in the flight 
price is set forth in appendix B to subpart 1214.1.
    (vi) The prices of optional Shuttle services are being developed and 
shall be set forth in the Shuttle Price Book which is being developed. A 
summary of the optional services is set forth in appendix C to subpart 
1214.1.
    (vii) For the user with an experimental, new use of space or first 
time use of space of great public value, the reimbursement to NASA for 
the dedicated, standard Shuttle flight in either the first or second 
phase shall be a pro-rata share of the average twelve year additive 
costs as estimated at the time of negotiations. Programs which qualify 
for this price will be determined by an STS Exceptional Program 
Selection Process. In all cases, the Administrator will be the selection 
official.
    (viii) For dedicated flight users, NASA and the user will identify a 
desired launch date within a period of ninety days three years prior to 
flight. One year prior to the flight, a firm launch and payload delivery 
date will be identified by NASA. The firm launch date will be within the 
first sixty days of the original ninety day period. Launch will occur on 
the firmly scheduled launch date or within a period of thirty days 
thereafter. The payload must be ready to launch for the duration of that 
period.
    (c) Shared flight reimbursements. (1) The price of a shared Shuttle 
flight will be a fraction of the dedicated Shuttle flight price. The 
fraction will be based on the length and weight of the payload and the 
mission destination at the time of contract negotiations. The formula 
for computing the fraction is set forth in appendix D to subpart 1214.1.
    (2) For shared flight users, NASA and the user will identify a 
desired launch date three years prior to flight. Launch will occur 
within a period of ninety days, beginning on the desired launch date. 
One year prior to flight, a payload delivery date and a firm launch date 
will be coordinated among the shared flight users. This firm launch date 
will be within the first thirty days of the original ninety day period. 
The launch will occur on the firmly scheduled launch date or within a 
perod of sixty days thereafter. The payloads must be ready to launch for 
the duration of that period.
    (3) A 20 percent discount on the standard flight price will be given 
to shared flight users who will fly on a space-available (standby) 
basis. NASA will provide launch services within a prenegotiated period 
of one year. Shared flight payloads must be flight deliverable to the 
launch site on the first day of the one year period and sustain that 
condition until delivery to the launch site. The user will be notified 
sixty days prior to the firmly scheduled launch date which has been 
established by NASA. At that time, NASA will also establish a payload 
delivery date. The payload must be available at the launch site on the 
assigned delivery date and ready to launch for a period of sixty days 
after the firmly scheduled launch date.
    (d) Small self-contained payloads. Packages under 200 pounds and 
smaller than five cubic feet which require no Shuttle services (power, 
deployment, etc.), and are for R&D purposes, will be flown on a space-
available basis during both phases of Shuttle operation. The price for 
this service will be negotiated based on size and weight, but will not 
exceed $10,000 in 1975 dollars. A minimum charge of $3,000 in 1975 
dollars will be made. If Shuttle services are required, the price will 
be individually negotiated. Reimbursement to NASA will be made at the 
time the package is scheduled for flight.
    (e) Options. (1) In order to allow the user greater flexibility in 
selecting a launch date, the user may purchase a ``floating launch 
date'' option. At the time of contract execution, the user will begin to 
make payments according to a 33 month reimbursement schedule

[[Page 108]]

for this launching. At any time during Phase 1 or 2, the user may 
exercise this option by informing NASA of his desired launch date for 
this option which will then be negotiated by NASA and the user. This 
launch date must be at least 33 months after the date of the first 
reimbursement payment. If the desired launch date is within one year of 
the date of declaration, the short term call-up option and associated 
fee will apply. If the desired launch is to occur in a year for which a 
new price per flight is in effect, the user will pay the new price. The 
fee for this option is 10 percent of the user's flight price in effect 
at the time of contract execution and is payable at that time. This fee 
will not be applied to the price of the user's flight.
    (2) Options must be exercised for a flight by the end of the second 
phase of operations or the option fee will be retained by NASA.
    (f) Fixed price period and escalation. (1) The price will remain 
constant for flights during the first phase of Shuttle operations. For 
flights during the second phase, the price wil be adjusted on a yearly 
basis, if necessary, to assure revovery of total operating costs over a 
twelve-year period. These adjusted prices will be applicable only to 
agreements executed after the adjustment is made.
    (2) Shuttle services for both phases will be contracted on a fixed 
price basis. The payments in the contract will be escalated to the time 
of the payment using the Bureau of Labor Statistics Index for 
Compensation per hour, Total Private.
    (g) Earnest money. Earnest money shall be paid to NASA prior to 
NASA's accepting a launch reservation. The earnest money required shall 
be $100,000 per payload; however, if the payload is a small self-
contained payload, the earnest money shall be $500.00 per payload. The 
earnest money shall be applied to the first payment for each payload 
made by the customer, or shall be retained by NASA if a launch services 
agreement is not signed.
    (h) Reimbursement schedule. (1) Reimbursement shall be made in 
accordance with the reimbursement schedule contained in this subsection. 
No charges shall be made after the flight, except as negotiated in the 
contract for prespecified extra services. Those users who contract for 
Shuttle services less than three years before the desired launch date 
will be accommodated and will pay on an accelerated basis according to 
the reimbursement schedule.
    (2) Standby payloads. (i) Before the establishment of a firmly 
scheduled launch date, the number of months before launch will be 
computed assuming a launch date at the mid-point of the designated one-
year period.
    (ii) Once the firmly scheduled launch date is established, the user 
shall reimburse NASA to make his payments current according to the 
reimbursement schedule.
    (3) Rembursement schedule.

                           [Percent of price]
------------------------------------------------------------------------
                                                     Months prior to
    Number of months before launch flight is      scheduled launch date
                   scheduled                    ------------------------
                                                 33  27  21  15   9   3
------------------------------------------------------------------------
33 months or more..............................  10  10  17  17  23   23
27 to 32 months................................  ..  21  17  17  23   23
21 to 26 months................................  ..  ..  40  17  23   23
15 to 20 months................................  ..  ..  ..  61  23   23
9 to 14 months.................................  ..  ..  ..  ..  90   23
3 to 8 months..................................  ..  ..  ..  ..  ..  ...
------------------------------------------------------------------------


This schedule holds unless there are offsetting advantages to the U.S. 
Government of an accelerated launch schedule.
    (4) Contracts for Shuttle services made one year or less before a 
flight and up to three months before a flight will be made on a space-
available basis unless short term call-up option is elected.
    (i) Short term call-up option. (1) For flights contracted on year or 
less before launch, but not less than three months before launch, short 
term call-up will be provided to dedicated flight users at the dedicated 
flight prices according to the reimbursement schedule.
    (2) For dedicated flight users requiring short term call-up flights 
less than three months before launch, NASA will provide STS launch 
services on a space-available basis. NASA shall be reimbursed the 
dedication flight price according to the reimbursement schedule plus 
short term call-up additional costs. The additional costs will be based 
on estimated costs to be incurred.

[[Page 109]]

    (3) For shared flights contracted one year or less before launch, 
but more than six months before launch, users may elect the short term 
call-up option. The user shall reimburse NASA the standard shared flight 
price according to the reimbursement schedule plus a load factor-
recovery fee. The load factor-recovery fee is half the difference 
between a dedicated flight price and the user's shared flight price or 
the difference between a dedicated flight price and the total adjusted 
reimbursements from all shared users, whichever is less.
    (4) For shared flights contracted six months or less before launch, 
but more than three months before launch, users may elect the short term 
call-up option. The user shall reimburse NASA the standard share flight 
price according to the reimbursement schedule plus a load factor-
recovery fee which is the difference between a dedicated flight price 
and the total adjusted reimbursement from all shared flight users.
    (5) Shared flights contracted three months or less before launch 
will be flown on a space-available basis. NASA shall be reimbursed the 
shared flight price according to the reimbursement schedule plus short 
term call-up additional costs. These additional charges will be based on 
estimated costs to be incurred.
    (6) For the purposes of this paragraph, adjusted reimbursements is 
defined to be reimbursements assuming all shared users are among those 
defined in Sec. 1214.201.
    (7) The load factor-recovery fee will never be less than zero.
    (8) The load factor-recovery fee is payable upon receipt of NASA's 
billing therefor.
    (j) Accelerated launches. For users who reschedule a launch so that 
it occurs earlier than the planned launch, the user will pay on an 
accelerated reimbursement schedule. The user will reimburse NASA to make 
his payments current on the new accelerated reimbursement schedule. If 
the time from notification of acceleration is less than one year from 
the new launch date, short term call-up reimbursements will also apply.
    (k) Postponements--(1) Non-standby payloads. (i) A user can postpone 
a flight of his payload one time with no additional charge if 
postponement occurs more than one year before launch. For subsequent 
postponed flights more than one year before launch, the user shall 
reimburse NASA a postonement fee of 5 percent of the user's flight 
price. For postponements one year or less before launch, the user shall 
reimburse NASA 5 percent of the user's flight price plus an occupancy 
fee according to the occupancy fee schedule in appendix B.
    (ii) If the postponement of a flight causes the payload to be 
launched in a year for which a different price per flight has been 
established, the new price shall apply if it is higher than the 
originally contracted price.
    (2) Standby payloads. (i) For flights postponed more than six months 
prior to the beginning of the negotiated one-year period, NASA shall 
renegotiate a new one-year period during which launch will occur. No 
additional fee will be imposed.
    (ii) For flights postponed six months or less prior to the beginning 
of the negotiated one-year period, the user shall reimburse NASA 5 
percent of the user's flight price plus an occupancy fee according to 
the occupancy fee schedule set forth in appendix B.
    (3) Postponement fees are payable upon receipt of NASA's billing 
therefor.
    (4) Flights postponed will henceforth be treated as newly scheduled 
launches according to the reimbursement schedule. The number of months 
prior to launch will be taken as the total number or months between the 
date postponement is elected and the new launch date. Short term call-up 
options and associated fees shall apply.
    (5) Minor delays (up to three days) caused by the users will not 
constitute a postponement. No fee will be charged for a minor delay.
    (l) Cancellations--(1) Non-standby payloads. Users who cancel a 
flight more than one year before launch shall reimburse NASA 10 percent 
of the user's flight price. For a cancelled flight one year or less 
before launch, the user shall reimburse NASA 10 percent of the user's 
flight price plus an occupancy fee as set forth in appendix B.

[[Page 110]]

    (2) Standby payloads. (i) Users who cancel a flight more than six 
months prior to the beginning of the negotiated one-year period shall 
reimburse NASA 10 percent of the user's flight price.
    (ii) For a flight cancelled six months or less prior to the 
beginning of the negotiated one-year period, the user shall reimburse 
NASA 10 percent of the user's flight price plus an occupancy fee as set 
forth in appendix B.
    (3) Cancellation fees are payable upon receipt of NASA's billing 
therefor.

[42 FR 8631, Feb. 11, 1977, as amended at 49 FR 17736, Apr. 25, 1984]



Sec. 1214.203  Optional reflight guarantee.

    (a) If reflight insurance is purchased from NASA, NASA guarantees 
one reflight of:
    (1) The launch and development of a free flying payload into a 
Shuttle compatible mission orbit if, through no fault of the user, the 
first launch and deployment attempt is unsuccessful and if the payload 
returns safely to earth or a second payload is provided by the user.
    (2) The launch of an attached payload into its mission orbit if the 
first launch attempt is unsuccessful through no fault of the user, and 
if the payload returns safely to earth or a second payload is provided 
by the user.
    (3) A launch of a Shuttle into a payload mission orbit for the 
purpose of retrieving a payload if the first retrieval attempt is 
unsuccessful through no fault of the user. This guarantee only applies 
if the payload is in a safe retrievable condition as determined by NASA.
    (b) Reflight insurance is not applicable to payloads or upper stages 
placed into orbits other than the Shuttle mission orbit.



Sec. 1214.204  Patent and data rights.

    (a) When accommodating missions under this subpart, i.e., 
experimental science or experimental applications missions for ESA, ESA 
member states or Canada with no near-term commercial implications, NASA 
will obtain for U.S. Governmental purposes rights to inventions, patents 
and data resulting from such missions, subject to the user's retention 
of the rights to first publication of the data for a specified period of 
time.
    (b) The user will be required to furnish NASA with sufficient 
information to verify peaceful purposes and to insure Shuttle safety and 
NASA's and the U.S. Government's continued compliance with law and the 
Government's obligations.



Sec. 1214.205  Revisit and/or retrieval services.

    These services will be priced on the basis of estimated costs. If a 
special dedicated Shuttle flight is required, the full dedicated price 
will be charged. If the user's retrieval requirement is such that it can 
be accomplished on a scheduled Shuttle flight, he will only pay for 
added mission planning, unique hardware or software, time on orbit, and 
other extra costs incurred by the revisit.



Sec. 1214.206  Damage to payload.

    The price does not include a contingency or premium for damage that 
may be caused to a payload through the fault of the U.S. Government or 
its contractors. The U.S. Government, therefore, will assume no risk for 
damage or loss to the user's payload. The users will assume that risk or 
obtain insurance protecting themselves against that risk.



Sec. 1214.207  Responsibilities.

    (a) Headquarters officials. (1) The NASA Comptroller, in 
coordination with the Associate Administrator for Space Flight will:
    (i) Prescribe guidelines, procedures, and other instructions which 
are necessary for estimating costs and setting prices and publishing 
them in the NASA Issuance System, and
    (ii) Review and arrange for the billing of users.
    (2) The Associate Administrator for Space Flight will arrange for:
    (i) Developing estimates for costs and establishing prices in 
sufficient detail to reveal their basis and rationale.
    (ii) Obtaining approval of the NASA Comptroller of such estimates 
and related information prior to the execution of any agreement, and

[[Page 111]]

    (iii) Reviewing of final billings to users prior to submission to 
the NASA Comptroller.
    (b) Field installation officials. The Directors of Field 
Installations responsible for the STS operations will:
    (1) Maintain and/or establish agency systems which are needed to 
identify costs in the manner prescribed by the NASA Comptroller,
    (2) Compile financial records, reports, and related information, and
    (3) Provide assistance to other NASA officials concerned with costs 
and related information.

Appendix A to Subpart 1214.2 of Part 1214--Costs for Which NASA Shall Be 
                               Reimbursed

    Total Operating Costs. Total Operating Costs include all direct and 
indirect costs, excluding costs of composing the use charge. Such costs 
include direct program charges for manpower, expended hardware, 
refurbishment of hardware, spares, propellants, provisions, consumables 
and launch and recovery services. They also include a charge for program 
support, center overhead and contract administration.

    Appendix B to Subpart 1214.2 of Part 1214--Occupancy Fee Schedule

    For a postponed or cancelled dedicated flight, the occupancy fee 
will be zero.
    For a postponed or cancelled shared flight, the occupancy fee will 
be computed according to the computation instructions set forth below. 
If the computation results in an occupancy fee which is less than zero, 
the occupancy fee will be reset to zero.
    For a postponed or cancelled shared flight one year or less, but 
more than six months before launch, the user shall reimburse NASA an 
occupancy fee of half the user's flight price less any adjusted 
reimbursements from other users who contract for the same flight 
subsequent to the postponement or cancellation date.
    For a postponed or cancelled shared flight six months or less before 
launch, the user shall reimburse NASA an occupancy fee of 90% of the 
user's flight price less any adjusted reimbursements from other users 
who contract for the same flight subsequent to the postponement or 
cancellation date.
    For a given shared flight, if the occupancy fee so computed would 
result in total adjusted reimbursements (exclusive of the 5% (10%) 
postponement (cancellation) fee) in excess of the price of a dedicated 
flight, the occupancy fee will be reduced in order to recover the price 
of a dedicated flight.
    In the event that, as a result of the postponement or cancellation, 
the Shuttle is not launched at all for the intended flight, the 
occupancy fee will be zero.
    For purposes of this attachment, adjusted reimbursements is defined 
to be reimbursements assuming all users are among those defined in Sec. 
1214.201.



  Subpart 1214.3--Payload Specialists for Space Transportation System 
                             (STS) Missions

    Source: 54 FR 48587, Nov. 24, 1989, unless otherwise noted.



Sec. 1214.300  Scope.

    (a) This revision of subpart 1214.3 redefines the title of payload 
specialist and sets forth NASA's policy on and process for the 
determination of need, selection, and utilization of payload specialists 
and additional mission specialists to be assigned to a Space 
Transportation System (STS) flight in addition to the standard NASA 
flight crew.
    (b) This subpart does not apply to the selection of crew for the 
Space Station Freedom. It is recognized that the Space Station has 
unique requirements regarding its crew and that a separate, specifically 
tailored policy will need to be developed in the future.



Sec. 1214.301  Definitions.

    (a) Payload specialists. Individuals other than NASA astronauts 
(commanders, pilots, and mission specialists), whose presence is 
required on board the Space Shuttle to perform specialized functions 
with respect to operation of one or more payloads or other essential 
mission activities.
    (b) NASA or NASA-related payload. A specific complement of 
instruments, space equipment, and support hardware, developed by a NASA 
Program Office or by another party with which NASA has a shared 
interest, and carried into space to accomplish a mission or discrete 
activity in space.
    (c) Mission. The performance of a coherent set of investigations or 
operations in space to achieve program goals. A single mission might 
require more than one flight or more than one mission might be 
accomplished on a single flight.

[[Page 112]]

    (d) Mission manager. The official responsible for the implementation 
of the payload portion of an STS flight(s).
    (e) Mission specialist. A career NASA astronaut trained and skilled 
in the operation of STS systems related to payload operations and 
thoroughly familiar with the operational requirements and objectives of 
the payloads with which the mission specialist will fly. The mission 
specialist, when designated for a flight, will participate in the 
planning of the mission and will be responsible for the coordination of 
overall payload/STS interaction. The mission specialist will direct the 
allocation of STS and crew resources to the accomplishment of the 
combined payload objectives during the payload operations phase of the 
flight in accordance with the approved flight plan.
    (f) Investigator Working Group (IWG). A group composed of the 
Principal Investigators, or their representatives, whose primary purpose 
is facilitating or coordinating the development and execution of the 
operational plans of an approved NASA program or reporting the progress 
thereof.
    (g) Payload sponsor. For NASA and NASA-related payloads the payload 
sponsor is the Associate Administrator of the sponsoring Program Office 
whose responsibilities are most closely related to the particular 
scientific or engineering discipline associated with a payload. For all 
other payloads, the payload sponsor is identified by the Associate 
Administrator who contracts with the agency or organization, whether 
foreign or domestic, private-sector or governmental, to fly a payload on 
the STS.
    (h) Unique requirements. The need for a highly specialized or 
unusual technical or professional background or the need for instrument 
operations requiring a highly specialized or unusual background that is 
not likely to be found in the group of mission specialists or cannot be 
attained in a reasonable training period.



Sec. 1214.302  Background.

    (a) The Space Transportation System (STS) has been developed to 
expand the Nation's capabilities to utilize the unique environment of 
space. It provides opportunity for individuals other than career 
astronauts to participate as onboard members of the flight crew under 
specified conditions. The purpose of such participation by these 
individuals is to ensure the achievement of the payload or mission-
related objectives.
    (b) The STS will provide these additional crew members with a 
habitable working environment and support services in such a way as to 
require a minimum of dedicated space flight training, allowing them to 
concentrate their efforts on the accomplishment of their scientific, 
technical, or mission objectives.



Sec. 1214.303  Policy.

    (a) General. (1) The Challenger accident marked a major change in 
the U.S. outlook and policies with respect to the flight of other than 
NASA astronauts. NASA and interested external parties, domestic and 
international, must re-examine previous understandings, expectations, 
and commitments regarding flight opportunities in light of the new 
policies now being enunciated.
    (2) NASA policies and their implementation recognize that:
    (i) Every flight of the Shuttle involves risks;
    (ii) Flight opportunities will now generally be limited to 
professional NASA astronauts and payload specialists essential for 
mission requirements; and
    (iii) Top priority must be given to:
    (A) Establishing, proving, and maintaining the reliability and 
safety of the Shuttle system;
    (B) Timely and efficient reduction of the backlog of high priority 
scientific and national security missions; and maximum utilization of 
the Shuttle capacity for primary and secondary payloads that require 
transportation to or from orbit by the Space Shuttle.
    (3) All Shuttle flights will be planned with a minimum NASA crew of 
five astronauts (commander, pilot, and three mission specialists). When 
payload or other mission requirements define a need and operational 
constraints permit, the crew size can be increased to a maximum of 
seven. Any such additional crew members must be identified at least 12 
months before flight

[[Page 113]]

and be available for crew integration at 6 months.
    (4) NASA policy and terminology are revised to recognize two 
categories of persons other than NASA astronauts, each of which requires 
separate policy treatment. They are:
    (i) Payload specialists, redefined to refer to persons other than 
NASA astronauts (commanders, pilots, and mission specialists), whose 
presence is required onboard the Space Shuttle to perform specialized 
functions with respect to operation of one or more payloads or other 
essential mission activities.
    (ii) Space flight participants, defined to refer to persons whose 
presence onboard the Space Shuttle is not required for operation of 
payloads or for other essential mission activities, but is determined by 
the Administrator of NASA to contribute to other approved NASA 
objectives or to be in the national interest.
    (b) Payload specialists. Payload specialists may be added to Shuttle 
crews when more than the minimum crew size of five is needed and unique 
requirements are involved. In the case of foreign-sponsored missions and 
payloads, the need and requirements for payload specialists will be 
negotiated and mutually agreed between the foreign sponsors and NASA. 
The selection process for additional crew members to meet approved 
requirements will first give consideration to qualified NASA mission 
specialists. When payload specialists are required, they will be 
nominated by the appropriate NASA, foreign, or other designated payload 
sponsor. In the case of NASA or NASA-related payloads, the nominations 
will be based on the recommendations of the appropriate Investigator 
Working Group (IWG).
    (c) Space flight participants. NASA remains committed to the long-
term goal of providing space flight opportunities for persons outside 
the professional categories of NASA astronauts and payload specialists 
when this contributes to approved NASA objectives or is determined to be 
in the national interest. However, NASA is devoting its attention to 
proving the Shuttle system's capability for safe, reliable operation and 
to reducing the backlog of high priority missions. Accordingly, flight 
opportunities for space flight participants are not available at this 
time. NASA will assess Shuttle operations and mission and payload 
requirements on an annual basis to determine when it can begin to 
allocate and assign space flight opportunities for future space flight 
participants, consistent with safety and mission considerations. When 
NASA determines that a flight opportunity is available for a space 
flight participant, first priority will be given to a ``teacher in 
space,'' in fulfillment of space education plans.



Sec. 1214.304  Process.

    (a) Determining the need for additional crew members. The payload 
sponsor will be responsible for recommending the number of addition crew 
members and for establishing the technical or scientific need, the 
selection criteria, uniqueness of qualifications, the proposed training, 
and other requirements for the additional crew members. The payload 
sponsor's requirements for additional crew members, their 
qualifications, and the proposed duration for training will be reviewed 
with and concurred in by the Associate Administrator for Space Flight.
    (b) Selection of additional crew members for NASA and NASA-related 
payloads. After the requirement for additional crew members has been 
established, the IWG will be tasked by the payload sponsor to commence 
the selection process. The IWG review process will include the 
participation of a senior astronaut from the Flight Crew Operations 
Directorate at the Johnson Space Center who will provide operational and 
applicant suitability criteria.
    (1) Prior to the payload sponsor's recommendation for additional 
crew members and at his/her direction, the IWG will have studied the 
requirements of the selected investigations, the number, qualifications, 
training requirements and other requirements of payload specialists, and 
backups necessary to support the payload objectives, and made 
recommendations to the payload sponsor.

[[Page 114]]

    (2) Members of the mission specialist cadre will be considered 
first. The payload mission manager, on behalf of the IWG, will convey 
the selection criteria for the proposed additional crew members to the 
Chief, Astronaut Office. The IWG, the mission manager, and the Astronaut 
Office will coordinate the review of the proposed candidates and the 
mission manager will forward recommendations to the payload sponsor. 
Recommendations from the payload sponsor will be submitted to the 
Associate Administrator for Space Flight for approval.
    (3) If mission specialists meeting the requirements cannot be 
provided because of the uniqueness of requirements or impracticability 
of the resultant training obligation, or if backup payload specialists 
are required, the IWG may then solicit candidate payload specialists 
from outside the career astronaut corps. The solicitation will require, 
as a minimum, that a summary of professional qualifications be submitted 
to the IWG. In addition, a medical history, and the results of the 
physical examination described in paragraph (b)(3)(iii) of this section 
will be required. The IWG will be responsible for:
    (i) Establishing professional and operational criteria for payload 
specialists for specific payloads. The criteria will include willingness 
on the part of the candidate to accept the applicable provisions of 
Sec. 1214.306 and satisfactory completion of a background investigation 
conducted to NASA's standards, as determined by the Director, NASA 
Security Office.
    (ii) Evaluating all candidates using the criteria established.
    (iii) Determining which candidate payload specialists, who meet the 
NASA Class III Space Flight Medical Selection Standards, are deemed best 
professionally qualified. (The preselection phases of the medical 
examination will be conducted at Johnson Space Center by certified 
examiners approved by the Director, Life Sciences Division, NASA 
Headquarters).
    (iv) Submitting its recommendations for payload specialists through 
the mission manager to the payload sponsor who in turn will determine 
final recommendations which will be reviewed with and concurred in by 
the Associate Administrator for Space Flight.
    (4) The payload sponsor and the Associate Administrator for Space 
Flight will advise the Administrator of the payload specialist 
selections.
    (c) Selection of additional crew members for foreign payloads. The 
need and requirements for payload specialists will be negotiated and 
mutually agreed to between the foreign sponsor and NASA. This 
negotiating process will include the participation of a senior astronaut 
from the Flight Crew Operations Directorate at the Johnson Space Center 
who will provide operational and applicant suitability criteria. After 
agreement is reached, the payload sponsor will initiate the selection 
process. Subject to the negotiated agreement, subsequent steps in the 
process will be similar to those described in Sec. 1214.304(b) modified 
as follows:
    (1) The IWG functions will be performed by a selection committee or 
other procedure designated by the payload sponsor.
    (2) The payload sponsor will designate an individual to perform the 
mission manager functions.
    (3) The committee or procedure in paragraph (c)(1) of this section 
and the person named in paragraph (c)(2) of this section will be 
established during the negotiations between the foreign sponsor and 
NASA, consistent with the specific circumstances.
    (4) The payload sponsor will also be responsible for submission to 
NASA by an appropriate authority of written assurance that an inquiry 
has been made into the recommended payload specialist's background and 
suitability on the basis of standards similar to those applied to NASA 
payload specialist candidates and a statement by the selected candidate 
asserting a willingness to accept the applicable provisions of Sec. 
1214.306. These written assurances must be received and accepted by NASA 
before selection and before any NASA training can begin.
    (d) Selection of additional crew members for other payloads. After 
the request for additional crew members is approved, the payload sponsor 
will commence the selection process. The payload sponsor

[[Page 115]]

review process will include the participation of a senior astronaut from 
the Flight Crew Operations Directorate at the Johnson Space Center who 
will provide operational and applicant suitability criteria.
    (1) The payload sponsor will first consider members of the mission 
specialist cadre. A representative of the payload sponsor selection 
committee will convey the selection criteria for the proposed payload 
specialists to the Chief, Astronaut Office, and coordinate on the 
recommendations for mission specialists to satisfy the requirements. The 
recommendations will be submitted to the Associate Administrator for 
Space Flight for approval who will then advise the Administrator of the 
selections.
    (2) If mission specialists meeting the requirements cannot be 
provided because of the uniqueness of qualifications or impracticability 
of the resultant training obligation, the payload sponsor selection 
committee, with concurrence from the payload sponsor and the Associate 
Administrator for Space Flight, may then consider other candidate 
payload specialists. The payload sponsor will be responsible for:
    (i) Establishing professional and operational criteria for payload 
specialists for specific payloads. The criteria will include willingness 
on the part of the candidate to accept the applicable provisions of 
Sec. 1214.306 and satisfactory completion of a background investigation 
conducted to NASA's standards, as determined by the Director, NASA 
Security Office.
    (ii) Evaluating all candidates using the criteria established.
    (iii) Determining which candidate payload specialists, who meet the 
NASA Class III Space Flight Medical Selection Standards, are deemed best 
professionally qualified. (The preselection phases of the medical 
examination will be conducted at the Johnson Space Center by certified 
examiners approved by the Director, Life Sciences Division, NASA 
Headquarters).
    (iv) Submitting its recommendations for payload specialist selection 
to the Associate Administrator for Space Flight for approval.
    (e) Preflight activities for additional crew members. Mission 
specialists serving as additional crew for the payload, once selected, 
will be primarily responsible to the mission manager who, together with 
the IWG (or comparable body designated by the payload sponsor) and the 
Director, Flight Crew Operations, will determine the integrated training 
and work schedules as appropriate to the areas of responsibilities 
outlined in the following paragraphs.
    (1) The IWG for NASA and NASA-related payloads or the Payload 
Sponsor for all other payloads is responsible for defining the training 
necessary for payload elements within its cognizance. The mission 
manager is responsible for the total integrated payload training and 
will assist the IWG as necessary in carrying out the defined training 
activities.
    (2) The Director, Flight Crew Operations, is responsible for 
establishing the training requirements for payload specialists on 
Orbiter, Spacelab, and STS-provided payload support systems as 
appropriate. In order to enhance the crew integration process, the 
additional crew members (payload specialists and additional mission 
specialists) will be based at the Johnson Space Center 6 months prior to 
flight, unless otherwise agreed between the payload sponsor and the 
Director, Flight Crew Operations, Johnson Space Center.
    (3) The payload specialists must be certified for flight by the 
Director, Flight Crew Operations, upon satisfactory completion of all 
required training and demonstrated performance of assigned tasks. 
Certification of the payload specialist's readiness for flight will be 
made to the payload mission manager and will include an assessment by 
the crew commander of the payload specialist's suitability for space 
flight.
    (4) The mission manager is responsible for verifying to the payload 
sponsor that all crew members are properly trained for in-flight payload 
operations.
    (i) The medical program for payload specialists will be continued 
during the preflight period in accordance with the NASA Class III Space 
Flight Medical Selection Standards.

[[Page 116]]

    (ii) If, during the preflight period, the number of additional crew 
members is reduced to fewer than that agreed to, or an additional crew 
member does not meet the certification requirements, the necessary 
reprocessing may be initiated to provide replacements consistent with 
the above described selection process and the STS training requirements.
    (f) Designation of primary and backup payload specialists (when 
required). At an appropriate time designated by the mission manager (not 
later than 9 months prior to flight), the IWG for NASA and NASA-related 
payloads or payload sponsor for all other payloads will recommend which 
payload specialists should be designated as prime and which as backup. 
However, in cases where mission specialists have been selected for the 
payload specialist position(s), they will be considered as primary at 
the time of selection. The recommendations will be forwarded by the 
mission manager to the Program Office which will review the 
recommendations and forward them to the Associate Administrator for 
Space Flight for concurrence. The payload sponsor and the Associate 
Administrator for Space Flight will advise the Administrator of the 
selections.
    (g) Effective date. The described selection process will apply to 
all STS missions for which selections have not been approved prior to 
December 31, 1988.



Sec. 1214.305  Payload specialist responsibilities.

    (a) Relationship with flight crew. The crew commander has overall 
responsibility for crew integration and the safe and successful conduct 
of the mission. With respect to crew and vehicle safety, the commander 
has ultimate responsibility and authority for all assigned crew duties. 
The payload specialist is responsible to the authority of the commander 
and operates in compliance with mission rules and Payload Operation 
Control Center directives. Payload specialists are expected to operate 
as an integral part of the crew and will participate in crew activities 
as specified by the crew commander.
    (b) Operation of payload elements. The payload specialist will be 
responsible for the operation of the assigned payload elements. Onboard 
decisions concerning assigned payload operations will be made by the 
payload specialist. A payload specialist may be designated to resolve 
conflicts between the payload elements and approve such deviation from 
the flight plan as may arise from equipment failures or STS factors. In 
the instance of STS factors, the mission specialist will present the 
available options for the payload-related decisions by the payload 
specialist.
    (c) Operation of STS equipment. The payload specialist will be 
responsible for knowing how to operate certain Obiter systems, such as 
hatches, food, and hygiene systems, and for proficiency in those normal 
and emergency procedures which are required for safe crew operations, 
including emergency egress and bail out. The responsibility for on-orbit 
management of Orbiter systems and attached payload support systems and 
for extravehicular activity and payload manipulation with the Remote 
Manipulator System will rest with the NASA flight crew. The NASA flight 
crew will operate Orbiter systems and standard payload support systems, 
such as Spacelab and Internal Upper Stage systems. With approval of the 
commander, payload specialists may operate payload support systems which 
have an extensive interface with the payload.



Sec. 1214.306  Payload specialist relationship with sponsoring institutions.

    Specialists who are not U.S. Government employees must enter into a 
contractual or other arrangement establishing an obligatory relationship 
with an institution participating in the payload as designated by the 
payload sponsor prior to selection and before entering into training at 
a NASA installation or NASA-designated location. Payload specialists who 
are not otherwise U.S. Government employees will not become U.S. 
Government employees by virtue of being selected as a payload 
specialist. Except as specified in the following paragraphs of this 
section, NASA will not enter into any direct contractual or other 
arrangement with individual payload specialists.

[[Page 117]]

Any exception must be approved by the NASA Administrator.
    (a) Payload specialists who are not citizens of the United States 
will be required to enter into an agreement with NASA in which they 
agree to accept and be governed by specified standards of conduct. Any 
such agreement will be signed on behalf of NASA by the NASA General 
Counsel or designee.
    (b) Payload specialists who are citizens of the United States and 
who are not employees of the U.S. Government, will be required to enter 
into an agreement with NASA in which they agree to accept and be 
governed by specified standards of conduct. Any such agreement will be 
signed on behalf of NASA by the NASA General Counsel or designee.
    (c) Payload specialists who are employed by a branch, department, or 
agency of the U.S. Government other than NASA may (pursuant to the 
exercise of judgment by the NASA General Counsel) be required to enter 
into an agreement with NASA to accept and be governed by specified 
standards of conduct. Any such agreement will be signed on behalf of 
NASA by the NASA General Counsel or designee.



            Subpart 1214.4--International Space Station Crew

    Authority: 42 U.S.C. sections 2455, 2473, and 2475; 18 U.S.C. 799.

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



Sec. 1214.400  Scope.

    (a) This subpart sets forth policy and procedures with respect to 
International Space Station crewmembers provided by NASA for flight to 
the International Space Station.
    (b) In order to provide for the safe operation, maintenance of 
order, and proper conduct of crew aboard the International Space 
Station, the January 29, 1998, Agreement Among the Government of Canada, 
Governments of Member States of the European Space Agency, the 
Government of Japan, the Government of the Russian Federation, and the 
Government of the United States of America Concerning Cooperation on the 
Civil International Space Station (hereinafter Agreement), which 
establishes and governs the International Space Station, requires the 
development and approval of a Code of Conduct for International Space 
Station crew. Pursuant to Article 11 of the Agreement, each 
International Space Station partner is obliged to ensure that 
crewmembers which it provides observe the Code of Conduct.



Sec. 1214.401  Applicability.

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



Sec. 1214.402  International Space Station crewmember responsibilities.

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

[[Page 118]]

signed on behalf of NASA by the NASA General Counsel or designee.
    (3) NASA-provided International Space Station crewmembers who are 
employed by a branch, department, or agency of the U.S. Government may, 
as determined by the NASA General Counsel, be required to enter into an 
agreement with NASA to comply with specified standards of conduct, 
including those prescribed in the Code of Conduct for the International 
Space Station Crew (Sec. 1214.403). Any such agreement will be signed 
on behalf of NASA by the NASA General Counsel or designee.
    (b) All NASA-provided personnel on board the International Space 
Station are additionally subject to the authority of the International 
Space Station Commander and shall comply with Commander's orders and 
directions.



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

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

        Code of Conduct for the International Space Station Crew

                             I. Introduction

                              A. Authority

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

                          B. Scope and Content

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

                             C. Definitions

    For the purposes of the CCOC:
    (1) ``Cooperating Agency'' means NASA, CSA, ESA, Rosaviakosmos 
(formerly RSA) and, in the case of Japan, the Science and Technology 
Agency of Japan (STA) and, as

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

                          II. General Standards

                 A. Responsibilities of ISS Crewmembers

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

                       B. General Rules of Conduct

    ISS Crewmembers' conduct shall be such as to maintain a harmonious 
and cohesive relationship among the ISS crewmembers and an appropriate 
level of mutual confidence and respect through an interactive, 
participative, and relationship-oriented approach which duly takes into 
account the international and multicultural nature of the crew and 
mission.
    No ISS crewmember shall, by his or her conduct, act in a manner 
which results in or creates the appearance of: (1) Giving undue 
preferential treatment to any person or entity in the performance of ISS 
activities; and/or (2) adversely affecting the confidence of the public 
in the integrity of, or reflecting unfavorably in a public forum on, any 
ISS partner, partner state or Cooperating Agency.
    ISS crewmembers shall protect and conserve all property to which 
they have access for ISS activities. No such property shall be altered 
or removed for any purpose other than those necessary for the 
performance of ISS duties. Before altering or removing any such 
property, ISS crewmembers shall first obtain authorization from the 
Flight Director, except as necessary to ensure the immediate safety of 
ISS crewmembers or ISS elements, equipment, or payloads.

                           C. Use of Position

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

                    D. Mementos and Personal Effects

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

[[Page 120]]

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

         A. Authority and Responsibilities of the ISS Commander

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

             (1) During Preflight and Postflight Activities

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

                     (2) During On-Orbit Operations

                               (a) General

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

                        (b) Main Responsibilities

    The ISS Commander's main responsibilities are to: (1) Conduct 
operations in or on the ISS as directed by the Flight Director and in 
accordance with the Flight Rules, plans and procedures; (2) direct the 
activities of the ISS crewmembers as a single, integrated team to ensure 
the successful completion of the mission; (3) fully and accurately 
inform the Flight Director, in a timely manner, of the ISS vehicle 
configuration, status, commanding, and other operational activities on-
board (including off-nominal or emergency situations); (4) enforce 
procedures for the physical and information security of operations and 
utilization data; (5) maintain order; (6) ensure crew safety, health and 
well-being including crew rescue and return; and (7) take all reasonable 
action necessary for the protection of the ISS elements, equipment, or 
payloads.

                         (c) Scope of Authority

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

               B. Chain of Command and Succession On-orbit

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

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

    The Flight Director is responsible for directing the mission. A 
Flight Director will be in charge of directing real-time ISS operations 
at all time. The ISS Commander,

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

                      IV. Disciplinary Regulations

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

             V. Physical and Information Security Guidelines

    The use of all equipment and goods to which ISS crewmembers have 
access shall be limited to the performance of ISS duties. Marked or 
otherwise identified as export controlled data and marked proprietary 
data obtained by an ISS crewmember in the course of ISS activities shall 
only be used in the performance of his or her ISS duties. With respect 
to data first generated on-board the ISS, the ISS crewmembers will be 
advised by the appropriate Cooperating Agency or by the data owner or 
provider through that Cooperating Agency as to the proprietary or 
export-controlled nature of the data and will be directed to mark and 
protect such data and to continue such protection for as long as the 
requirements for such protection remain in place. Additionally, ISS 
crewmembers shall act in a manner consistent with the provisions of the 
IGA and the MOU's regarding protection of operations data, utilization 
data, and the intellectual property of ISS users. They shall also comply 
with applicable ISS program rules, operational directives, and 
management policies designed to further such protections.
    Personal information about ISS crewmembers, including all medical 
information, private family conference, or other private information, 
whether from verbal, written, or electronic sources, shall not be used 
or disclosed by other ISS crewmembers for any purpose, without the 
consent of the affected ISS crewmember, except as required for the 
immediate safety of ISS crewmembers or the protection of ISS elements, 
equipment, or payloads. In particular, all personal medical information, 
whether derived from medical monitoring, investigations, or medical 
contingency events, shall be treated as private medical information and 
shall be transmitted in a private and secure fashion in accordance with 
procedures to be set forth by the MMOP. Medical data which must be 
handled in this fashion includes, for example, biomedical telemetry, 
private medical communications, and medical investigation data. Nothing 
in this paragraph shall be interpreted to limit an ISS crewmember's 
access to all medical resources aboard the ISS, to ground-based medical 
support services, or to his or her own medical data during preflight, 
on-orbit, and postflight activities.

                VI. Protection of Human Research Subjects

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

[[Page 122]]

Flight Director, or the ISS Commander, as appropriate, if the research 
would endanger the ISS Crew Member or otherwise threaten the mission 
success. A decision to revoke consent by the human subject or approval 
by the other entities listed above will be final.



Sec. 1214.404  Violations.

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



  Subpart 1214.5--Mission Critical Space System Personnel Reliability 
                                 Program

    Source: 55 FR 53289, Dec. 28, 1990, unless otherwise noted.



Sec. 1214.500  Scope.

    This subpart 1214.5 establishes a program designed to ensure that 
personnel assigned to mission critical positions/duties meet the 
screening requirements outlined in Sec. 1214.504 of this part.



Sec. 1214.501  Applicability.

    (a) This regulation applies to civil service and contractor 
personnel at NASA Headquarters and field installations who work in 
activities that are vital to the safety and success of mission critical 
space systems.
    (b) The provisions of this regulation apply to all civil service and 
contractor personnel assigned to mission critical positions/duties with 
the exception of the personnel addressed in Sec. 1214.501(c) of this 
part. This includes command and decision making personnel as well as 
technicians.
    (c) This regulation does not include flight crew or payload 
specialists. They are covered by NASA Management Instruction (NMI) 33304 
(14 CFR part 1214, subpart 1214.11), ``NASA Astronaut Candidate 
Recruitment and Selection Program.''
    (d) This regulation applies to Space Station Freedom International 
Partners in that the certification requirements in Sec. 1214.505(f) of 
this part apply to foreign personnel in mission critical positions/
duties.



Sec. 1214.502  Definitions.

    (a) Mission Critical Space Systems. The Space Shuttle and other 
critical space systems, including Space Station Freedom, designated 
Expendable Launch Vehicles (ELV's), designated payloads, Shuttle Carrier 
Aircraft and other designated resources that provide access to space. 
The Director of each NASA Installation will designate areas associated 
with these systems that are mission critical space systems areas.
    (b) Mission Critical Positions/Duties. Positions/duties which, if 
performed in a faulty, negligent, or malicious manner, could jeopardize 
mission critical space systems and/or delay a mission. While this 
regulation establishes suitability screening requirements which, if met, 
will allow unescorted access to mission critical space areas, compliance 
with the requirements does not authorize unescorted access to classified 
areas by Personnel Reliability Program (PRP) personnel who do not have 
security clearances.
    (c) Medical Authority. A NASA civil service or contract physician/
psychiatrist responsible for maintaining medical records, providing 
results of medical evaluations, and interpreting evaluations as they 
relate to reliable performance of mission-critical duties. The medical 
authority will coordinate evaluations with the investigatory authority.
    (d) Investigatory Authority. A NASA civil service or contract 
individual responsible for reviewing court, law enforcement (Civil, DOD, 
NASA, other Federal), and other official records and NASA screening 
plans/procedures records to provide evaluations, recommendations, and 
guidance to NASA organizations, supervisors, and PRP adjudicators on 
issuing, denying, or revoking eligibility for mission critical 
positions/duties.
    (e) Certification. The determination that an employee assigned to 
duties as described in Sec. 1214.505 of this part, is qualified to 
perform those duties, and

[[Page 123]]

that this employee has been found reliable in accordance with the 
adjudication guidelines set forth in Attachment B of NMI 8610.13.\1\
---------------------------------------------------------------------------

    \1\ Copies may be obtained from NASA Headquarters (Code NA-2), 
Washington, DC 20546.
---------------------------------------------------------------------------



Sec. 1214.503  Policy.

    (a) The Space Shuttle and the Space Station Freedom are included in 
the NASA National Resource Protection Program as delineated in NMI 
8610.22, ``National Resource Protection Program.'' \2\ The Space Shuttle 
and the Space Station Freedom provide a capability to support a wide 
range of scientific applications and commercial, defense, and 
international uses. Since they will contribute significantly to ensuring 
a scientifically, technologically, and economically strong and secure 
nation, program reliability, operational and safety considerations 
require that stringent measures be taken to provide for the protection 
of the systems. In addition to the Space Shuttle and the Space Station 
Freedom, designated ELV's, designated payloads, Shuttle Carrier Aircraft 
and other designated resources which provide the same critical access to 
space or the ability to accomplish critical objectives in space are 
considered to constitute valued national resources.
---------------------------------------------------------------------------

    \2\ See footnote 1 to Sec. 1214.502(e).
---------------------------------------------------------------------------

    (b) Measures to ensure this protection are:
    (1) Special physical security provisions as provided in NMI 
8610.22.\3\
---------------------------------------------------------------------------

    \3\ See footnote 1 to Sec. 1214.502(e).
---------------------------------------------------------------------------

    (2) Procedures to ensure that personnel assigned to mission critical 
positions/duties meet screening requirements, as set forth in Sec. 
1214.504 of this part prior to unescorted access to areas where mission 
critical space systems are located.



Sec. 1214.504  Screening requirements.

    (a) Only those persons who are certified under the PRP will have 
unescorted access to mission critical space systems areas, be assigned 
to, employed in, or retained in mission critical positions/duties. While 
this regulation provides for unescorted access to mission critical space 
systems areas, it does not preclude the need for escorting of PRP 
personnel who do not have security clearances in classified areas. The 
certification will be based on an evaluation of screening data which is 
to be undertaken by a trained evaluator using evaluation guidance and 
criteria contained in Federal Personnel Manual (FPM) chapter 731 and 
Attachment B (Adjudication Guidelines) of NMI 8610.13.\4\ The need for 
impartial and consistent evaluation of data based on a set of standards 
is considered paramount to the successful implementation of this 
program.
---------------------------------------------------------------------------

    \4\ See footnote 1 to Sec. 1214.502(e).
---------------------------------------------------------------------------

    (b) Determination of suitability for assignment to mission critical 
positions/duties will be made on the basis of the following criteria:
    (1) Supervisory nomination (per requirements of Sec. 1214.505(c) of 
this part) and assurance of ability to perform mission critical duties 
as evidenced by performance during training and while on the job.
    (2) Medical evaluation (for cause only) by NASA designated medical/
psychiatric authority consistent with:
    (i) The guidelines and requirements of the NASA Occupational Health 
Division as required to ensure adequate health for competent and 
reliable performance; and
    (ii) Information developed by testing, review and other screening 
regarding an individual's health, drug or alcohol abuse, or other 
factors which may reflect adversely on his or her cognizance, judgement, 
and ability to act reliably. Such information shall be considered 
``cause'' within the meaning of this subsection.
    (iii) All information obtained by medical or Employee Assistance 
Program evaluation is subject to federal and state statutes and 
regulations pertaining to the privacy and confidentiality of patient/
client information.
    (3) Evaluation by a NASA-designated investigatory authority 
including a review of the results of any National Agency Check 
(including a name check of the Federal Bureau of Investigation (FBI) 
fingerprint records) completed within the past 5 years. When the 
National Agency Check indicates that a more extensive investigation has 
been

[[Page 124]]

completed, the results of that investigation will also be reviewed.
    (4) Local agency checks as appropriate.
    (5) A review of the PRP candidate's personnel employment records.
    (6) A review of the Inspector General case files.
    (c) Information acquired during the screening process will be 
protected in a manner consistent with the provisions of the Privacy Act 
and other pertinent laws and regulations.



Sec. 1214.505  Program implementation.

    (a) The Director of each NASA Installation will designate mission 
critical space systems areas.
    (b) NASA installations will identify positions/duties subject to 
this regulation and will identify all civil service and contractor 
personnel assigned to these positions/duties. The number of persons so 
identified must be the absolute minimum necessary to meet operational 
requirements.
    (c) Each NASA installation to which this regulation is applicable 
will establish:
    (1) A suitability certification system including a designated 
certifying official to ensure that the screening requirements of this 
regulation are met. Adjudication Guidelines (Attachment B of NMI 
8610.13) \5\ provides a baseline for each installation to consider in 
formulating a certification approach. The screening/evaluation plans and 
procedures formulated at each installation will be approved by 
Headquarters (Office of Safety and Mission Quality (Code Q) and 
appropriate Program Associate Administrators) before implementation.
---------------------------------------------------------------------------

    \5\ See footnote 1 to Sec. 1214.502(e).
---------------------------------------------------------------------------

    (2) A management review process to validate the objectivity of 
individual suitability certification determinations and to ensure that 
reassignments or other personnel actions taken pursuant to this 
regulation are fair and in consonance with applicable personnel policies 
and procedures.
    (3) An adequate training program for certifying officials, 
supervisors, adjudicators, and other installation personnel approved by 
Headquarters Code Q before implementation.
    (4) Each NASA installation will maintain a roster of installation 
adjudicators. Directors of the Installations will approve appointment of 
adjudicators.
    (d) Supervisors will:
    (1) Review for reliability and nominate personnel whose duties 
require certification under the PRP.
    (2) Certify that the PRP candidate holds current licenses, skill 
training certificates, and other documentation issued as required by 
applicable directives.
    (3) Brief PRP candidates and rebrief PRP personnel on the needs and 
intent of the PRP.
    (4) Monitor and continually evaluate personnel for steady reliable 
performance and notify the certifying official if changes occur which 
may compromise the safety and reliability of mission critical space 
systems.
    (e) NASA Headquarters Office of Safety and Mission Quality (Code Q) 
will act as the Office of Primary Responsibility (OPR) for PRP policy 
and oversight (periodic review). The certification of Headquarters 
personnel will be carried out by the Office of Headquarters Operations 
(Code D) in accordance with Sec. 1214.505 of this part.
    (f) Foreign representatives requiring access to mission critical 
space systems or having the need to assume mission critical positions/
duties (as defined in Sec. 1214.502 of this part) pursuant to 
international agreements also require certification under this program. 
NASA will accept certifications from foreign agencies following review 
under the NASA Headquarters process (Sec. 1214.505(e) of this part), if 
a written agreement has been reached with the foreign sponsoring agency 
whereby NASA recognizes the foreign agency's process as equivalent to 
its own. Such agreements will be negotiated by the International 
Relations Division (Code XI) with the concurrence of the NASA 
Headquarters Office of Safety and Mission Quality (Code Q) and the 
Program Office responsible for the program to which such access is 
sought. The intent of the certification process is that foreign 
personnel are screened as thoroughly as are U.S. citizens who have

[[Page 125]]

access to mission critical space systems areas or who have the need to 
assume mission critical duties.
    (g) NASA will accept certifications from other Federal agenices, 
departments, and offices following review under the NASA Headquarters 
process (Section 1214.505(e) of this part), if a written agreement has 
been reached whereby NASA recognizes that process as equivalent to its 
own. Such agreements will be negotiated by the NASA Headquarters Office 
of Safety and Mission Quality (Code Q) and the Program Office 
responsible for the program to which such access is sought. A security 
clearance to access classified material is not sufficient to meet the 
certification requirements of this regulation.



          Subpart 1214.6--Mementos Aboard Space Shuttle Flights

    Authority: Pub. L. 85-568, 72 Stat. 426 (42 U.S.C. 2473(c)).

    Source: 56 FR 31074, July 9, 1991, unless otherwise noted.



Sec. 1214.600  Scope.

    This subpart establishes policy, procedures, and responsibilities 
for selecting, approving, packing, storing, and disposing of mementos 
carried on Space Shuttle flights.



Sec. 1214.601  Definitions.

    (a) Mementos. Flags, patches, insignia, medallions, minor graphics, 
and similar items of little commercial value, especially suited for 
display by the individuals or groups to whom they have been presented.
    (b) Official Flight Kit (OFK). A container, approximately 0.057 
cubic meters (2 cubic feet) in size, reserved for carrying official 
mementos of NASA and other organizations aboard Space Shuttle flights. 
No personal items will be carried in the OFK.
    (c) Personal Preference Kit (PPK). A container, approximately 12.82 
centimeters x 20.51 centimeters x 5.13 centimeters 
(5[min][min]x8[min][min]x2[min][min]) in size, separately assigned to 
each individual accompanying a Space Shuttle flight for carrying 
personal mementos during the flight.



Sec. 1214.602  Policy.

    (a) Premise. Mementos are welcome aboard Space Shuttle flights. 
However, they are flown as a courtesy--not as an entitlement. The 
Associate Administrator for Space Flight is free to make exceptions to 
this accommodation without explanation. Moreover, mementos are ballast 
not payload. They can be reduced or eliminated (by the Deputy Director, 
Space Shuttle Program, Johnson Space Center) for weight, volume, or 
other technical reasons without reference to higher authority.
    (b) Constraints. Mementos to be carried on Space Shuttle flights 
must be approved by the Associate Administrator for Space Flight and are 
stowed only in an OFK or a PPK. Mementos will not be carried within 
payload containers, including Get-Away Specials, or in any other 
container or locker aboard the Space Shuttle, other than within the 
designated OFK or PPK.
    (c) Economic Gain. Items carried in an OFK or a PPK will not be 
sold, transferred for sale, used or transferred for personal gain, or 
used or transferred for any commercial or fund-raising purpose. Items 
such as philatelic materials and coins that, by their nature, lend 
themselves to exploitation by the recipients, or create problems with 
respect to good taste; or that are large, bulky, or heavy items (in the 
context of the OFK's size, as indicated in Sec. 1214.601(b) of this 
part) will not be approved for flight.



Sec. 1214.603  Official Flight Kit (OFK).

    (a) Purpose. The OFK on a particular flight enables NASA, developers 
of NASA sponsored payloads, NASA's external payload customers, other 
Federal agencies, researchers, aerospace contractors, and counterpart 
institutions of friendly foreign countries to utilize mementos as awards 
and commendations or preserve them in museums or archives. The courtesy 
is also extended to other organizations outside the aerospace community, 
such as state and local governments, the academic community, and 
independent business entities. In the latter case, it is customary to 
fly only one item for the requesting organization to be used for display 
purposes.

[[Page 126]]

    (b) Limitations. In addition to Sec. 1214.602(c) of this part, U.S. 
national flags will not be flown as mementos except by U.S. Government 
sponsors.
    (c) Approval of Contents. At least 60 days prior to the launch of a 
Space Shuttle flight, an authorized representative of each organization 
desiring mementos to be carried on the flight in the OFK must submit a 
letter or request describing the item(s) to be flown and the intended 
purpose or distribution. Letters should be directed to the cognizant 
NASA office as follows:
    (1) Space Shuttle customers/users of any nature, to the Director of 
Transportation Services, Code MC, NASA Headquarters, Washington, DC 
20546.
    (2) Foreign organizations/individuals, and Department of Defense 
organizations/individuals (both other than as a Space Shuttle customer) 
and other Federal agencies to the Associate Administrator of External 
Relations, Code X, NASA Headquarters, Washington, DC 20546. Upon receipt 
of all requests, the cognizant offices will review and forward data to 
the Associate Director, Code AC, Johnson Space Center, Houston, TX 
77058.
    (3) All others (aerospace companies, state and local governments, 
the academic community, and non-space-related businesses) may send 
requests directly to the Associate Director, Code AC, Johnson Space 
Center, Houston, TX 77058. In the event OFK requests, on a particular 
flight, exceed OFK capability, priority consideration may be given to 
those entities having payloads on that flight. The listing of the 
proposed OFK contents for each flight is prepared at the Johnson Space 
Center and forwarded to the Associate Administrator for Space Flight 
approximately 30 days prior to launch for approval.



Sec. 1214.604  Personal Preference Kit (PPK).

    (a) Purpose. The PPK enables persons accompanying Space Shuttle 
flights to carry personal items for use as mementos. Only those 
individuals actually accompanying such flights (astronaut crew members, 
payload specialists, and space flight participants) may request 
authorization to carry personal items as mementos. These items must be 
carried in individually assigned PPK's.
    (b) Limitations. The contents of a PPK must be limited to 20 
separate items, with a total weight of 0.682 kilograms (1.5 pounds). 
Each item is allocated for a different recipient and distributed 
accordingly. The volume of a PPK must be contained in a 12.82 
centimeters x 20.51 centimeters x 5.13 centimeters 
(5[min][min]x8[min][min]x2[min][min]) bag provided by NASA. Increases in 
these limitations will be authorized only by the Associate Administrator 
for Space Flight.
    (c) Approval of Contents. At least 60 days before the scheduled 
launch of a Space Shuttle flight, each person assigned to the flight who 
desires to carry items in a PPK must submit a proposed list of items and 
their recipients to the Associate Director, Johnson Space Center. The 
Associate Director will review the requests for compliance with this 
subpart and submit the crew members' PPK lists through supervisory 
channels to the Associate Administrator for Space Flight for approval. A 
signed copy of the Associate Administrator for Space Flight's approval 
will be returned to the Director, Johnson Space Center, for appropriate 
distribution.



Sec. 1214.605  Preflight packing and storing.

    (a) Items intended for inclusion in OFK's or PPK's must arrive at 
the Johnson Space Center, Code AC, at least 45 days prior to the flight 
on which they are scheduled in order for them to be listed on the cargo 
manifest, packaged, weighed, and stowed aboard the Orbiter. Items must 
arrive at the Johnson Space Center prior to the 45-day limit even if the 
Associate Administrator for Space Flight's approval is still pending. 
Items not approved by the Associate Administrator for Space Flight will 
be returned to the requesting individual/organization.
    (b) The Associate Director, Johnson Space Center, is responsible for 
the following:
    (1) Securing the items while awaiting the launch on which they are 
manifested.
    (2) Packaging, weighing, and stowing the items according to the 
manifests

[[Page 127]]

approved by the Associate Administrator for Space Flight.



Sec. 1214.606  Postflight disposition.

    The Associate Director, Johnson Space Center, will:
    (a) Receive and inventory all items flown in the OFK and PPK's 
following each Shuttle flight.
    (b) Return the contents of the PPK's to the persons who submitted 
them.
    (c) Return all other flown items to the submitting organizations 
with an appropriate letter of certification.
    (d) Retain and secure mementos flown by the Agency for future use.



Sec. 1214.607  Media and public inquiries.

    (a) Official Flight Kit. Information on the contents of OFK's will 
be routinely released to the media and to the public upon their request, 
but only after the contents have been approved by the Associate 
Administrator for Space Flight.
    (b) Personal Preference Kit. Information on the contents of PPK's 
will be routinely released to the media and to the public upon their 
request immediately following postflight inventory.
    (c) Responsibility for Release of Information. The Director of 
Public Affairs, Johnson Space Center, is responsible for the prompt 
release of information on OFK and PPK contents.



Sec. 1214.608  Safety requirements.

    The contents of OFK's and PPK's must meet the requirements set forth 
in NASA Handbook 1700.7, ``Safety Policy and Requirements for Payloads 
Using the Space Transportation System (STS).''



Sec. 1214.609  Loss or theft.

    (a) Responsibility. The National Aeronautics and Space 
Administration will not be responsible for the loss or theft of, or 
damage to, items carried in OFK's or PPK's.
    (b) Report of Loss or Theft. Any person who learns that an item 
contained in an OFK or a PPK is missing shall immediately report the 
loss to the Johnson Space Center Security Office and the NASA Inspector 
General.



Sec. 1214.610  Violations.

    Any item carried in violation of the requirements of this subpart 
shall become the property of the U.S. Government, subject to applicable 
Federal laws and regulations, and the violator may be subject to 
disciplinary action, including being permanently prohibited from use of, 
or, if an individual, from flying aboard the Space Shuttle or any other 
manned spacecraft of the National Aeronautics and Space Administration.



      Subpart 1214.7--The Authority of the Space Shuttle Commander

    Authority: Pub. L. 85-588, 72 Stat. 426 (42 U.S.C. 2473, 2455; 18 
U.S.C. 799); Art. VIII, TIAS 6347 (18 U.S.T. 2410).

    Source: 45 FR 14845, Mar. 7, 1980, unless otherwise noted.



Sec. 1214.700  Scope.

    This subpart establishes the authority of the Space Shuttle 
commander to enforce order and discipline during all flight phases of a 
Shuttle flight to take whatever action in his/her judgment is necessary 
for the protection, safety, and well-being of all personnel and on-board 
equipment, including the Space Shuttle elements and payloads. During the 
final launch countdown, following crew ingress, the Space Shuttle 
commander has the authority to enforce order and discipline among all 
on-board personnel. During emergency situations prior to liftoff the 
Space Shuttle commander has the authority to take whatever action in 
his/her judgment is necessary for the protection or security, safety, 
and well-being of all personnel on board.

[56 FR 27899, June 18, 1991]



Sec. 1214.701  Definitions.

    (a) Space Shuttle Elements consists of the Orbiter, an External 
Tank, two Solid Rocket Boosters, Spacelab, Upper Stage Boosters (Solid 
Spinning Upper Stage and Interim Upper Stages) and others as specified 
in NASA Management Instruction 8040.9.
    (b) The flight crew consists of the commander, pilot, and mission 
specialist(s).
    (c) A flight is the period from launch to landing of a Space 
Shuttle--a single round trip. (In the case of a forced

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landing the Space Shuttle commander's authority continues until a 
competent authority takes over the responsibility for the Orbiter and 
for the persons and property aboard.)
    (d) The flight-phases consist of launch, in orbit, deorbit, entry, 
landing, and postlanding.
    (e) A payload is a specific complement of instruments, space 
equipment, and support hardware/software carried into space to 
accomplish a scientific mission or discrete activity.
    (f) Personnel on board refers to those astronauts or other persons 
actually in the Orbiter or Spacelab during any flight phase of a Space 
Shuttle flight (including any persons who may have transferred from 
another vehicle) and including any persons performing extravehicular 
activity associated with the mission.

[45 FR 14845, Mar. 7, 1980, as amended at 56 FR 27899, June 18, 1991]



Sec. 1214.702  Authority and responsibility of the Space Shuttle commander.

    (a) During all flight phases of a Space Shuttle flight, the Space 
Shuttle commander shall have the absolute authority to take whatever 
action is in his/her discretion necessary to:
    (1) Enhance order and discipline,
    (2) Provide for the safety and well being of all personnel on board, 
and
    (3) Provide for the protection of the Space Shuttle elements and any 
payload carried or serviced by the Space Shuttle.

The commander shall have authority throughout the flight to use any 
reasonable and necessary means, including the use of physical force, to 
achieve this end.
    (b) The authority of the commander extends to any and all personnel 
on board the Orbiter including Federal officers and employees and all 
other persons whether or not they are U.S. nationals.
    (c) The authority of the commander extends to all Space Shuttle 
elements, payloads, and activities originating with or defined to be a 
part of the Space Shuttle mission.
    (d) The commander may, when he/she deems such action to be necessary 
for the safety of the Space Shuttle elements and personnel on board, 
subject any of the personnel on board to such restraint as the 
circumstances require until such time as delivery of such individual or 
individuals to the proper authorities is possible.

[45 FR 14845, Mar. 7, 1980, as amended at 56 FR 27900, June 18, 1991]



Sec. 1214.703  Chain of command.

    (a) The Commander is a career NASA astronaut who has been designated 
to serve as commander on a particular flight, and who shall have the 
authority described in Sec. 1214.702 of this part. Under normal flight 
conditions (other than emergencies or when otherwise designated) the 
Space Shuttle commander is responsible to the Flight Director, Johnson 
Space Center, Houston, TX.
    (b) The pilot is a career NASA astronaut who has been designated to 
serve as the pilot on a particular flight and is second in command of 
the flight. If the commander is unable to carry out the requirements of 
this subpart, then the pilot shall succeed to the duties and authority 
of the commander.
    (c) Before each flight, the other flight crew members (Mission 
Specialists) will be designated by the Director of Flight Operations, 
Johnson Space Center, Houston, TX, in the order in which they will 
assume the authority of the commander under this subpart in the event 
that the commander and pilot are both not able to carry out their 
duties.
    (d) The determinations, if any, that a crew member in the chain of 
command is not able to carry out his or her command duties and is, 
therefore, to be relieved of command, and that another crew member in 
the chain of command is to succeed to the authority of the commander, 
will be made by the Director of the Johnson Space Center.

[45 FR 14845, Mar. 7, 1980, as amended at 47 FR 3095, Jan. 22, 1982; 56 
FR 27900, June 18, 1991]



Sec. 1214.704  Violations.

    (a) All personnel on board a Space Shuttle flight are subject to the 
authority of the commander and shall conform to his/her orders and 
direction as authorized by this subpart.

[[Page 129]]

    (b) This regulation is a regulation within the meaning of 18 U.S.C. 
799, and whoever willfully violates, attempts to violate, or conspires 
to violate any provision of this subpart or any order or direction 
issued under this subpart shall be fined not more than $5,000 or 
imprisoned not more than 1 year, or both.

[45 FR 14845, Mar. 7, 1980, as amended at 56 FR 27900, June 18, 1991]



           Subpart 1214.8--Reimbursement for Spacelab Services

    Source: 50 FR 30809, July 30, 1985, unless otherwise noted.



Sec. 1214.800  Scope.

    This subpart 1214.8 establishes the special reimbursement policy for 
Spacelab services provided to Space Transportation System (STS) 
customers governed by the provisions of subpart 1214.1 or subpart 
1214.2. It applies to flights occurring in the second phase of STS 
operations (U.S. Government fiscal years 1986, 1987, and 1988). The 
following five types of Spacelab flights are available to accommodate 
payload requirements:
    (a) Dedicated-Shuttle Spacelab flight [Ref. Sec. 1214.804(e)].
    (b) Dedicated-pallet flight [Ref. Sec. 1214.804(f)].
    (c) Dedicated-FMDM/MPESS (flexible multiplexer-demultiplexer/
multipurpose experiment support structure) flight [Ref. Sec. 
1214.804(f)].
    (d) Complete-pallet flight [Ref. Sec. 1214.804(g)].
    (e) Shared-element flight [Ref. Sec. 1214.804(h)].



Sec. 1214.801  Definitions.

    (a) Shuttle policy. The appropriate subpart (1214.1 or 1214.2) 
governing use of the Shuttle. Determinaltion of the appropriate subpart 
for each customer shall be made by reference to Sec. Sec. 1214.101 and 
1214.201.
    (b) Spacelab elements. Pallets (3-meter segments), pressurized 
modules (long or short), and the FMDM/MPESS (1-meter cross-bay 
structure), all as maintained in the NASA-approved Space lab 
configuration.
    (c) Standard flight price. The price for standard Shuttle and 
standard Spacelab services provided. If a customer elects not to use a 
portion of the standard services, the standard flight price shall not be 
affected.
    (d) Shuttle load factor. The parameter used to compute the 
customer's pro rata share of Shuttle services and used to compute the 
Shuttle charge factor. Means of computing this parameter are defined in 
Sec. 1214.813.
    (e) Spacelab load fraction. The parameter used to compute the 
customer's pro rata share of each element's services and used to compute 
the element charge factor. Means of computing this parameter are defined 
in Sec. 1214.813.
    (f) Shuttle charge factor and element charge factor. Parameters used 
in computation of the customer's flight price. Means of computing these 
parameters are defined in Sec. 1214.813.
    (g) Dedicated flight price for Spacelab missions. (1) The single-
shift operation dedicated flight price for Spacelab missions is 
identical to the Shuttle dedicated flight price as defined in the 
Shuttle policy.
    (2) The two-shift operation dedicated flight price for Spacelab 
missions is the sum of:
    (i) The Shuttle dedicated flight price as defined in the Shuttle 
policy.
    (ii) The standard price for additional services required to support 
a second shift of on-orbit operations.



Sec. 1214.802  Relationship to Shuttle policy.

    Except as specifically noted, the provisions of the Shuttle policy 
also apply to Spacelab payloads. Although some language in the Shuttle 
policy is Shuttle-specific, it is the intent of this subpart 1214.8 that 
the Shuttle policy be applied to Spacelab also, including the policy on 
patent and data rights. However, in the event of any inconsistencies in 
the policies, the Spacelab policy will govern with respect to Spacelab 
services.



Sec. 1214.803  Reimbursement policy.

    (a) Reimbursement basis. (1) This policy is established for the 
second phase of STS operations (U.S. Government fiscal years 1986, 1987, 
and 1988).

[[Page 130]]

    (2) Standard flight price. During this phase, customers covered by 
subpart 1214.1 or subpart 1214.2 shall reimburse NASA for standard 
Spacelab services an amount which is a pro rata share of:
    (i) The appropriate dedicated flight price for the customer's 
Spacelab mission.
    (ii) The standard price for use of the selected Spacelab elements 
during the second phase of STS operations.
    (3) The price shall be held constant for flights during this phase 
of STS operations.
    (4) Reimbursement policies for subsequent phases of STS operations 
will be developed after NASA has obtained more operational experience.
    (b) Escalation. Payments shall be escalated in accordance with the 
Shuttle policy.
    (c) Customers shall reimburse NASA an amount which is the sum of the 
customer's standard flight price and the price for all optional services 
provided.
    (d) Earnest money. For those customers required to pay earnest money 
by the Shuttle policy, the total earnest money payment per payload for 
Spacelab payloads (including Shuttle services) shall be the lesser of 
$150,000 or 10% of the customer's estimated standard flight price. 
Earnest money will be applied to the first payment for standard services 
made for each payload by the customer or will be retained by NASA if a 
Launch Services Agreement is not signed.



Sec. 1214.804  Services, pricing basis, and other considerations.

    (a) Mandatory use of dedicated-Shuttle Spacelab flight. (1) 
Customers shall be required to fly under the provisions of paragraph (e) 
of this section if the customer requires exclusive use of any of the 
following:
    (i) Pressurized module (long or short).
    (ii) Three pallets in the ``1+1+1'' configuration.
    (iii) Four pallets in the ``2+2'' configuration.
    (2) In the cases cited in paragraph (a)(1) of this section, if the 
customer requests, NASA will attempt to find compatible sharees to fly 
with the customer's payload. If NASA is successful, the customer's 
Shuttle standard flight price shall be the greater of:
    (i) The appropriate dedicated flight price for the customer's 
Spacelab mission less adjusted reimbursements (as defined in the Shuttle 
policy) from sharees actually flown.
    (ii) The computed shared-flight Spacelab flight price for the 
customer's payload.
    (b) Apportionment and assignment of services. Subject to NASA 
approval, a customer contracting for a Spacelab flight shall be 
permitted to apportion and assign services under the provisions of the 
Shuttle policy.
    (c) Postponement and termination. (1) A customer may postpone the 
flight of a Spacelab payload one time with no additional charge if 
postponement occurs more than 18 months before the scheduled launch 
date.
    (2) Postponement or termination fees for Spacelab payloads shall 
consist of the sum of:
    (i) A fee for Shuttle transporation.
    (ii) A fee for use of the Spacelab elements.
    (3) Shuttle transportation fee. Customers shall be governed by the 
provisions of the Shuttle policy with the following exception. When 
computing occupancy fees for shared-element payloads, the ``adjusted 
reimbursements from other customers'' shall be defined as the adjusted 
reimbursements from those customers who subsequently contract for the 
use of the element being shared.
    (4) Spacelab use fee. The postponement and termination fees for use 
of the Spacelab elements are computed as a percentage of the customer's 
price for use of the Spacelab elements and shall be based on the table 
below. When postponement or termination occurs less than 18 months 
before launch, the fees shall be computed by linear interpolation using 
the points provided.

[[Page 131]]



------------------------------------------------------------------------
                                                Fee for use of Spacelab
                                                 element(s), percent of
Time when postponement or termination occurs,       price for use of
     months before scheduled launch date               element(s)
                                              --------------------------
                                               Postponement  Termination
------------------------------------------------------------------------
     Dedicated Flights, Dedicated Elements, and Dedicated FMDM/MPESS
------------------------------------------------------------------------
0............................................          75          100
3............................................          60           85
12...........................................          14           20
18...........................................           5           10
More than 18.................................           5           10
----------------------------------------------
                  Complete Pallets and Shared Elements
------------------------------------------------------------------------
Less than 8..................................          95          100
8............................................          95          100
9............................................          32           95
12...........................................          18           80
18...........................................           5           10
More than 18.................................           5           10
------------------------------------------------------------------------

    (5) At the time of signing of the Launch Services Agreement, NASA 
shall define a payload removal cutoff date (relative to the launch date) 
for each Spacelab payload to be flown on a shared flight. A customer may 
still postpone or terminate a flight after the payload's cutoff date; 
however, NASA shall not be required to remove the payload before flight.
    (d) Minor delays. The minor delay provisions of the Shuttle policy 
shall apply only to those Spacelab payloads whose Shuttle load factor is 
equal to or greater than 0.05.
    (e) Dedicated-Shuttle Spacelab flight. (1) A dedicated-Shuttle 
Spacelab flight is a Shuttle flight sold to a single customer who is 
entitled to select the Spacelab elements used on the flight.
    (2) In addition to the standard services listed in paragraph (i) of 
this section, the following standard services are provided to customers 
of dedicated-Shuttle Spacelab flights and form the basis for the 
standard flight price:
    (i) Use of the full standard services of the Shuttle and the 
Spacelab elements selected.
    (ii) One day of one-shift on-orbit operations.
    (iii) Standard mission destinations as defined in the Shuttle 
policy.
    (iv) Launch within a prenegotiated 90-day period in accordance with 
the dedicated flight scheduling provisions of the Shuttle policy.
    (v) The available payload operations time of two NASA-furnished 
mission specialists.
    (3) Customers contracting for a dedicated-Shuttle Spacelab flight 
shall reimburse NASA an amount which is the sum of:
    (i) The one-shift operation dedicated flight price for a 1-day 
Spacelab mission.
    (ii) The price for the use of all Spacelab elements used (including 
all necessary mission-independent Spacelab equipment).
    (iii) The price for all optional services provided.
    (f) Dedicated 3-meter pallets and dedicated FMDM/MPESS. (1) A 
dedicated pallet (or a dedicated FMDM/MPESS) is one which is sold to a 
single customer and which includes all Spacelab hardware necessary to 
permit it to be flown on any shared Shuttle flight as an autonomous 
payload (e.g., a dedicated 3-meter pallets may either be supplied with 
its own exclusive igloo or may fly without an igloo if it requires only 
standard Shuttle services).
    (2) In addition to a pro rata share of the standard service listed 
in paragraph (i) of this section, the following standard services are 
provided to customers of dedicated pallets (or dedicated FMDM/MPESS) and 
form the basis for establishing the standard flight price:
    (i) A pro rata share of the Shuttle services normally provided, 
where the basis for proration is the customer's Shuttle load factor as 
defined in Sec. 1214.813(d)(1) for dedicated pallets and in Sec. 
1214.813(e)(2) for dedicated FMDM/MPESS.
    (ii) The exclusive services of the pallet (or FMDM/MPESS) and all 
Spacelab hardware provided to support the pallet (or FMDM/MPESS).
    (iii) One day of one-shift on-orbit operations.
    (iv) Launch to the standard mission destination of 160 nmi, 
28.5 as defined in the Shuttle policy.
    (v) Launch within a prenegotiated 90-day period in accordance with 
the shared-flight scheduling provisions of the Shuttle policy.
    (vi) A pro rata share of the on-orbit payload operations time of two 
NASA-furnished mission specialists, where

[[Page 132]]

the basis of proration shall be the customer's Shuttle load factor.
    (3) Customers contracting for a dedicated pallet (or FMDM/MPESS) 
flight shall reimburse NASA an amount which is the sum of:
    (i) The product of the customer's Shuttle charge factor and the one-
shift-operation dedicated flight price of a 1-day Spacelab mission.
    (ii) The price for the use of the pallet (or FMDM/MPESS) selected 
(including all necessary mission-independent Spacelab equipment).
    (iii) The price for all optional services provided.
    (g) Complete pallet. (1) A complete Spacelab pallet is one which is 
sold to a single customer but flies with other Spacelab elements on a 
NASA or NASA-designated Spacelab flight and shares the common standard 
Spacelab services, e.g., shares an igloo with other pallets.
    (2) In addition to a pro rata share of the standard services listed 
in paragraph (i) of this section, the following standard services are 
provided to customers of complete pallets and form the basis for the 
standard flight price.
    (i) The pallet's pro rata share of standard Shuttle services, where 
the basis of proration shall be the customer's Shuttle load factor as 
defined in Sec. 1214.813(f)(1).
    (ii) A pro rata share of 7 days of two-shift on-orbit operations, 
where the basis of proration shall be the customer's Shuttle load 
factor.
    (iii) Mission destination selected by NASA in consultation with the 
customer.
    (iv) Assignment, with the customer's concurrence, to a Spacelab 
flight designated by NASA.
    (v) Launch date established by NASA.
    (vi) A pro rata share of the on-orbit payload operations time of two 
NASA-furnished mission specialists, where the basis of proration shall 
be the customer's Shuttle load factor.
    (vii) Use of the entire volume above a pallet.
    (3) Users contracting for complete pallet flights shall reimburse 
NASA an amount which is the sum of:
    (i) The product of the customer's Shuttle charge factor and the two-
shift-operation dedicated flight price of a 7-day Spacelab mission. The 
dedicated flight price for a 7-day complete-pallet mission is the sum of 
the dedicated flight price for a 1-day two-shift mission and the charge 
for 6 extra days of two-shift on-obit operation.
    (ii) The price for the use of a complete pallet, including all 
necessary mission-independent Spacelab equipment.
    (iii) The price for all optional services provided.
    (h) Shared element. (1) A shared element is a Spacelab pallet or 
module which:
    (i) Is shared by two or more customers on a NASA-designated Spacelab 
flight.
    (ii) Shares common standard Spacelab services with other Spacelab 
elements on the same flight.
    (2) In aditional to a pro rata share of the standard services listed 
in paragraph (i) of this section, the following standard services are 
provided to customers of shared elements and form the basis for the 
standard flight price:
    (i) For shared pallets, a pro rata share of the standard services 
provided by a pallet. The basis of proration shall be the customer's 
Spacelab load fraction as defined in Sec. 1214.813(g)(1)(i).
    (ii) For shared modules, a pro rata share of the standard services 
provided by a long module flown on a dedicated-Shuttle Spacelab flight. 
The basis of proration shall be the customer's Spacelab load fraction as 
defined in Sec. 1214.813(g)(1)(ii). The type of pressurized module 
actually used to meet a customer's requirement for a shared module shall 
be determined by NASA subsequent to contract negotiations.
    (iii) A pro rata share of the element's share of standard Shuttle 
services, where the basis for proration shall be the customer's Spacelab 
load fraction.
    (iv) A pro rata share of 7 days of two-shift on-orbit operations, 
where the basis of proration shall be the customer's Shuttle load factor 
as defined in Sec. 1214.813(g)(1).
    (v) Mission destination selected by NASA in consultation with the 
customer.
    (vi) Assignment, with the customer's concurrence, to a Spacelab 
flight designated by NASA.

[[Page 133]]

    (vii) Launch date established by NASA.
    (viii) A pro rata share of the on-orbit operations time of two NASA-
furnished mission specialists, where the basis of proration shall be the 
customer's Shuttle load factor.
    (3) Customers contracting for shared-element flight shall reimburse 
NASA an amount which is the sum of:
    (i) The product of the customer's Shuttle charge factor and the two-
shift operation dedicated flight price of a 7-day Spacelab mission. The 
dedicated flight price for a 7-day shared-element mission is the sum of 
the dedicated flight price for a 1-day two-shift-mission and the charge 
for 6 extra days of two-shift on-orbit operations.
    (ii) The product of the customer's element charge factor and the 
price for the use of the Spacelab element being used, including all 
necessary mission-independent Spacelab equipment.
    (iii) The price for all optional services provided.
    (i) Common standard Spacelab services. The following standard 
Spacelab services are common to all Spacelab flights:
    (1) Use of Shuttle \1\ and Spacelab hardware.
---------------------------------------------------------------------------

    \1\ Typical standard Shuttle services repeated for clarity.
---------------------------------------------------------------------------

    (2) Spacelab interface analysis.
    (3) Kennedy Space Center (KSC) launch.\1\
    (4) A five-person NASA flight crew consisting of commander, two 
pilots, and two mission specialists.
    (5) Accommodations for a five-person flight crew.
    (6) Prelaunch integration and interface verification of preassembled 
racks and pallets (Levels III, II, and I for NASA-furnished Spacelab 
hardware; Level I only for customer-furnished Spacelab hardware).
    (7) Shuttle \1\ and Spacelab flight planning.
    (8) Payload electrical power.
    (9) Payload environmental control.
    (10) On-board data acquisition and processing services.
    (11) Transmission of data to a NASA-designed monitoring and control 
facility via the basic STS Operational Instrumentation (OI) telemetry 
system.
    (12) Use of NASA-furnished standard payload monitoring and control 
facilities.
    (13) Voice communications between personnel operating the customer's 
payload and a NASA-designated payload monitoring and control facility.
    (14) NASA payload safety review.\1\
    (15) NASA support of payload design reviews.\1\
    (j) Typical optional Spacelab services. The following are typical 
optional Spacelab services:
    (1) Use of special payload support equipment, e.g., instrument 
pointing system.
    (2) Vandenberg Air Force Base (VAFB) launch.
    (3) Nonstandard mission destination.
    (4) Additional time on orbit.
    (5) Mission-independent training, use of, and accommodations for all 
flight personnel in excess of five.
    (6) Mission-dependent training of all NASA-furnished personnel and 
backups.
    (7) Analytical and/or hands-on integration (and de-integration) of 
the customer's payload into racks and/or onto pallets.
    (8) Unique integration or testing requirements.
    (9) Additional resources beyond the customer's pro rata share.
    (10) Additional experiment time or crew time beyond the customer's 
pro rata share.
    (11) Special access to and/or operation of payloads.
    (12) Customer unique requirements for; software development for the 
Command and Data Management Subsystem (CDMS) onboard computer, 
configuration of the Payload Operations Control Center (POCC), and/or 
CDMS utilized during KSC ground processing.
    (13) Extravehicular Activity (EVA) services.
    (14) Payload flight planning services.
    (15) Transmission of Spacelab data contained in the STS OI telemetry 
link to a location other than a NASA-designated monitoring and control 
facility.
    (16) Transmission of Spacelab data not contained in the STS OI 
telemetry link.

[[Page 134]]

    (17) Level III and/or Level II integration of customer-furnished 
Spacelab hardware.
    (k) Options. The provisions of Sec. Sec. 1214.102(e) and 
1214.202(e) do not apply to Spacelab payloads.



Sec. 1214.805  Unforeseen customer delay.

    Should an unforeseen customer payload problem pose a threat of delay 
to the Shuttle launch schedule or critical off-line activities, NASA 
shall, if requested by the customer, make all reasonable efforts to 
prevent a delay, contingent on the availability of facilities, 
equipment, and personnel. In requesting NASA to make such special 
efforts, the customer shall agree to reimburse NASA the estimated 
additional cost incurred.



Sec. 1214.806  Premature termination of Spacelab flights.

    If a dedicated-Shuttle Spacelab flight, a dedicated-pallet flight, 
or dedicated-FMDM/MPESS flight is prematurely terminated, NASA shall 
refund the optional services charges for planned, but unused, extra days 
on orbit. If a complete-pallet or shared-element flight is prematurely 
terminated, NASA shall refund a pro rata share of the charges for 
planned, but unused, extra days on orbit to customers whose payload 
operations are, in NASA's judgment, adversely affected by such premature 
termination. The basis for proration shall be the customers' Shuttle 
load factor.



Sec. 1214.807  Exceptional payloads.

    Customers whose payloads qualify under the NASA Exceptional Program 
Selection Process shall reimburse NASA for Spacelab and Shuttle services 
on the basis indicated in the Shuttle policy.



Sec. 1214.808  Standby payloads.

    The standby payload provisions of the Shuttle policy do not apply to 
Spacelab flights.



Sec. 1214.809  Short-term call-up and accelerated launch.

    The short-term call-up and accelerated launch provisions of the 
Shuttle policy normally are not offered to Spacelab customers. NASA will 
negotiate any such customer requirements on an individual basis.



Sec. 1214.810  Integration of payloads.

    (a) The customer shall bear the cost of performing the following 
typical Spacelab-payload mission management functions:
    (1) Analytical design of the mission.
    (2) Generation of mission requirements and their documentation in 
the Payload Integration Plan (PIP).
    (3) Provision of mission unique training and payload specialists (if 
appropriate).
    (4) Physical integration of experiments into racks and/or onto 
pallets.
    (5) Provision of payload unique software for use during ground 
processing, on orbit, or in POCC operations.
    (6) Supporting operations.
    (7) Assuring the mission is safe.
    (b) All physical integration (and de-integration) of payloads into 
racks and/or onto pallets will normally be performed at KSC by NASA. 
When the customer provides Spacelab elements, these physical integration 
activities may be done by the customer at a location chosen by the 
customer.
    (c) With the exception of the restrictions noted in paragraph (b) of 
this section, customers contracting for dedicated-Shuttle and dedicated-
pallet flights may perform the Spacelab-payload mission management 
functions defined in paragraph (a) of this section. NASA will assist 
customers in the performance of these functions, if requested. Charges 
for this service will be based on estimated actual costs, or actual 
costs where appropriate, and will be in addition to the price for 
standard services.
    (d) For complete pallets or shared elements, NASA will normally 
perform the Spacelab-payload mission management functions listed in 
paragraph (a) of this section. Charges for this service will be based on 
estimated actual costs, or actual costs where appropriate, and will be 
in addition to the price for standard services.
    (e) Integration of payload entities mentioned in paragraphs (b)-(d) 
of this section with NAS-furnished Spacelab support systems and with the 
Shuttle shall be performed by NASA as a standard service for all 
payloads flown on

[[Page 135]]

customer-furnished Spacelab elements. Customers shall be available to 
participate as required by NASA in these levels of integration. Customer 
equipment shall be operated only to the extent necessary for interface 
verification. Customers requiring additional payload operation after 
delivery of the payload to NASA shall negotiate such operation as an 
optional service.



Sec. 1214.811  Reflight guarantee.

    (a) During the second phase of STS operations, there is no 
additional reflight premium for those shared-flight Spacelab payloads 
which can be accommodated on a standard Shuttle launch to 160 nmi, 
28.5 as defined in the Shuttle policy and all dedicated-
flight Spacelab payloads.
    (b) NASA and the customer may negotiate appropriate reflight 
provisions (e.g., scheduling, reflight premiums) for payloads not 
covered by paragraph (a) of this section. Otherwise, no reflight 
services shall be provided.
    (c) Reflight guarantees, if provided, must cover the customer's 
entire payload.
    (d) Payloads covered by reflight guarantees shall be entitled to a 
reflight with no charge for standard Spacelab and Shuttle services if 
both the following occur:
    (1) Through no fault of the customer or defect in the customer's 
payload, Spacelab systems (i.e., data, power, and cooling) are not 
within nominal specifications, as measured by NASA at normal Spacelab 
monitoring points, at the time of first turn-on of the customer's 
payload, all as defined in the Launch Services Agreement.
    (2) The customer's mission objective is not achieved solely as a 
direct result of the occurrence, at the time of first turn-on of the 
customer's payload, of events described in paragraph (d)(1) of this 
section.
    (e) If more than one reflight is required, no additional reflight 
premium shall be charged.
    (f) If a payload being reflown was not initially covered by a 
reflight guarantee, the reimbursements for the reflight shall be the 
same as for a newly-scheduled launch.



Sec. 1214.812  Payload specialists.

    (a) The use of customer-furnished payload specialists shall be 
subject to the approval of the NASA Administrator or the Administrator's 
designee.
    (b) Customers with payloads whose Shuttle load factor is equal to or 
greater than 0.5 are entitled to request that a customer-selected 
payload specialist be flown with the customer's payload. Dedicated-
flight customers are entitled to request the flight of two customer-
selected payload specialists.
    (c) NASA may approve the flight of a customer-selected payload 
specialist with payloads whose Shuttle load factor is less than 0.5 if, 
in NASA's judgment, there is sufficient scientific need to warrant such 
a flight.
    (d) The standard Spacelab flight price is based on operation of the 
customer's payload by two NASA-furnished mission specialists. 
Accommodations for, and mission-independent training of, any payload 
specialists and backups required for the customer's mission shall be 
provided as optional services and shall be paid for by the customer. The 
price for this service shall be the same for both customer-furnished and 
NASA-furnished payload specialists.



Sec. 1214.813  Computation of sharing and pricing parameters.

    (a) General. (1) Computational procedures as contained in the 
following subparagraphs of this paragraph of this section shall be 
applied as indicated. The procedure for computing Shuttle load factor, 
charge factor, and flight price for Spacelab payloads replaces the 
procedure contained in the Shuttle policy.
    (2) Shuttle charge factors as derived herein apply to the standard 
mission destination of 160 nmi altitude, 28.5 
inclination. Customers shall reimburse NASA an optional services fee for 
flights to nonstandard destinations.
    (3) The customer's total Shuttle charge factor shall be the sum of 
the Shuttle charge factors for the customer's individual (dedicated, 
complete, or shared) elements, with the limitation that the customer's 
Shuttle charge factor shall not exceed 1.0.
    (4) Customers contracting for pallet-only payloads are entitled to 
locate

[[Page 136]]

minimal controls as agreed to by NASA in a pressurized area to be 
designated by NASA. There is no additional charge for this service.
    (5) NASA shall, at its discretion, adjust up or down the load 
factors and load fractions calculated according to the procedures 
defined in this section. Adjustments shall be made for special space or 
weight requirements which include, but are not limited to:
    (i) Sight clearances, orientation, or placement limits.
    (ii) Clearances for movable payloads.
    (iii) Unusual access clearance requirements.
    (iv) Clearances extending beyond the bounds of the normal element 
envelope.
    (v) Extraordinary shapes.

The adjusted values shall be used as the basis for computing charge 
factors and prorating services.
    (b) Definitions used in computations--(1) LC=Chargeable 
payload length, m. The total length in the cargo bay occupied by the 
customer's experiment and the Spacelab element(s) used to carry it.
    (2) WC=The weight of the customer's payload and the 
customer's pro rata share of the weight of NASA mission-peculiar 
equipment carried to meet the customer's needs, kg.
    (c) Dedicated-shuttle spacelab flight (1-day mission). The total 
reimbursement is as defined in Sec. 1214.804(e)(3).
    (d) Dedicated-pallet flight (1-day mission). (1) The Shuttle load 
factors and charge factors for dedicated-pallet flights are shown in 
table 1. Subject to other STS Spacelab structural limits, customers are 
entitled to utilize the payload weight capability of the pallets as 
indicated in table 1. Payload weights in excess of those shown are 
subject to NASA approval and may entail optional services charges.

           Table 1--Shuttle Load Factors, Charge Factors, and Nominal Capacities for Dedicated Pallets
----------------------------------------------------------------------------------------------------------------
                                           Load factor              Charge factor            Nominal payload
                                   ----------------------------------------------------       capacity, kg
         Number of pallets                                                             -------------------------
                                     With Igloo   FMDM con-    With Igloo   FMDM con-                 FMDM con-
                                                  figuration                figuration   With Igloo   figuration
----------------------------------------------------------------------------------------------------------------
1.................................        0.228        0.189        0.305        0.252        2,325        2,950
2.................................        0.392           NA        0.523           NA        4,470           NA
3-pallet train \1\................        0.556           NA        0.742           NA        4,435           NA
2+1 configuration.................        0.594           NA        0.792           NA        7,750           NA
----------------------------------------------------------------------------------------------------------------
\1\ Three pallets requiring the ``1+1+1'' configuration shall be flown on a dedicated flight basis [See Sec.
  1214.804(a)].

    (2) Total reimbursement. The customer's total reimbursement is as 
defined in Sec. 1214.804(f)(3).
    (e) Dedicated FMDM/MPESS flight (1-day mission)--(1) Shuttle charge 
factor. The computed charge factor for dedicated FMDM/MPESS flights is 
defined as:
[GRAPHIC] [TIFF OMITTED] TC14NO91.005

    (2) Shuttle load factor. (i) The Shuttle load factor is defined as 
the maximum of:
[GRAPHIC] [TIFF OMITTED] TC14NO91.006

    (ii) The minimum value of LC is based on the element 
length, plus clearances, and is 1.18 m.
    (3) Total reimbursement. The customer's total reimbursement is as 
defined in Sec. 1214.804(f)(3).
    (f) Complete pallets (7-day mission). (1) The Shuttle load factor 
and charge factor for a complete pallet are 0.198 and 0.228, 
respectively, and its payload weight capability is 2,583 kg. Subject to 
other STS or Spacelab structural limits, customers are entitled to 
utilize this payload weight capability. Payload weight in excess of 
2,583 kg is subject to NASA approval and may entail optional service 
charges.
    (2) Total reimbursement. The customer's total reimbursement is as 
defined in Sec. 1214.804(g)(3).

[[Page 137]]

    (g) Shared elements (7-day mission)--(1) Spacelab load fractions and 
Shuttle load factors--(i) Pallet. Spacelab load fraction is the greater 
of:
[GRAPHIC] [TIFF OMITTED] TC14NO91.007

    Shuttle load factor is the greatest of:
    [GRAPHIC] [TIFF OMITTED] TC14NO91.008
    
    (ii) Pressurized module. Spacelab load fraction and Shuttle load 
factor are identical and are the greater of:
[GRAPHIC] [TIFF OMITTED] TC14NO91.009

    (2) Shuttle charge factors and element charge factors for 
pressurized modules. Shuttle charge factors and element charge factors 
are identical and are defined as follows:

------------------------------------------------------------------------
                                              The element charge factor
If the Spacelab load fraction (and Shuttle    and Shuttle charge factor
             load factor) is--                       shall be--
------------------------------------------------------------------------
Less than 0.00435.........................  .005.
0.00435 to 0.87                             Spacelab load fraction
                                             divided by 0.87.
Greater than 0.87.........................  1.0.
------------------------------------------------------------------------

    (3) Element charge factors for shared pallets.

------------------------------------------------------------------------
                                              The element charge factor
    If the Spacelab load fraction is--               shall be--
------------------------------------------------------------------------
Less than 0.0189..........................  0.0218.
0.0189 to 0.87............................  Spacelab load fraction
                                             divided by 0.87.
Greater than 0.87.........................  1.0.
------------------------------------------------------------------------

    (4) Shuttle charge factors for shared pallets.

------------------------------------------------------------------------
                                              The Shuttle charge factor
      If the Shuttle load factor is--                shall be--
------------------------------------------------------------------------
Less than 0.00375.........................  0.005.
0.00375 to 0.75...........................  Shuttle load factor divided
                                             by 0.75.
Greater than 0.75.........................  1.0.
------------------------------------------------------------------------

    (5) Total reimbursement. (i) The customer's total reimbursement is 
as defined in Sec. 1214.804(h)(3).
    (ii) If a customer contracts for portions of more than one element, 
the charges for the use of the elements shall apply individually to each 
element used.
    (6) Experiment volume in the pressurized module is defined to be the 
sum of the customer's payload volume in racks and in the center aisle.
    (i) Rack volume is defined relative to basic Air Transportation Rack 
(ATR) configurations. The customer's rack volume shall be defined as the 
volume of one or more rectangular parallelepipeds (rectangular-sided 
box) which totally enclosed the customer's payload. Width dimensions 
shall be either 45.1 or 94.0 centimeters. Height dimensions shall be 
integral multiples of 4.45 centimeters. Depth dimensions shall be 61.2 
or 40.2 centimeters.
    (ii) Center aisle space volume is defined as the volume of a 
rectangular parallelepiped which totally encloses the customer's 
payload. No edge of the parallelepiped shall be less than 30 centimeters 
in length.
    (7) Storage volume in the pressurized module is defined as the 
volume of one or more rectangular parallelepipeds enclosing the 
customer's stowed payload. No edge of the parallepiped(s) shall be less 
than 30 centimeters in length.
    (8) Volume of the customer's pallet-mounted payload is defined as 
the volume of a rectangular parallelepiped enclosing the pallet payload 
and customer-dictated mounting hardware. No edge of the parallelepiped 
shall be less than 30 centimeters in length.



          Subpart 1214.9--Small Self-Contained Payloads (SSCPs)

    Authority: 42 U.S.C. 2473 and 2475.

    Source: 66 FR 37411, July 18, 2001, unless otherwise noted.

[[Page 138]]



Sec. 1214.900  What does this subpart cover?

    This subpart sets forth the rules on Space Shuttle services that are 
provided by NASA to participants in the Small Self-Contained Payloads 
(SSCP's) Program. This subpart also includes NASA's policy for the use 
of SSCP's by domestic educational institutions. NASA's policy on SSCP's 
is to stimulate and encourage the use of space by a wide range of 
participants, particularly those associated with education.



Sec. 1214.901  What is the relationship of this subpart with subparts 1214.1 and 1214.2?

    This subpart governs the provision of Space Shuttle services for 
SSCP's; subparts 1214.1 and 1214.2 are not applicable.



Sec. 1214.902  Definitions.

    (a) What is a SSCP? SSCP's, otherwise known as Get Away Specials 
(GAS), are small (200 pounds or less and 5 cubic feet or less) 
scientific research and development payloads flown on a space-available 
basis in a NASA-supplied standard cylindrical container under the 
provisions of this subpart.
    (b) Who is a SSCP participant? A SSCP participant is any individual 
or entity that meets the following criteria:
    (1) Submits a letter requesting a SSCP flight opportunity (for an 
authorized representative of NASA, this is considered a ``Letter of 
Intent'') and includes a brief description of the proposed payload to 
the Shuttle Small Payload Projects Office (SSPPO), Goddard Space Flight 
Center, Wallops Flight Facility, National Aeronautics and Space 
Administration, Wallops Island, VA 23337.
    (2) Any individual, entity or U.S. Government agency (other than 
NASA), shall also submit an earnest money deposit of $500 to pursue a 
SSCP flight opportunity.
    (3) The party submitting the $500 earnest money deposit need not be 
the entity providing the payload. The party entering into the Launch 
Services Agreement (LSA) is responsible for payment of standard and 
optional service fees agreed upon in the signed LSA.
    (4) The party signing the LSA may enter into a joint venture or 
other arrangement (sponsorship) with one or more parties to fly the 
payload in one NASA container. All participants involved in the project 
shall be identified in the signed LSA.
    (c) What are payload classes? NASA determines the class for each 
payload based on the type of institution or organization providing or 
supplying the payload, as defined in the LSA. Classes of payloads are 
defined as follows:
    (1) Class I payloads are payloads flown for scientific educational 
purposes by a recognized domestic educational institution. For a payload 
to qualify for flight as a Class I, ``domestic educational institution 
payload'':
    (i) The applying institution must be a U.S. public or private 
nonprofit (Section 501(c)(3) of the Internal Revenue Code (26 U.S.C.)) 
educational institution, which may include universities, colleges, 
community colleges, elementary or secondary schools, or university-
affiliated education research foundations. Entities other than Section 
501(c)(3) domestic education institutions may sponsor a Class I, 
domestic education payload, providing the educational institution meets 
the criteria established for domestic educational institutions in this 
policy.
    (ii) The payload must be certified, by an authorized official of the 
institution, to be part of an educational or research project that is 
principally for the benefit of students, rather than non-students, such 
as faculty, research staff or the sponsor. The certification shall 
include a brief explanation of the educational aspects of the payload 
project and how it principally benefits students.
    (iii) Payload experiments should involve students in all phases of 
the project, including concept development, initial planning, design, 
conduct, and analysis of the results of the experiments.
    (2) Class II payloads are payloads flown for the U.S. Government.
    (3) Class III payloads are payloads flown for other U.S. commercial 
and private entities.
    (4) Class IV payloads are payloads flown for international entities, 
whether they be educational institutions,

[[Page 139]]

government or industry. Class IV payloads are subject to the same 
existing U.S. laws and regulations as are domestic payloads. Class IV 
payloads are subject to review and approval by the NASA Office of 
External Relations. Only payloads whose use is exclusively for peaceful 
purposes are eligible for flight through the GAS Program.
    (d) What is an earnest money deposit? An earnest money deposit is a 
non-refundable $500 down payment required for participation in the SSCP 
Program.
    (e) Why is the earnest money receipt (EMR) date important? The 
earnest money receipt (EMR) date is the date NASA receives the earnest 
money deposit from a non-NASA participant or a ``Letter of Intent'' from 
a NASA participant. Upon receipt of the earnest money or ``Letter of 
Intent'', a payload identification number is assigned. The EMR date 
determines the payload's position in the flight assignment queue. To 
retain the EMR date, the terms defined in the Launch Services Agreement 
(LSA) must be met.
    (f) What is a LSA? A Launch Services Agreement (LSA) is a binding 
contract that describes the governing terms and conditions for flight of 
an SSCP payload, including the price for standard and optional services. 
For more information on contents of the LSA, refer to Sec. 1214.903.
    (g) What is a PAR? A Payload Accommodations Requirements (PAR) 
document is the technical agreement, between NASA's SSCP Program and the 
parties designated in the LSA, which defines the unique information 
required for the preparation, flight and disposition of a GAS payload.
    (h) What is a PIP? A Payload Integration Plan (PIP) defines the 
technical agreement between NASA's SSCP Program and the Space Shuttle 
Program Office at Johnson Space Center (JSC) and defines any Shuttle 
related optional service requirements.
    (i) What is the ``queue''? (1) The Flight Assignment Queue is the 
queue of payloads eligible to be manifested on a shuttle flight. To be 
eligible, the payload must meet the following criteria:
    (i) A LSA has been signed within the requirements outlined in Sec. 
1214.903.
    (ii) The requirements of the signed PAR and PIP have been met.
    (iii) NASA has assessed the technical readiness of the payload and a 
Phase II Safety Data Package equivalent has been submitted, in 
accordance with the NSTS 1700.7, Safety Policy and Requirements for 
Payloads Using the STS and the NSTS 13830, Payload Safety Review and 
Data Submittal Requirement.
    (2) Once a payload has met these criteria, it enters the queue with 
its position based on the EMR date.
    (j) What is the ``Two-in-Twenty'' rule? The SSCP Program utilizes a 
flight assignment process in which no entity may receive more than two 
out of any twenty consecutive payload opportunities, as long as there 
are other payloads available for assignment.
    (k) What is a cancellation? When the party signing the LSA fails to 
meet its obligations under the LSA, with no undue administrative delay 
on the part of NASA, the payload will be removed from participation in 
the SSCP Program with no refund of monies paid.
    (l) What are standard services? Standard services provided to all 
SSCP's are listed in Sec. 1214.910.
    (m) What are optional services? Optional services are additional 
services requested by the SSCP participant and provided, at NASA's 
option. NASA may also determine the need for a specific optional service 
for a payload. Optional services require an additional cost to the 
participant and are identified and agreed upon in the LSA (refer to 
Sec. 1214.911).
    (n) What is an undue administrative delay on the part of NASA? An 
undue administrative delay is a delay caused by NASA's failure to 
perform its functions under the LSA in a reasonable time, as determined 
by NASA. Delays caused by the parties' inability to agree to the LSA 
terms and conditions are specifically excluded from this definition.
    (o) What is a ``Letter of Intent''? A ``Letter of Intent'' is 
written by an authorized NASA representative requesting participation in 
the SSCP Program. For more information on the ``Letter of Intent'', 
refer to Sec. 1214.904(e).

[[Page 140]]



Sec. 1214.903  What are the requirements concerning Launch Services Agreements (LSA)?

    (a) Once the Earnest Money Deposit is received, the LSA shall 
designate:
    (1) All participants involved in the project;
    (2) The class of the payload;
    (3) The general nature and purpose of the payload;
    (4) The size and weight of the payload;
    (5) The price for standard services to be provided;
    (6) Any restrictions on the type of Shuttle flight appropriate for 
flying the payload;
    (7) The payment schedule and the terms of cancellation;
    (8) The optional services to be provided by NASA and the price of 
those services; and
    (9) The means of compliance with the provisions of Sec. 1214.908 
regarding significant impact on public health, safety or welfare.
    (b) A separate LSA shall be signed for each payload.
    (c) The LSA must be signed within 12 months from the date of the 
letter forwarding the LSA to the SSCP participants for signature. If the 
LSA is not signed within the required time, the $500 earnest money 
deposit will be forfeited and the payload will be cancelled.



Sec. 1214.904  What are the conditions of use for a SSCP?

    (a) The payload must be flown in a NASA-supplied standard container.
    (b) The payload shall be used only to conduct experiments of a 
scientific research and development nature or scientific education 
purposes.
    (c) All participants shall be required to furnish NASA with 
sufficient information to ensure Shuttle safety. NASA shall reserve the 
right to inspect and/or test all materials, components, and elements of 
the payload at any time, including sealed and commercially supplied 
payload elements.
    (d) The party signing the LSA shall be required to furnish NASA with 
sufficient information to verify peaceful purposes and NASA's and the 
U.S. Government's continued compliance with law and the Government's 
obligations.
    (e) NASA participants shall submit a ``Letter of Intent'', signed by 
an authorized NASA representative, to initiate the process of arranging 
for a SSCP flight. A NASA Center is required to seek sponsorship from a 
NASA Headquarters Program Office, identify that sponsoring code and 
obtain their concurrence in the ``Letter of Intent''.
    (f) The NASA Administrator reserves the right to determine the 
acceptability of any SSCP participant and any payload, on a case-by-case 
basis. The NASA Administrator may reject any payload, which, in his/her 
opinion, would be contrary to the educational mission of this program or 
NASA's mission.
    (g) To assure humane treatment, the Office of Biological and 
Physical Research at NASA Headquarters will review all experiments using 
live animals.



Sec. 1214.905  What is NASA's reimbursement policy?

    (a) Will I get my earnest money back if I cancel? No, the earnest 
money is non-refundable, but is applied to the standard flight price if 
the LSA is signed within the required time. If the LSA is not signed 
within the required time, the $500 earnest money will be forfeited and 
the payload will be cancelled.
    (b) How will I reimburse NASA for services?
    (1) NASA shall be reimbursed an amount, which is the sum of the 
price for standard services and the price for optional services.
    (2) All standard services shall be charged on a fixed-price basis. 
Prices are based on the payload classification, weight and volume.
    (3) NASA shall be reimbursed in accordance with the reimbursement 
schedule specified in the signed LSA.
    (c) When there is no undue administrative delay on the part of NASA, 
and the progress payments are not reimbursed to NASA within the 
allocated time provided in the LSA, all monies paid to date will be 
forfeited and the payload will be cancelled.

[[Page 141]]



Sec. 1214.906  When will my payload be scheduled to fly?

    (a) NASA shall not be obligated to perform any standard or optional 
services, including flight scheduling and placement of the payload on 
the STS, if the terms of the signed LSA have not been met.
    (b) How does the flight queue work? Tentative flight assignments of 
payloads shall be made on a rotation basis using the rotation sequence 
of Class I, II, I, III, I, IV, I, II, etc. (refer to Sec. 1214.902(d)). 
Rotation is maintained in a continuing sequence from mission to mission. 
Payloads must meet all other mission requirements to be assigned to the 
available space. If, at the time of a tentative flight assignment, there 
are no payloads in the current class of the continuing rotation that 
meet all the mission requirements, payloads of the next class in the 
rotation sequence shall be considered until a payload meeting the 
requirements is found available.
    (c) Are there reasons my payload would not be assigned to an 
available flight? Payloads shall be assigned on the basis of their 
positions in the flight assignment queue within each class with the 
following exceptions:
    (1) If the available flight does not meet the payload's requirements 
as defined in their signed PAR and LSA, the payload shall not be 
assigned to the flight but shall retain its position in the flight 
assignment queue until a suitable flight becomes available.
    (2) If the ``Two-in-Twenty'' rule applies to a payload, that payload 
shall not be assigned to the flight, but shall retain its position in 
the flight assignment queue (refer to Sec. 1214.902 (k)).
    (d) Once a payload has been given a tentative flight assignment, it 
shall not be removed from a flight as a result of another SSCP 
participants' subsequent signing of a LSA.
    (e) NASA may reschedule a payload tentatively assigned to a flight 
as a result of other Shuttle operational considerations. Should this be 
necessary, rescheduling shall be done on a last-on, first-off basis.
    (f) Payloads being re-flown pursuant to Sec. 1214.907 and payloads 
rescheduled by NASA after tentative flight assignment shall have flight 
assignment priority, in that order, on subsequent flights over all other 
payloads including those already assigned to other flights.
    (g) NASA shall determine the date for payload delivery to the launch 
site. Payment of launch fees, as defined in the signed LSA, is required 
before the payload delivery to launch site.



Sec. 1214.907  Will NASA re-fly my payload if something goes wrong (and it's not my fault)?

    (a) NASA will provide a one-time re-flight of a payload at no 
additional charge for SSCP standard services, if all the following 
occur:
    (1) Standard SSCP systems are not within nominal specifications, at 
the time of first turn-on of the payload in orbit, through no fault of 
the SSCP participant (including all its related entities).
    (2) The payload's mission objectives are not achieved solely as a 
direct result of the conditions or events described in paragraph (a)(1) 
of this section; and
    (3) The payload returns safely to Earth or a second (essentially 
identical) payload is provided for re-flight.
    (b) A re-flight shall be provided with a dollar credit towards 
future optional SSCP services, or the party signing the LSA shall be 
refunded, for any unused optional SSCP services purchased and paid for 
on the Shuttle flight which entitles the payload to a re-flight.
    (c) The two-in-twenty rule is not applicable to the re-flight of the 
payloads described in this section.



Sec. 1214.908  Who gets rights to patents resulting from the payload or to the scientific/research data generated?

    (a) NASA will not acquire rights to inventions, patents, or 
proprietary data privately funded by SSCP participants, or arising out 
of activities for which NASA has been reimbursed under the policies set 
forth in this subpart. However, in certain instances in which the NASA 
Administrator has determined that activities may have a significant 
impact on the public health, safety, or welfare, NASA may obtain 
assurances from the participants that the results will be made available 
to the public on terms and

[[Page 142]]

conditions reasonable under the circumstances.
    (b) NASA, unless otherwise agreed, will require all scientific or 
research data to be made publicly available without restriction of 
disclosure and use no later than one year after the Shuttle mission on 
which the payload was flown. Possible exceptions are:
    (1) Those results comprising an invention for which patent 
protection has been or will in a reasonable time be sought; or
    (2) Data disclosing an invention prior to applying for patent 
protection thereon.



Sec. 1214.909  What if my payload is damaged?

    The flight price does not include a contingency or premium for 
damage that may be caused to a payload through the fault of the U.S. 
Government, its contractors, or other Space Shuttle users. The U.S. 
Government assumes no risk for damage or loss to the payload. The 
participants in the SSCP Program assume this risk and are free to 
purchase insurance protection against damage or loss to their payload. 
In the event the party signing the LSA permits a third party to use its 
SSCP flight opportunity, this third party will be required to agree to 
the terms of the cross-waiver of liability in the launch services 
agreement.



Sec. 1214.910  What are the standard services NASA provides for my payload?

    The following are standard services provided for SSCP's:
    (a) Flight in a NASA flight-qualified standard container.
    (b) Use of a NASA shipping container.
    (c) One ``on'' and one ``off'' signal provided on each of three 
NASA-provided inputs to the container.
    (d) Choice of one standard NASA container atmosphere (vacuum, 
breathing air, inert gas, inert gas vented in space).
    (e) Limited consultation on space systems provided by NASA at 
designated NASA centers.
    (f) Standard NASA payload safety reviews at a designated NASA 
center. (Safety shall not be compromised. Unusually complex safety 
reviews or testing/analysis requires additional funding as an optional 
service.)
    (g) Pre-integration storage of the payload at Kennedy Space Center 
(KSC).
    (h) Limited access to the payload prior to integration.
    (i) Installation of the payload in the container and removal of the 
payload from the container after flight.
    (j) Installation of the container in the Shuttle and removal of the 
container from the Shuttle after flight.
    (k) KSC launch.
    (l) On-orbit payload operational time consistent with the primary 
Space Shuttle mission.
    (m) Brief post-flight documentation of the Space Shuttle mission 
profile and payload operational times.
    (n) Return of payload to the participant at the launch site.



Sec. 1214.911  Can I buy optional services for my payload from NASA?

    (a) Optional services are available, and the price, terms, and 
conditions for such services shall be negotiated on a case-by-case basis 
and agreed upon in the LSA.
    (b) Optional services could result in substantial additional charges 
and increased liability insurance requirements and/or affect NASA's 
ability to manifest the payload.
    (c) NASA may, at its sole discretion, approve or deny the provision 
of requested optional services.



Sec. 1214.912  Are there special provisions for SSCP participants who already have a signed LSA governed by regulations in effect before April 23, 1999?

    (a) Where there are participants with a signed LSA governed by the 
provisions of 14 CFR 1214.9 and 1214.10 in effect before April 23, 1999 
(and contained in the 14 CFR, Part 1200 to end, edition revised as of 
January 1, 1999), and there will be new participants with a signed LSA 
governed by the provisions of this subpart 14 CFR 1214.9, the following 
provisions apply to the manifesting of payloads:
    (1) Participants with a signed LSA may elect to sign a new LSA, and 
retain their Earnest Money Receipt date as defined in their original 
signed LSA.

[[Page 143]]

Once the new LSA is signed, the provisions of this subpart apply to 
those participants.
    (2) Participants with a signed LSA who choose not to sign a new LSA 
will retain their Earnest Money Receipt date and their payload 
classification as defined in their original signed LSA, 14 CFR 1214.9 
and 1214.10 in effect before April 23, 1999 and shall apply to their 
payload's participation in the SSCP program.
    (3) Participants who do not have a signed LSA or have not met the 
terms of their signed LSA will be required to either sign a new LSA or 
their payload will be cancelled and all monies paid will be forfeited.
    (b) The primary differences between the provisions in effect before 
April 23, 1999 and the provisions in this subpart are the payload 
classification and rotation sequence for manifesting payloads, as set 
forth in the following table:

------------------------------------------------------------------------
                     If you remain
   The previous      under the old     If and when you        The new
     rotation       signed LSA, your   sign a new LSA,       rotation
    sequence:        payload class       your payload       sequence:
                        will be:        class will be:
------------------------------------------------------------------------
Class II, Class    Class I--Domestic  Class I--Domestic  Class I, Class
 I, Class II,       Education          Education          II, Class I,
 Class III, Class  Class II--Other    Class II--U.S.      Class III,
 II, Class I,       U.S. and           Government         Class I, Class
 etc.               International     Class III--Other    IV, Class I,
                   Class III-U.S.      U.S.               etc.
                    Government        Class IV--
                                       International
------------------------------------------------------------------------

    (c) Payloads will be offered tentative flight opportunities for each 
mission in the following sequence until the flight manifest is 
fulfilled:
    (1) As defined in the provisions of 14 CFR 1214.9 and 1214.10 in 
effect before April 23, 1999, payloads with signed LSA's will be 
tentatively manifested utilizing the class rotation of II, I, II, III 
until this queue is exhausted;
    (2) If the previous queue is exhausted and additional payloads are 
needed to fulfill the flight manifest, the new class rotation of I, II, 
I, III, I, IV, as defined in this subpart 1214.9, will then be used to 
tentatively manifest payloads with signed LSA's until the manifest is 
fulfilled.
    (3) NASA participants are not required to sign a LSA and are 
considered a government class payload in both rotation sequences as 
defined in paragraphs (c)(1) and (2) of this section.

Subpart 1214.10 [Reserved]



Sec. Sec. 1214.1000-1214.1004  [Reserved]



  Subpart 1214.11--NASA Astronaut Candidate Recruitment and Selection 
                                 Program

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



Sec. 1214.1100  Scope.

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



Sec. 1214.1101  Announcement.

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

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

[[Page 144]]



Sec. 1214.1102  Evaluation of applications.

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

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



Sec. 1214.1103  Application cutoff date.

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

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



Sec. 1214.1104  Evaluation and ranking of highly qualified candidates.

    (a) A selection board consisting of discipline experts, and such 
other persons as appropriate, will further evaluate and rank the 
``Highly Qualified'' applicants.
    (b) Efforts will be made to assure that minorities and females are 
included on this board.
    (c) The ``Highly Qualified'' applicants who are determined to be the 
``Best Qualified'' will be invited to the Johnson Space Center for an 
interview, orientation, and detailed medical evaluation.
    (d) Background investigations will normally be initiated on those 
applicants rated ``Best Qualified.''

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



Sec. 1214.1105  Final ranking.

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



Sec. 1214.1106  Selection of astronaut candidates.

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



Sec. 1214.1107  Notification.

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

[[Page 145]]

Subparts 1214.12-1214.16 [Reserved]



               Subpart 1214.17--Space Flight Participants

    Authority: 42 U.S.C. 2473 and the National Aeronautics and Space Act 
of 1958, as amended.

    Source: 49 FR 17737, Apr. 25, 1984, unless otherwise noted.



Sec. 1214.1700  Scope.

    This subpart establishes NASA policy and selection procedures for 
accommodation of space flight participants aboard flights of the Space 
Shuttle.

[56 FR 47148, Sept. 18, 1991]



Sec. 1214.1701  Applicability.

    This subpart applies to NASA Headquarters and field installations.



Sec. 1214.1702  Relation to other part 1214 material.

    Except as specifically noted, all regulatory provisions of Space 
Shuttle policies also apply to space flight participants. In the event 
of any inconsistencies in the policies, the regulatory policies 
established for crew members will govern with respect to space flight 
participants.



Sec. 1214.1703  Definitions.

    (a) Space flight participants. All persons whose presence aboard a 
Space Shuttle flight is authorized in accordance with this regulation.
    (b) Committee. The Space Flight Participant Evaluation Committee, 
established in NASA Headquarters for the purpose of directing and 
administering the program for space flight participants. The Committee 
consists of the following NASA Headquarters officials: Associate Deputy 
Administrator (Chair), General Counsel, Associate Administrator for 
External Relations, Associate Administrator for Management, Associate 
Administrator for Space Flight, Associate Administrator for Public 
Affairs and Assistant Administrator for Equal Opportunity Programs.

[56 FR 47148, Sept. 18, 1991]



Sec. 1214.1704  Policy.

    (a) NASA policy is to provide Space Shuttle flight opportunities to 
persons (individuals outside the professional categories of NASA 
astronauts and payload specialists) whose presence onboard the Space 
Shuttle is not required for operation of payloads or for other essential 
mission activities, but is determined by the Administrator of NASA to 
contribute to other approved NASA objectives or to be in the national 
interest. However, flight opportunities for space flight participants 
will not be available in the near term. NASA will assess Shuttle 
operations and mission and payload requirements on an annual basis to 
determine when it can begin to allocate and assign space flight 
opportunities for future space flight participants, consistent with 
safety and mission considerations. When NASA determines that a flight 
opportunity is available for a space flight participant, first priority 
will be given to a ``teacher in space,'' in fulfillment of space 
education plans.
    (b) To be considered for selection as space flight participants, 
applicants must:
    (1) Be free of medical conditions which would either impair the 
applicant's ability to participate in, or be aggravated by, space 
flight, as determined by NASA physicians.
    (2) Be willing to undergo appropriate background investigation.
    (3) Be willing to undergo necessary training.
    (4) Meet additional requirements that may be stated in Announcements 
of Opportunity (AO) soliciting applications for particular spaceflights.
    (c) Persons accepted as space flight participant candidates will 
enter into an agreement with NASA for the period of training, flight, 
debriefing, and post-flight activities. The agreements will cover such 
pertinent matters as, but not limited to, responsibilities and 
authorities of the respective parties, compensation where appropriate, 
insurance, and liability.
    (d) Typically the selection of space flight participants will be 
based on their comparative abilities to fulfill the objectives and 
purposes stated in Announcement of Opportunities (AO's) covering one or 
more Space Shuttle

[[Page 146]]

missions in which their participation is desired. A NASA-designated 
outside review panel will evaluate the qualifications of applicants to 
select those who most appropriately meet those purposes of participant 
flight associated with the particular AO. NASA will retain the authority 
to make final selection of space flight participants for flight training 
and eventual flight from among those applicants rated most highly in the 
review process. NASA will encourage the participation of a wide and 
diverse array of participants, including women and minorities.

[49 FR 17737, Apr. 25, 1984, as amended at 56 FR 47148, Sept. 18, 1991]



Sec. 1214.1705  Selection of space flight participants.

    (a) The agency will publicly announce each space flight participant 
opportunity through appropriate means, including notice in the Federal 
Register and press releases. Each such Announcement of Opportunity will 
include a listing of basic qualification requirements to be met 
(including those of Sec. 1214.1704(b)), a statement of the specific 
National Aeronautics and Space Act purposes to which this opportunity is 
directed, what information is required of applicants to demonstrate 
their ability to fulfill those purposes, the criteria on which 
applicants will be judged, and administrative information such as to 
whom applications should be directed, the opening and closing dates for 
applications, and any other information or matters determined to be 
pertinent to the program in general and/or the specific flight.
    (b) All applications received in response to the AO will be screened 
to eliminate those applicants not meeting the basic qualification 
requirements.
    (c) Remaining applications will be forwarded to the outside review 
panel established for the announcement in question and composed of 
members appropriate to the specific purposes stated in that 
announcement. The review panel will evaluate all the applications and 
recommend to NASA a list of those applicants who appear most likely to 
meet the purposes.
    (d) NASA selection of applicants qualified to undergo necessary 
training and be certified for flight will be made by the Committee, 
based upon criteria that include:
    (1) Recommendation of the outside review panel.
    (2) Ability to undergo successfully the necessary period of training 
to ensure adaptation to flight experience and mission activities.
    (3) Ability to pass medical and psychological examinations to 
minimize the possibility of hazard to persons or missions.
    (4) Adaptability to living and working in space.
    (5) Willingness to enter into an agreement with NASA covering pre-
flight, flight, and post-flight activities, with individual rights and 
responsibilities set forth in that agreeement.
    (6) Satisfactory completion of a background investigation conducted 
to NASA's standards as adjudicated by the NASA Security Officer.
    (e) The Committee will submit a list of those candidates suitable 
for selection to the NASA Administrator, who will select the requisite 
number to undergo the necessary training to prepare them for space 
flight.
    (f) Those candidates who successfully complete the training will 
become qualified as space flight participants. Flight assignments will 
be made by the Administrator from this qualified group. NASA reserves 
the right to solicit additional space flight participant applications, 
if necessary.
    (g) Authority to officially designate candidates for training, 
certify candidates as qualified space flight participants, and assign 
space flight participants to specific Space Shuttle flights is reserved 
to the Administrator.



Sec. 1214.1706  Program management.

    The Associate Administrator for Space Flight is responsible for 
program management under the direction of the Committee chairperson.



Sec. 1214.1707  Media and public inquiries.

    (a) The Associate Administrator for External Relations will respond 
to all inquiries directed to the agency concerning space flight 
participants and the process by which they are selected.

[[Page 147]]

    (b) The names of all applicants will be withheld from public release 
until the space flight participants are selected by the Administrator.



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




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

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

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

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

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



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



Sec. 1215.100  General.

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

[56 FR 28048, June 19, 1991]



Sec. 1215.101  Scope.

    This subpart sets forth the policy governing TDRSS services provided 
to non-U.S. government users and the reimbursement for rendering such 
services. It excludes TDRSS services provided as standard or optional 
services to Space Transportation System (STS) users under existing 
policy for Shuttle and Spacelab (14 CFR subparts 1214.1, 1214.2, and 
1214.8); i.e., user command and telemetry support, which utilizes and is 
a part of the Shuttle or Spacelab communications system, is a Shuttle/
Spacelab service. Cooperative missions are also not under the purview of 
this subpart. The arrangements for TDRSS services for cooperative 
missions will be covered in a Memorandum of Understanding (MOU), as a 
consequence of negotiations between NASA and the other concerned party. 
Any MOU which includes provision for any TDRSS service will require 
signatory concurrence by the Associate Administrator for Space 
Operations prior to dedicating Office of Space Operations resources for 
support of a cooperative mission.

[56 FR 28048, June 19, 1991]



Sec. 1215.102  Definitions.

    (a) User. Any non-U.S. Government representative or entity who 
contracts with NASA to use TDRSS services.
    (b) TDRSS. The Tracking and Data Relay Satellite System including 
Tracking and Data Relay Satellites (TDRS), the White Sands Ground 
Terminal (WSGT), and the necessary

[[Page 148]]

TDRSS operational areas, interface devices and NASA communication 
circuits to unify the above into a functioning system. It specifically 
excludes the user ground system/TDRSS interface.
    (c) Bit stream. The digital electronic signals acquired by TDRSS 
from the user craft or the user generated input commands for 
transmission to the user craft.
    (d) Flexible support. Support requests which permit NASA, at its 
option, to schedule service at any time during the period of a single 
orbit of the user mission. Missions requiring multiple support periods 
during a single orbit may be classified as constrained support.
    (e) Constrained support. Support requests which specify the exact 
times NASA is to provide service, or conditions of support which can be 
translated into exact times for service, such as sub-satellite 
positions, apogee/perigee position, etc., for which support is needed.
    (f) Scheduling service period. One scheduled contact utilizing a 
single TDRS whereby the user by requesting service is allotted a block 
of time for operations between the user satellite and TDRSS.



Sec. 1215.103  Services.

    (a) Standard services. These are services which the TDRSS is capable 
of providing to low-earth orbital user spacecraft or other terrestrial 
users.
    (1) Tracking services.
    (2) Data acquisition service.
    (3) Command transmission service.
    (4) Emergency line outage recording in the event of a communications 
failure between White Sands, Goddard Space Flight Center (GSFC), and 
Johnson Space Center (JSC).
    (5) A weekly user spacecraft orbit determination in NASA standard 
orbital elements as determined by NASA for TDRSS target acquisition 
purposes.
    (6) Delivery of user data at the NASA Ground Terminal (NGT) located 
at White Sands.
    (7) Pre-launch support for data flow test and related activities 
which require use of a TDRS.
    (8) Pre-launch support planning and documentation.
    (9) Scheduling user services via TDRSS.
    (10) Access to tracking data to enable users to perform orbit 
determination at their option.
    (b) Mission unique services. Other tracking and data services 
desired by the user beyond the standard service and the charges 
therefor, will be identified and assessed on a case-by-case basis.



Sec. 1215.104  Apportionment and assignment of services.

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

[56 FR 28048, June 19, 1991]



Sec. 1215.105  Delivery of user data.

    (a) As a standard service, NASA will provide to the user its data 
from the TDRSS as determined by NASA in the form of one or more digital 
or analog bit streams synchronized to associated clock streams at the 
NGT.
    (b) User data handling requirements beyond the NGT interface will be 
provided as a standard service to the user, to the extent that the 
requirements do not exceed NASA's planned standard communications 
system. Any additional data transport or handling requirements exceeding 
NASA's capability will be dealt with as a mission-unique service.
    (c) No storage of the user data is provided in the standard service. 
NASA will provide short-term temporary recording of data at White Sands, 
only in event of a NASA Communications Network (NASCOM) link outage.
    (d) NASA will provide TDRSS services on a ``reasonable efforts'' 
basis and, accordingly, will not be liable for damages of any kind to 
the user or third parties for any reason, including but not limited to 
failure to provide contracted-for services. The price for TDRSS services 
does not include a contingency or premium for any potential damages. The 
user will assume any

[[Page 149]]

risk of damages or obtain insurance to protect against any risk.

[48 FR 9845, Mar. 9, 1983, as amended at 56 FR 28049, June 19, 1991]



Sec. 1215.106  User command and tracking data.

    (a) User command data may enter the TDRSS via the NASCOM interface 
at one of three locations:
    (1) For Shuttle payloads which utilize the Shuttle commanding 
system, command data must enter the system via the Johnson Space Center 
(JSC) and is governed by the policies established for STS services (see 
Sec. 1215.101).
    (2) For free flyers and other payloads, command data must enter the 
system at the Goddard Space Flight Center (GSFC) if it is to be a 
standard service.
    (3) The use of other command data entry points [e.g., the NASA 
Ground Terminal (NGT) at White Sands, NM, or Johnson Space Center (JSC), 
for payloads using an independent direct link from TDRS to the user 
payload] is considered to be a mission unique service.
    (b) NASA is required to maintain the user satellite orbital elements 
to sufficient accuracy to permit the TDRS system to establish and 
maintain acquisition. This can be accomplished in two ways:
    (1) The user can provide the orbital elements in a NASA format to 
GSFC to meet TDRSS operational requirements.
    (2) The user shall insure that a sufficient quantity of tracking 
data is received at GSFC to permit the determination of the user 
satellite orbital elements. The charges for this service will be 
determined by using the on-orbit service rates.



Sec. 1215.107  User data security and frequency authorizations.

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

[56 FR 28049, June 19, 1991]



Sec. 1215.108  Defining user service requirements.

    Potential users should become familiar with TDRSS capabilities and 
constraints, which are detailed in the TDRSS User's Guide (GSFC 
document, STDN No. 101.2), as early as possible. This action allows the 
user to evaluate the trade-offs available among various TDRSS services, 
spacecraft design, operations planning, and other significant mission 
parameters. When these user evaluations have been completed, and the 
user desires to use TDRSS, the user should initiate a request for TDRSS 
service.
    (a) Initial requests for TDRSS service from non-U.S. Government 
users should be addressed to NASA Headquarters, Code OX, Space Network 
Division, Washington, DC 20546. Upon review and preliminary acceptance 
of the service requirements by NASA Headquarters, the appropriate areas 
of GSFC will be assigned to the project to produce the detailed 
requirements, plans and documentation necessary for support of the 
mission. Changes to user requirements shall be made as far in advance as 
possible and shall be submitted in writing to both NASA Headquarters, 
Code OX, Space Network Division, and GSFC, Code 501, Greenbelt, MD 
20771.
    (b) Acceptance of user requests for TDRSS service is the sole 
prerogative of NASA. Although TDRSS represents a significant increase to 
current support capabilities, service capacity is finite, and service 
will be provided in accordance with operational priorities established 
by NASA. Request for services within priority groups shall be negotiated 
with non-NASA users on a first come, first service basis for inclusion 
into the TDRSS mission model.

[48 FR 9845, Mar. 9, 1983, as amended at 56 FR 28049, June 19, 1991]

[[Page 150]]



Sec. 1215.109  Scheduling user service.

    (a) User service shall be scheduled only by NASA. Scheduling refers 
to that activity occurring after the user has been accepted and placed 
in the TDRSS mission model as specified in Sec. 1215.108(b). See 
appendix C for a description of a typical user activity timeline.
    (b) Schedule conflict will be resolved in general by application of 
principles of priority to user service requirements. Services shall be 
provided either as normally scheduled service or as emergency/disruptive 
update service. Priorities will be different for emergency/disruptive 
updates than for normal services.
    (1) Normally scheduled service is service which is planned and 
ordered under normal operational conditions and is subject to schedule 
conflict resolution under normal service priorities. Priorities are 
established by the NASA Administrator or his/her designee. Requests for 
normally scheduled service must be received by the schedulers at the 
GSFC Network Control Center (NCC) no later than 45 minutes prior to 
requested support time.
    (2) Normal scheduling principles of priority are generally ordered 
as follows beginning with the highest priority:
    (i) Launch, reentry, landing of the STS Shuttle, or other NASA 
launches.
    (ii) NASA payloads/spacecraft.
    (iii) Other payloads/spacecraft of interest to the United States.
    (iv) Other payloads/spacecraft launched by a NASA launch vehicle.
    (v) Other payloads/spacecraft.
    (vi) Support of other launches.
    (3) Exceptions to these priorities may be determined on a case-by-
case basis with the NASA Administrator or his/her designee as the 
priorities stated in paragraph (b)(2) of this section are indicative of 
general rather than specific cases.
    (4) Emergency service conditions are those requiring rapid response 
to changing user service requirements. Emergency service may be 
instituted under the following conditions:
    (i) Circumstances which pose a threat to the security of the United 
States.
    (ii) Circumstances which threaten human life.
    (iii) Circumstances which threaten user mission loss.
    (iv) Other circumstances of such a nature which make it necessary to 
preempt normally scheduled services.
    (5) At times, emergency service requirements will override normal 
schedule priority. Under emergency service conditions, disruptions to 
schedule service will occur. As a consequence, users requiring emergency 
service shall be charged for emergency service at rate factors set forth 
in appendix B.
    (6) Disruptive updates are scheduled updates which, by virtue of 
priorities, cause previously scheduled user services to be rescheduled 
or deleted or are requested by the user less than 45 minutes prior to 
the scheduled support period.
    (i) Disruptive updates will be charged at the same rates as 
emergency service. User initiated schedule requests which are received 
less than 45 minutes prior to the requested schedule support time will 
be considered a disruptive update.
    (ii) User initiated schedule requests which are received more than 
45 minutes and less than 12 hours prior to the scheduled support period 
will be acted upon as a routine input provided other users are 
unaffected. If other users are affected, the scheduling input will be 
considered a disruptive update and the appropriate charge factor will be 
applied.
    (iii) The Network Control Center (NCC) at GSFC reserves the sole 
right to schedule, reschedule or cancel TDRSS service. Schedule changes 
brought about through no fault of the user are not charged the factor 
for a disruptive update.
    (7) While the priority listing remains the general guide for 
establishing support availability, the NASA schedulers will exercise 
judgment and endeavor to see that lower priority users are not excluded 
from a substantial portion of their contracted-for service due to the 
requirements of higher priority users.
    (8) When a user contracts for TDRSS service for an ``operational 
satellite'' which interfaces with a significant number of national and 
world-wide users on a regularly scheduled basis as

[[Page 151]]

opposed to a ``research and development satellite,'' NASA will place 
special emphasis on the operational requirement when planning schedules. 
This should reduce the probability of losing perishable operational data 
such as meteorological, climate, or earth resources information.
    (c) General user service requirements, which will be used for 
preliminary planning and mission modeling, should include as a minimum, 
the following;
    (1) Date of service initiation.
    (2) Expected date of service termination.
    (3) The type of TDRSS services desired [e.g., multiple access, 
tracking, etc.].
    (4) The frequency and duration of each service, including orbital 
position or time constraints on service delivery from a given spacecraft 
where appropriate.
    (5) Orbital or trajectory parameters and tracking data requirements.
    (6) Spacecraft events affecting tracking, telemetry or command 
requirements.
    (7) Signal parameters and data rates by type of service, type and 
location of antennas and other related information dealing with user 
tracking, command, and data systems.
    (8) Special test requirements, compatibility testing, data flows, 
simulations, etc.
    (9) Identification of type and quantity of user information 
necessary for control functions, location of user control facility, and 
identification of communications requirements.
    (10) Identification of ground communications requirements and 
interface points, including the level of support to be requested from 
NASCOM.
    (d) To provide for effective planning, general service requirements 
should be provided at least 3 years before initiation of service. With 
these data NASA will determine whether the requested services can be 
provided.
    (e) Detailed requirements for user services must be provided 18 
months before the initiation of service. These data will be the basis 
for the technical definition of the Interface Control Document (ICD). If 
requirements are received late, necessitating extraordinary NASA 
activities [e.g., overtime, special printing of documents], such 
activities will be considered to be mission unique and their cost 
charged the user.

[48 FR 9845, Mar. 9, 1983, as amended at 56 FR 28049, June 19, 1991]



Sec. 1215.110  User cancellation of all services.

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



Sec. 1215.111  User postponement of service.

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

[56 FR 28049, June 19, 1991]



Sec. 1215.112  User/NASA contractual arrangement.

    (a) The NASA Administrator reserves the right to waive any portion 
of the reimbursement due to NASA under the provisions of the 
reimbursement policy.
    (b) When NASA has determined that a potential user has not made 
sufficient progress toward concluding a contractual arrangement for 
service, after being placed in a mission model, NASA shall have the 
unilateral right to remove that user from the mission model.
    (c) NASA shall have the right to determine unilaterally that the 
potential user has failed to make progress toward concluding a 
contractual arrangement.

[[Page 152]]



Sec. 1215.113  User charges.

    (a) The user shall reimburse NASA the sum of the charges for 
standard and mission-unique services. Charges will be based on the 
service rates applicable for the calendar year.
    (b) For standard services the user shall be charged only for 
services rendered, except that if a total cancellation of service 
occurs, the users shall be charged in accordance with the provisions of 
Sec. 1215.110.
    (1) Standard services which are scheduled, and then cancelled by the 
user less than 12 hours prior to the start of that scheduled service 
period, will be charged as if the scheduled service actually occurred.
    (2) The time scheduled by the user project shall include the slew 
time, set up and/or configuration time, TDRSS contact time, and all 
other conditions for which TDRSS services were allocated to the user.
    (3) Charges will be accumulated by the minute, based on the 
computerized schedule/configuration messages which physically set up the 
TDRSS equipment at the start of a support period and free the equipment 
for other users at the end of a support period.
    (c) The user shall reimburse NASA for the costs of any mission 
unique services provided by NASA.
    (d) Any person or entity which pays to NASA the initial 
administrative charge (see Sec. 1215.115) does so with the 
understanding that it is not refundable whether or not an agreement is 
entered into with NASA for TDRSS services.

[48 FR 9845, Mar. 9, 1983, as amended at 56 FR 28049, June 19, 1991]



Sec. 1215.114  Service rates.

    (a) Non-U.S. Government user rates will reflect TDRSS total 
operational and maintenance costs prorated to a per-minute basis.
    (b) Rates for TDRSS services will be set by the Associate 
Administrator for Space Operations each October for the following year, 
January through December. Rate variations will reflect changes in 
operating costs, loading formulas and escalation.
    (c) Projected estimates will include escalation bases on the Bureau 
of Labor Statistics Index for compensation per hour--total private.
    (d) Appendix A is provided for preliminary planning purposes only. 
It delineates the rate per minute by service and type of user. These 
rates are subject to change.
    (e) The per minute charge for TDRSS service is computed by 
multiplying the charge per minute for the appropriate service by the 
number of minutes scheduled and the appropriate factor (for flexible, 
constrained or disruptive/emergency service).

[48 FR 9845, Mar. 9, 1983, as amended at 49 FR 10659, Mar. 22, 1984; 56 
FR 28049, June 19, 1991]



Sec. 1215.115  Payment and billing.

    (a) To each user there will be an initial non-refundable 
administrative charge of $25,000 which is applicable toward TDRSS 
operational services.
    (b) The procedure for billing and payment of standard TDRSS services 
is as follows:
    (1) The calendar year is divided into two service periods, January 
through June and July through December. The charge for TDRSS service 
will be determined in October for the succeeding calendar year.
    (2) The estimated cost of service, January through June period, will 
be due the previous July 1, and will be billed 60 days prior to the 
payment due date.
    (3) The estimated cost of service, July through December period, 
will be due the previous January 1, and will be billed 60 days prior to 
the payment due date.
    (4) Adjustments to the amounts prepaid will be made to the 
succeeding billings as the actual service time is tabulated. Amounts due 
to the user will be credited to the next service period or refunded to 
the user if no more service is to be provided.
    (5) The total estimated cost of all standard pre-launch services 
such as mission planning, documentation, link analysis, testing, 
computer, human resources, etc., with the exception of TDRSS operational 
services, will be paid to the Government prior to NASA rendering such 
services. This advance payment will be applied as a credit to the 
charges billed for post-launch

[[Page 153]]

TDRSS operational services as specified in paragraphs (b) (1) through 
(4) of this section.
    (c) Payment schedules for mission unique services will be mutually 
developed between NASA the user on a case-by-case basis, dependent upon 
level of engineering effort, long-lead items, special communication 
services or other considerations. Payment will generally be made prior 
to NASA incurring a cost for mission unique service.
    (d) Late payments by the user will require the user to pay a late 
payment charge equal to 1\1/2\% per month of the unpaid balance 
calculated daily from the date the payment was due until the date 
payment is made.

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

    TDRSS user service rates for services rendered in CY-97 based on 
current projections in 1997 dollars are as follows:
    1. Single Access Service--Forward command, return telemetry, or 
tracking, or any combination of these, the base rate is $184.00 per 
minute for non-U.S. Government users.
    2. Multiple Access Forward Service--Base rate is $42.00 per minute 
for non-U.S. Government users.
    3. Multiple Access Return Service--Base rate is $13.00 per minute 
for non-U.S. Government users.
    Due to the advent of commercial launch service customers, an 
addendum will be required to reflect rates for service rendered under 
the Commercial Space Launch Act (CSLA). Due to statutory requirements, 
the rates are slightly different for CSLA customers.
    CSLA customer rates:
    1. Single Access Service--Base rate is $180 per minute for CSLA 
users.
    2. Multiple Access Forward Service--Base rate is $39 per minute for 
CSLA users.
    3. Multiple Access Return Service--Base rate is $13 per minute for 
CSLA users.

[61 FR 46713, Sept. 5, 1996]

       Appendix B to Part 1215--Factors Affecting Standard Charges

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

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


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

         Appendix C to Part 1215--Typical User Activity Timeline

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


[56 FR 28049, June 19, 1991]

[[Page 154]]



PART 1216--ENVIRONMENTAL QUALITY--Table of Contents




       Subpart 1216.1--Policy on Environmental Quality and Control

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

           Subpart 1216.2--Floodplain and Wetlands Management

1216.200 Scope.
1216.201 Applicability.
1216.202 Responsibility of NASA officials.
1216.203 Definition of key terms.
1216.204 General implementation requirements.
1216.205 Procedures for evaluating NASA actions impacting floodplains 
          and wetlands.

 Subpart 1216.3--Procedures for Implementing the National Enviromental 
                            Policy Act (NEPA)

1216.300 Scope.
1216.301 Applicability.
1216.302 Definition of key terms.
1216.303 Responsibilities of NASA officials.

                            Agency Procedures

1216.304 Major decision points.
1216.305 Criteria for actions requiring environmental assessments.
1216.306 Preparation of environmental assessments.
1216.307 Scoping.
1216.308 Preparation of draft statements.
1216.309 Public involvement.
1216.310 Preparation of final statements.
1216.311 Record of the decision.
1216.312 Timing.
1216.313 Implementing and monitoring the decision.
1216.314 Tiering.
1216.315 Processing legislative environmental impact statements.
1216.316 Cooperating with other agencies and individuals.
1216.317 Classified information.
1216.318 Deviations.

                           Other Requirements

1216.319 Environmental resources document.
1216.320 Environmental review and consultation requirements.
1216.321 Environmental effects abroad of major Federal actions.



       Subpart 1216.1--Policy on Environmental Quality and Control

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

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



Sec. 1216.100  Scope.

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



Sec. 1216.101  Applicability.

    This subpart is applicable to NASA Headquarters and field 
installations.



Sec. 1216.102  Policy.

    NASA policy is to:
    (a) Use all practicable means, consistent with NASA's statutory 
authority, available resources, and the national policy, to protect and 
enhance the quality of the environment;
    (b) Provide for proper attention to and ensure that environmental 
amenities and values are given appropriate consideration in all NASA 
actions, including those performed under contract, grant, lease, or 
permit;
    (c) Recognize the worldwide and long-range character of 
environmental concerns and, when consistent with the foreign policy of 
the United States and its own responsibilities, lend appropriate support 
to initiatives, resolutions, and programs designed to maximize 
international cooperation in anticipating and preventing a decline in 
the quality of the world environment;
    (d) Use systematic and timely approaches which will ensure the 
integrated use of the natural and social sciences and environmental 
design arts in planning and decisionmaking for actions which may have an 
impact on the human environment;

[[Page 155]]

    (e) Pursue research and development, within the scope of NASA's 
authority or in response to authorized agencies, for application of 
technologies useful in the protection and enhancement of environmental 
quality;
    (f) Initiate and utilize ecological and other environmental 
information in the planning and development of resource-oriented 
projects; and
    (g) Invite cooperation, where appropriate, from Federal, State, 
local, and regional authorities and the public in NASA planning and 
decisionmaking processes.



Sec. 1216.103  Responsibilities of NASA officials.

    (a) The Associate Administrator for Management or designee shall:
    (1) Coordinate the formulation and revision of NASA policies and 
positions on matters pertaining to environmental protection and 
enhancement;
    (2) Represent NASA in working with other governmental agencies and 
interagency organizations to formulate, revise, and achieve uniform 
understanding and application of governmentwide policies relating to the 
environment;
    (3) Develop and ensure the implementation of agencywide standards, 
procedures, and working relationships for protection and enhancement of 
environmental quality and compliance with applicable laws and 
regulations;
    (4) Develop, as an integral part of NASA's basic decision processes, 
procedures to ensure that environmental factors are properly considered 
in all proposals and decisions;
    (5) Establish and maintain working relationships with the Council on 
Environmental Quality, Environmental Protection Agency, and other 
national, state, and local governmental agencies concerned with 
environmental matters;
    (6) Acquire information for and ensure the preparation of 
appropriate NASA reports on environmental matters.
    (b) Officials-in-Charge of Headquarters Offices and NASA Field 
Installation Directors are responsible for:
    (1) Identifying matters under their cognizance which may affect 
protection and enhancement of environmental quality and for employing 
the proper procedures to ensure that necessary actions are taken to meet 
the requirements of applicable laws and regulations;
    (2) Coordinating environmental quality-related activities under 
their cognizance with the Associate Administrator for Management; and
    (3) Supporting and assisting the Associate Administrator for 
Management on request.
    (c) Officials-in-Charge of Headquarters Offices are additionally 
responsible for:
    (1) Giving high priority, in the pursuit of program objectives, to 
the identification, analysis, and proposal of research and development 
which, if conducted by NASA or other agencies, may contribute to the 
achievement of beneficial environmental objectives; and
    (2) In coordination with the Associate Administrator for Management, 
making available to other parties, both governmental and 
nongovernmental, advice and information useful in protecting and 
enhancing the quality of the environment.
    (d) NASA Field Installation Directors are additionally responsible 
for:
    (1) Implementing the NASA policies, standards and procedures for the 
protection and enhancement of environmental quality and supplementing 
them as appropriate in local circumstances;
    (2) Specifically assigning responsibilities for environmental 
activities under the installation's cognizance to appropriate 
subordinates, while providing for the coordination of all such 
activities; and
    (3) Establishing and maintaining working relationships with 
national, state, regional and governmental agencies responsible for 
environmental regulations in localities in which the field installations 
conduct their activities.

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



           Subpart 1216.2--Floodplain and Wetlands Management

    Authority: E.O. 11988 and E.O. 11990, as amended; 42 U.S.C. 
2473(c)(1).

[[Page 156]]


    Source: 44 FR 1089, Jan. 4, 1979, unless otherwise noted.



Sec. 1216.200  Scope.

    This subpart 1216.2 prescribes procedures to:
    (a) Avoid long- and short-term adverse impacts associated with the 
occupancy and modification of floodplains and wetlands;
    (b) Avoid direct or indirect support of floodplain and wetlands 
development wherever there is a practicable alternative;
    (c) Reduce the risk of flood loss;
    (d) Minimize the impact of floods on human health, safety and 
welfare;
    (e) Restore, preserve and protect the natural and beneficial values 
served by floodplains and wetlands;
    (f) Develop an integrated process to involve the public in the 
floodplain and wetlands management decision-making process;
    (g) Incorporate the Unified National Program for Flood Plain 
Management; and,
    (h) Establish internal management controls to monitor NASA actions 
to assure compliance with the Orders.



Sec. 1216.201  Applicability.

    These procedures are applicable to Federal lands and facilities 
under the management control of NASA Headquarters and field 
installations regardless of location.



Sec. 1216.202  Responsibility of NASA officials.

    (a) Directors of Field Installations and, as appropriate, the 
Associate Administrator for Management at NASA Headquarters, are 
responsible for implementing the requirements and procedures prescribed 
in Sec. Sec. 1216.204 and 1216.205.
    (b) The Assistant Associate Administrator for Facilities 
Engineering, NASA Headquarters, is responsible for overall coordination 
of floodplain and wetlands management activities, and for conducting 
periodic on-site reviews of each Installation's floodplain and wetlands 
management activities, and for conducting periodic on-site reviews of 
each Installation's floodplain and wetlands management activities to 
assure compliance with the Executive orders.

[53 FR 9760, Mar. 25, 1988, as amended at 56 FR 50506, Oct. 7, 1991]



Sec. 1216.203  Definition of key terms.

    (a) Action--any NASA activity including, but not limited to, 
acquisition, construction, modification, changes in land use, issuance 
of facilities use permits, and disposition of Federal lands and 
facilities.
    (b) Base flood--is that flood which has a one percent chance of 
occurrence in any given year (also known as a 100-year flood). This term 
is used in the National Flood Insurance Program (NFIP) to indicate the 
minimum level of flooding to be used by a community in its floodplain 
management regulations.
    (c) Base floodplain--the 100-year floodplain (one percent chance 
floodplain). Also see definition of floodplain.
    (d) Critical action--any activity for which even a slight chance of 
flooding would be too great, such as storing lunar samples or highly 
toxic or water reactive materials.
    (e) Facility--any item made or placed by a person including 
buildings, structures and utility items, marine structures, bridges and 
other land development items, such as levees and drainage canals.
    (f) Flood or flooding--a general and temporary condition of partial 
or complete inundation of normally dry land areas from the overflow of 
inland and/or tidal waters, and/or the unusual and rapid accumulation or 
runoff of surface waters from any source.
    (g) Flood fringe--that portion of the floodplain outside of the 
regulatory floodway (often referred to as ``floodway fringe'').
    (h) Floodplain--the lowland and relatively flat areas adjoining 
inland and coastal waters including flood-prone areas of offshore 
islands, including at a minimum, that area subject to a one percent or 
greater chance of flooding in any given year. The base floodplain shall 
be used to designate the 100-year floodplain (one percent chance 
floodplain). The critical action floodplain is defined as the 500-year 
floodplain (0.2

[[Page 157]]

percent chance floodplain). A large portion of NASA coastal floodplains 
also encompasses wetlands.
    (i) Floodproofing--the modification of individual structures and 
facilities, their sites, and their contents to protect against 
structural failure, to keep water out or to reduce the effects of water 
entry.
    (j) Minimize--to reduce to the smallest possible amount or degree.
    (k) One percent chance flood--the flood having one chance in 100 of 
being exceeded in any one-year period (a large flood). The likelihood of 
exceeding this magnitude increases in a time period longer than one 
year, e.g., there are two chances in three of a larger flood exceeding 
the one percent chance flood in a 100-year period.
    (l) Practicable--capable of being done within existing constraints. 
The test of what is practicable depends upon the situation and includes 
consideration of the pertinent factors, such as environment, cost or 
technology.
    (m) Preserve--to prevent modification to the natural floodplain 
environment or to maintain it as closely as possible to its natural 
state.
    (n) Regulatory floodway--the area regulated by Federal, State or 
local requirements; the channel of a river or other watercourse and the 
adjacent land areas that must be reserved in an open manner; i.e., 
unconfined or unobstructed either horizontally or vertically to provide 
for the discharge of the base flood so the cumulative increase in water 
surface elevation is no more than a designated amount (not to exceed one 
foot as set by the National Flood Insurance Program (NFIP)).
    (o) Restore--to re-establish a setting or environment in which the 
natural functions of the floodplain can again operate.
    (p) Wetlands--those areas that are frequently inundated by surface 
or ground water and normally support a prevalence of vegetative or 
aquatic life that requires saturated or seasonally saturated soil 
conditions for growth and reproduction. Wetlands generally include 
swamps, marshes, bogs, and similar areas such as sloughs, potholes, 
river overflows, mud flats, wet meadows, and natural ponds. Because all 
NASA wetlands lie in floodplains, and for purposes of simplifying the 
procedures of this subpart, floodplains will be understood as to 
encompass wetlands, except in cases where wetlands factors require 
special consideration. (Also, see definition of floodplain.)
    (q) Support--actions which encourage or otherwise provide incentives 
to undertake floodplain or wetlands development, such as extending roads 
or utilities into or near a floodplain, therefore making floodplain 
development more feasible.



Sec. 1216.204  General implementation requirements.

    (a) Each NASA Field Installation shall prepare, if not already 
available, an Installation base floodplain map based on the latest 
information and advice of the appropriate District Engineer, Corps of 
Engineers, or, as appropriate, the Director of the Federal Emergency 
Management Agency. The map shall delineate the limits of both the 100-
year and 500-year floodplains. A copy of the map, approved by the Field 
Installation Director, will be provided to the Assistant Associate 
Administrator for Facilities Engineering, NASA Headquarters, by February 
28, 1979. The map will conform to the definitions and requirements 
specified in the Floodplain Management Guidelines for Implementing 
Executive Order 11988.
    (b) For any proposed action or critical action, as defined in Sec. 
1216.203(a), using the approved floodplain map, the Field Installation 
Director, while concurrently seeking to avoid the floodplain, shall 
determine if the proposed action will or will not be located in, or may 
indirectly impact or indirectly support development in, the base 
(substitute ``500-year'' for ``base'' in critical action cases) 
floodplain and proceed accordingly:
    (1) If the action or critical action will be located in the base 
floodplain or may indirectly impact or indirectly support floodplain 
development, and is not excepted under Sec. 1216.204(h), field 
installations will adhere to the procedures prescribed in Sec. 
1216.205.
    (2) If such action or critical action will not be located in the 
base floodplain, or is the type of action that will

[[Page 158]]

clearly nor indirectly impact or indirectly support floodplain 
development, the action may be implemented without further review or 
coordination, provided all other applicable NASA requirements and 
policies have been met.
    (c) Any request for new authorizations or appropriations transmitted 
to the Office of Management and Budget shall indicate, on a case-by-case 
basis, if the action proposed will be located in a floodplain and 
whether the proposed action is in accordance with Executive Orders 11988 
and 11990.
    (d) Each field installation shall: Take floodplain management and 
wetlands protection into account when formulating its water and land use 
plans--and when evaluating like plans of others--as an integral part of 
its facilities master planning activities; Restrict the use of land and 
water resources appropriate to the degree of flood hazard involved; and, 
Incorporate recommended Federal and State actions for the continuing 
unified program for planning and action at all levels of government to 
reduce the risk of flood losses in accordance with the Unified National 
Program for Flood Plain Management (U.S. Water Resources Council, 1978).
    (1) Descriptive documentation supporting these planning matters 
shall be included in the ``land use'' section of each field 
installation's facilities master plan, as prescribed in NASA Management 
Instruction 7232.1, Master Planning of NASA Facilities. The evaluation 
and quantification of flood hazards should be expressed in terms of:
    (i) Potential for monetary loss;
    (ii) Human safety, health, and welfare;
    (iii) Shifting of costs, damage or other adverse impacts to off-site 
properties; and,
    (iv) Potential for affecting the natural and beneficial floodplain 
values.
    (2) NASA shall provide appropriate guidance to applicants for 
facilities use permits and grants to enable them to similarly evaluate, 
in accordance with the Orders, the effects of their proposals in 
floodplains and wetlands. This evaluation will be a precondition of any 
NASA approval of such permit or grant involving floodplains or wetlands.
    (e) Facilities to be located in floodplains will be constructed in 
accordance with the standards and criteria promulgated under the 
National Flood Insurance Program (NFIP). Deviations are allowed only to 
the extent that these standards are inappropriate for NASA operations, 
research and test activities. Because construction of NASA facilities 
will rarely be necessary in floodplains and wetlands, expertise in the 
latest flood proofing measures, standards and criteria will not be 
normally maintained within the NASA staff. To assure full compliance 
with the NFIP regulations, and that the Order's key requirement to 
minimize harm to or within the floodplain or wetlands is met, field 
installations will:
    (1) Consult with the appropriate local office of the Corps of 
Engineers or Federal Emergency Management Agency and/or U.S. Fish and 
Wildlife Service, as applicable, on a regular basis throughout the 
facility design or action planning phase. Documentation of this 
consultation will be recorded in the Field Installation's project file.
    (2) Submit evidence of the successful completion of this 
consultation to the Assistant Associate Administrator for Facilities 
Engineering, NASA Headquarters, prior to the start of project 
construction.
    (f) If NASA property used or visited by the general public is 
located in an identified flood hazard area, the Installation shall 
provide on structures, in this area and other places where appropriate 
(such as where roads enter the flood hazard area), conspicuous 
delineation of the 100-year and 500-year flood levels, flood of record, 
and probable flood height in order to enhance public awareness of flood 
hazards. In addition, Field Installations shall review their storm 
control and disaster plans to assure that adequate provision is made to 
warn and evacuate the general public as well as employees. These plans 
will include the integration of adequate warning time into such plans. 
The results of this review shall be submitted to the Assistant Associate 
Administrator for Facilities Engineering, NASA Headquarters, by February 
28, 1979.

[[Page 159]]

    (g) When property in floodplains is proposed for lease, permit, out-
grant, easement, right-of-way, or disposal to non-Federal public or 
private parties, the field installation shall:
    (1) Reference in the conveyance document (prepared by the General 
Services Administration in disposal actions) those uses that are 
restricted under identified Federal, State, and local floodplain 
regulations, such as State coastal management plans.
    (2) Except where prohibited by law, attach other appropriate 
restrictions, equal to the Order's in scope and strictness, to the uses 
of properties by the grantee or purchaser and any successors which 
assure that:
    (i) Harm to lives, property and floodplain values are identified; 
and
    (ii) Such harm is minimized and floodplain values are restored and 
preserved.
    (3) Withhold such properties from conveyance if the requirements of 
paragraphs (g)(1) and (2) of this section cannot be met.
    (h) The NASA Administrator has determined that certain types of 
actions taken in coastal floodplains and wetlands typically do not 
possess the potential to result in long- or short-term adverse impacts 
associated with the occupancy or modification of floodplains, or result 
in direct or indirect support of floodplain development. Nevertheless, 
in undertaking these actions, any opportunities to minimize, restore, 
and preserve floodplain and wetlands values must be considered and 
implemented. With this understanding, for the following types of 
actions, Directors of Field Installations in coastal locations may 
determine that undertaking such actions does not warrant full 
application of the procedures prescribed in Sec. 1216.205.
    (1) Hazard mitigation actions taken by a field installation on an 
emergency basis to reduce and control hazards associated with 
established NASA test or operations activities in accordance with the 
field installation's approved Safety Plan. Any such action must be 
approved in writing by the Field Installation's Safety Officer, and the 
approval document retained in the Safety Office files.
    (2) Repair, maintenance or modification to existing roadways, 
bridges and utility systems in coastal floodplains or wetlands which 
provide long-term support for major NASA operations and test facilities 
(usually located out of the base floodplain), provided such repair, 
maintenance or modification activities are of a routine or emergency 
nature for which the ``no action'' alternative is not practicable; and 
it is ostensibly evident that:
    (i) The proposed action would not impact the floodplain or wetlands.
    (ii) The only alternative would be to construct new duplicate 
facilities near the same site with attendant impacts on the floodplain 
or wetlands area.
    (3) Rehabilitation and modification of existing minor technical 
facilities (such as camera pads, weather towers, repeater buildings), 
including the repair of such damaged facilities to a condition closely 
matching the original construction, provided it can be readily 
determined by Directors of Field Installations that there is no 
practicable alternative but to continue the activity in its current 
coastal floodplain site. In such cases, the sitings of such facilities 
must be rigidly constrained by nationally recognized master planning 
criteria, such as ``line-of-sight, quantity-distance, and acoustic 
sound-pressure-level'' factors. In addition, certification of these 
determinations by Directors of Field Installations will be retained in 
the project file.

[44 FR 1089, Jan. 4, 1979, as amended at 56 FR 50506, Oct. 7, 1991]



Sec. 1216.205  Procedures for evaluating NASA actions impacting floodplains and wetlands.

    (a) Before taking any action a determination shall first be made 
whether the proposed action will occur in or may adversely affect a 
floodplain or wetlands, using the method prescribed in Sec. 
1216.204(b).
    (b) These procedures apply only to evaluations of those proposed 
actions which are to be located in or may adversely impact floodplains. 
These evaluations shall be made at the earliest practicable stage of 
advance planning, such as during facilities master plan

[[Page 160]]

development or when preparing preliminary engineering reports. These 
evaluations shall include analyses of harm to lives and property, the 
natural and beneficial values of floodplains and wetlands, and the 
cumulative impacts of multiple actions over the long term.
    (1) Early public notice is the next step in the evaluation process 
and will normally be accomplished using only the appropriate Single 
State Point of Contact and coordinating with that party pursuant to 
Executive Order (E.O.) 12372, as amended, ``Intergovernmental Review of 
Federal Programs,'' as appropriate. If, however, actions involving land 
acquisition or a major change in land or water use is proposed, the 
overall public audience will be as broad as reasonably possible 
including, but not limited to, adjacent property owners and residents, 
near-by floodplain residents and local elected officials. To assure 
their continuous interaction and involvement, the Field Installation 
will issue public notices and newsletters, and hold public hearing and/
or work shops on a formalized scheduled basis to provide the opportunity 
for public input and understanding of the proposed action. Regardless of 
the scope of action proposed, initially a notice will be provided to the 
appropriate State Single Point of Contact pursuant to E.O. 12372 that 
will not exceed three pages and will include:
    (i) A location map of the proposed action.
    (ii) The reasons why the action is proposed to be located in a 
floodplain.
    (iii) A statement indicating whether the action conforms to 
applicable state and local floodplain protection standards.
    (iv) A list of any NASA identified alternatives to be considered.
    (v) A statement explaining the timing of public notice review 
actions to provide opportunities for the public to provide meaningful 
input.
    (2) Working with the appropriate State Single Point of Contact 
pursuant to E.O. 12372 and, if applicable, other public groups and 
officials, to identify practicable alternatives in addition to those 
already identified by NASA. The alternatives will include:
    (i) Carrying out the proposed action at a location outside the base 
floodplain (alternative sites).
    (ii) Other means which accomplish the same purpose as the proposed 
action (alternative actions).
    (iii) Taking no action, if the resulting hazards and/or harm to or 
within the floodplain overbalances the benefits to be provided by the 
proposed action.
    (3) The costs and impacts of all practicable alternatives must now 
be fully determined to properly assess the practicability of avoiding 
the base floodplain, or of minimizing harm to the floodplain if 
alternatives directly or indirectly support floodplain development or 
have other adverse impacts.
    (i) The basic criteria to be used in determining the impacts of the 
various alternatives appear in the Floodplain Management Guidelines for 
Implementing Executive Order 11988 (43 FR 6030). These criteria discuss 
in detail the three basic types of impacts which are to be addressed:
    (A) Positive and negative impacts (beneficial and harmful);
    (B) Concentrated and dispersed impacts (impacts on-site, near-site, 
and remote from the installation); and
    (C) Short and long-term impacts (include temporary changes and those 
that take the form of delayed changes resulting from the cumulative 
effects of many individual actions).
    (ii) Also to be determined is the nature of resulting hazards and 
risk to lives and property; and the restoration and preservation of 
natural and beneficial floodplain and wetlands values.
    (iii) In determining the type, magnitude, costs, timing factors, 
etc., of the impacts, it is emphasized that subjective assessments have 
little value. To qualify for inclusion in the evaluation process, an 
impact must be fully described and quantified in a measurable way 
compatible with good scientific or engineering practice. Briefly stated, 
an impact is effected by or based on, and limited to, a quantified 
alteration of existing coastal or riverine systems including:
    (A) Anticipated flood levels, sheet flow, coursing and velocity of 
flood caused surface water;
    (B) Ground water flows and recharge;

[[Page 161]]

    (C) Tidal flows;
    (D) Topography; and,
    (E) Ecology, including water quality, vegetation and the terrestrial 
and aquatic habitats.
    (4) For the proposed action and those alternatives which will impact 
the floodplain or wetlands, additional analysis must be undertaken to 
minimize, restore and preserve the natural and beneficial floodplain or 
wetlands values. Because NASA does not retain expertise in these areas 
of floodplain management, field installations will consult, on a case-
by-case basis, with the appropriate local office of the U.S. Fish and 
Wildlife Service to assure that, for each of the above alternatives, 
methods are prescribed which will:
    (i) Minimize harm to lives and property from flood hazards;
    (ii) Minimize harm to natural and beneficial values of floodplains 
and wetlands; and
    (iii) Restore floodplains or wetlands values, if applicable, to the 
proposed action.
    (5) The proposed action and alternatives shall now be comparatively 
evaluated taking into account the identified impacts, the steps 
necessary to minimize these impacts and opportunities to restore and 
preserve floodplain and wetlands values. The comparison will emphasize 
floodplain values.
    (i) If this evaluation indicates that the proposed action in the 
base floodplain is still practicable, consider limiting the action so 
that a non-floodplain site could be more practicable.
    (ii) If the proposed action is outside the floodplain but has 
adverse impacts or supports floodplain development, consider modifying 
or relocating the action to eliminate or reduce these effects or even 
taking no action.
    (6) If, upon completing the comparative evaluation, the Field 
Installation Director determines that the only practicable alternative 
is locating in the base floodplain, a statement of fundings and public 
explanation must be provided to all those who have received the early 
public notice, and specifically to the appropriate State Single Point of 
Contact pursuant to E.O. 12372, and will include as a minimum:
    (i) The reasons why the proposed action must be located in the 
floodplain.
    (ii) A statement of all significant facts considered in making the 
determination including alternative sites and actions.
    (iii) A statement indicating whether the actions conform to 
applicable State and local floodplain protection standards.
    (iv) In cases where land acquisition or major changes in land use 
are involved, it may also be appropriate to include:
    (A) A provision for publication in the Federal Register or other 
appropriate vehicle.
    (B) A description of how the activity will be designed or modified 
to minimize harm to or within the floodplain.
    (C) A statement indicating how the action affects natural or 
beneficial floodplain or wetlands values.
    (D) A statement listing other involved agencies and individuals.
    (7) After a reasonable period (15 to 30 days) to allow for public 
response, the proposed action may proceed through the normal NASA 
approval process, or if disposal is anticipated, the action can be 
implemented in accordance with Federal Property Management Regulations 
real property disposal procedures. If, however, significant new 
information is revealed in comments by the public, the field 
installation shall re-evaluate the proposed action in accordance with 
the provisions of paragraph (b)(5) of this section.
    (8) For major NASA actions significantly affecting the quality of 
the human environment, the evaluations required above will be included 
in any statement prepared under Section 102(2)(C) of the National 
Environmental Policy Act.
    (9) In accordance with Sec. 1216.202(b), the Assistant Associate 
Administrator for Facilities Engineering, NASA Headquarters, will 
conduct periodic on-site reviews to assure that the action is carried 
out in accordance with the stated findings and plans for the proposed 
action, in compliance with the Executive orders.

[44 FR 1089, Jan. 4, 1979, as amended at 56 FR 50506, Oct. 7, 1991]

[[Page 162]]



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

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

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



Sec. 1216.300  Scope.

    This subpart sets forth NASA procedures implementing the provisions 
of section 102(2) of the National Environmental Policy Act (NEPA). The 
NASA procedures of this subpart supplement the regulations of the 
Council on Environmental Quality (43 FR 55978) which establish uniform 
procedures for implementing those provisions of NEPA.



Sec. 1216.301  Applicability.

    (a) This subpart is applicable to NASA Headquarters and field 
installations.
    (b) The procedures established by this subpart apply to all NASA 
actions which may have an impact on the quality of the environment. 
These actions may fall within any of the four NASA budget categories: 
Research and Development (R&D), Construction of Facilities (CoF), 
Research and Program Management (R&PM), and Space Flight Control and 
Data Communications (SFCDC), or, if not involving budget authority or 
other congressional approval, may be separate from the categories.

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



Sec. 1216.302  Definition of key terms.

    The definitions contained within part 1508, Terminology and Index, 
CEQ Regulations, 43 FR 55978, apply to subpart 1216.3. Additional 
definitions, necessary for the purpose of this subpart, are as follows:
    (a) Budget line items. The individual items in the annual NASA 
authorization legislation which are used here to classify the range of 
NASA actions. The four main budget line items are:
    (1) Research and Development (R&D). Those activities directed 
towards attaining the objectives of a specific mission, project, or 
program. All NASA's aeronautics and space program elements are 
categorized within the R&D program categories. R&D funds are expended 
chiefly for contracted research and development and for research grants. 
Some R&D funds are also expended in support of in-house research (e.g., 
equipment purchases and other research support, but not civil service 
salaries).
    (2) Research and Program Management (R&PM). Those activities 
directed towards the general support of the NASA institution charged 
with the conduct of the aeronautics and space program. R&PM funds are 
expended for the NASA civil service work force (both for performing in-
house R&D and for planning, managing, and supporting contractor and 
grantee R&D), and for other general supporting functions.
    (3) Construction of Facilities (C of F). Those activities directed 
towards construction of new facilities; repair, rehabilitation, and 
modification of existing facilities; acquisition of related facility 
equipment; design of facilities projects; and advance planning related 
to future facilities needs.
    (4) Space Flight, Control and Data Communications (SFCDC). Has 
similar scope to R&D but covers activities which are primarily of a 
production and operational nature related to space flight. The content 
includes the national fleet of Space Shuttle orbiters, including main 
engines, launch site and mission operations, initial spares, production 
tooling and supporting activities, launch operations and tracking and 
data acquisition.
    (b) Construction of facilities project. The consolidation of 
applicable specific individual types of facility work, including related 
collateral equipment, which is required to fully reflect all of the 
needs, generally relating to one facility, which have been or may be 
generated by the same set of events or circumstances which are required 
to be

[[Page 163]]

accomplished at one time in order to provide for the planned initial 
operational use of the facility or a discrete portion thereof. Facility 
projects are subject to the NASA decision processes of Sec. 1216.304.
    (c) Environmental analysis. The analysis of the environmental 
effects of proposed actions, including alternative proposals. The 
analyses are carried out from the very earliest of planning studies for 
the action in question, and are the materials from which the more formal 
environmental assessments, environmental impact statements, and public 
record of decisions are made.
    (d) Institutional action. An action to establish, change, or 
terminate an aspect of the NASA institution, defined as the total NASA 
resource (plant, employees, skills).
    (e) R&D project. A discrete research and development activity, with 
a scheduled beginning and ending, which normally involves one of the 
following primary purposes:
    (1) The design, development, and demonstration of major advanced 
technology hardware items;
    (2) The design, construction, and operation of a new launch vehicle 
(and associated ground support) during its research and development 
phase; and
    (3) The construction and operation of one or more aeronautics or 
space vehicles (and necessary ground support) in order to accomplish a 
scientific or technical objective. R&D projects are each subelements in 
the NASA R&D budget line item. R&D projects are subject to the decision 
processes of Sec. 1216.304.
    (f) SFCDC project. R&D type projects authorized under the SFCDC 
budget line item.

[44 FR 44485, July 30, 1979, as amended at 53 FR 9761, Mar. 25, 1988]



Sec. 1216.303  Responsibilities of NASA officials.

    (a) The Associate Administrator for Management or designee, who is 
responsible for developing the procedures of this subpart and for 
ensuring that environmental factors are properly considered in all NASA 
planning and decisionmaking, shall:
    (1) Monitor these processes to ensure that the agency procedures are 
achieving their purposes;
    (2) Advise line management and inform NASA employees of technical 
and management requirements of environmental analysis, of appropriate 
expertise available in and out of NASA, and--with the assistance of the 
NASA General Counsel--of relevant legal developments; and
    (3) Consolidate and transmit to the appropriate parties NASA 
comments on environmental impact statements and other environmental 
reports prepared by other agencies.
    (b) Officials-in-Charge of Headquarters Offices (hereafter termed 
``Headquarters officials'') are responsible for implementing the 
procedures established by these regulations for the consideration and 
documentation of the environmental aspects of the decision processes in 
their respective areas of responsibility.
    (c) The Assistant Administrator for Legislative Affairs is 
responsible for ensuring that the legislative environmental impact 
statements accompany NASA recommendations or reports on proposals for 
legislation submitted to Congress. The Associate Administrator for 
Management, the Chief Financial Officer (CFO)/Comptroller and the 
General Counsel will provide guidance as required.

[44 FR 44485, July 30, 1979, as amended at 53 FR 9761, Mar. 25, 1988; 56 
FR 50507, Oct. 7, 1991]

                            Agency Procedures



Sec. 1216.304  Major decision points.

    The possible environmental effects of a proposed action must be 
considered, along with technical, economic, and other factors, in the 
earliest planning. At that stage, the responsible Headquarters official 
shall begin the necessary steps to comply with all the requirements of 
section 102(2) of the National Environmental Policy Act of 1969. Major 
NASA activities, particularly R&D (or SFCDC) and facility projects, 
generally have four distinct phases: The conceptual study phase; the 
detailed planning/definition phase; the development/construction phase; 
and the operation phase. (Other NASA

[[Page 164]]

activities have fewer, less well-defined phases, but can still be 
characterized by phases representing general or feasibility study, 
detailed planning or definition, and implementation.) Environmental 
documentation shall be linked to major decision points as follows:
    (a) Completion of an environmental assessment and the determination 
as to whether an environmental impact statement is required must be made 
prior to the decision to proceed from the conceptual study phase to the 
detailed planning/definition phase of the proposed action. For example, 
this determination must be concurrent with:
    (1) Proposal of an R&D (or SFCDC) project for detailed planning and 
project definition;
    (2) Proposal of a major Construction of Facilities project for 
detailed planning and project definition;
    (3) Proposal of an institutional action (other than a facility 
project) for detailed planning and definition; and
    (4) Proposal of a plan to define changes in an approved project.
    (b) The final environmental impact statement (EIS) should be 
completed and circulated prior to the decision to proceed from the 
detailed planning/definition phase to the development/construction (or 
implementation) phase of the proposed action. For example, the EIS 
should be completed by, and incorporated with:
    (1) Proposal of an R&D (or SFCDC) project for development/
construction;
    (2) Proposal of a major Construction of Facilities project for 
development/construction;
    (3) Proposal to undertake a significant institutional action (other 
than a facility project); and
    (4) Proposal to implement a program change.

[44 FR 44485, July 30, 1979, as amended at 53 FR 9761, Mar. 25, 1988]



Sec. 1216.305  Criteria for actions requiring environmental assessments.

    (a) Whether a proposed NASA action within the meaning of the CEQ 
Regulations (43 FR 55978) requires the preparation of an environmental 
assessment, an environmental impact statement, both, or neither, will 
depend upon the scope of the action and the context and intensity of any 
environmental effects expected to result. A NASA action shall require 
the preparation of an environmental assessment (Sec. Sec. 1501.3 and 
1508.9 of the CEQ Regulations) provided the action is not one normally 
requiring an environmental impact statement (paragraph (c)) or it is not 
categorically excluded from the requirement for an environmental 
assessment and an environmental impact statement (paragraph (d)).
    (b) Specific NASA actions normally requiring an environmental 
assessment are:
    (1) Specific spacecraft development and flight projects in space 
science.
    (2) Specific spacecraft development and flight projects in space and 
terrestrial applications.
    (3) Specific experimental projects in aeronautics and space 
technology and energy technology applications.
    (4) Development and operation of new space transportation systems 
and advanced development of new space transportation and spacecraft 
systems.
    (5) Reimbursable launches of non-NASA spacecraft or payloads.
    (6) Major Construction of Facilities projects.
    (7) Actions to alter ongoing operations at a NASA installation which 
could lead, either directly or indirectly, to natural or physical 
environmental effects.
    (c) NASA actions expected to have a significant effect upon the 
quality of the human environment shall require an environmental impact 
statement. For these actions an environmental assessment is not 
required. Criteria to be used in determining significance are given in 
Sec. 1508.27 of the CEQ Regulations (43 FR 55978). Specific NASA 
actions requiring environmental impact statements, all in the R&D budget 
category, are as follows:
    (1) Development and operation of new launch vehicles.
    (2) Development and operation of space vehicles likely to release 
substantial amounts of foreign materials into the earth's atmosphere, or 
into space.
    (3) Development and operation of nuclear systems, including reactors 
and thermal devices used for propulsion and/or power generation. 
Excluded are devices with millicurie quantities or

[[Page 165]]

less of radioactive materials used as instrument detectors and small 
radioisotope heaters used for local thermal control, provided they are 
properly contained and shielded.
    (d) NASA actions categorically excluded from the requirements to 
prepare either an environmental assessment or an EIS (Sec. 1508.4 of 
the CEQ Regulations) fit the following criteria: They are each sub-
elements of an approved broadbased level-of-effort NASA science and 
technology program (basic research, applied research, development of 
technology, ongoing mission operations), facility program, or 
institutional program; and they are each managed relatively 
independently of other related sub-elements by means of separate task 
orders, Research and Technology Operating Plans, etc. Specific NASA 
actions fitting these criteria and thus categorically excluded from the 
requirements for environmental assessments and environmental impact 
statements are:
    (1) R&D (or SFCDC) activities in space science (e.g., Physics and 
Astronomy Research and Analysis, Planetary Exploration Mission 
Operations and Data Analysis) other than specific spacecraft development 
and flight projects.
    (2) R&D activities in space and terrestrial applications (e.g., 
Resource Observations Applied Research and Data Analysis, Technology 
Utilization) other than specific spacecraft development and flight 
projects.
    (3) R&D activities in aeronautics and space technology and energy 
technology applications (e.g., Research and Technology Base, Systems 
Technology Programs) other than experimental projects.
    (4) R&D (or SFCDC) activities in space transportation systems 
engineering and scientific and technical support operations, routine 
transportation operations, and advanced studies.
    (5) R&D (or SFCDC) activities in space tracking and data systems.
    (6) Facility planning and design (funding).
    (7) Minor construction of new facilities including rehabilitation, 
modification, and repair.
    (8) Continuing operations of a NASA installation at a level of 
effort, or altered operations, provided the alterations induce only 
social and/or economic effects but no natural or physical environmental 
effects.
    (e) Even though an action may be categorically excluded from the 
need for a formal environmental assessment or environmental impact 
statement, it is not excluded from the requirement for an environmental 
analysis conducted during the earliest planning phases. If that analysis 
shows that the action deviates from the criteria for exclusion and it is 
concluded that there may be significant environmental effects, an 
environmental assessment must be carried out. Based upon that 
assessment, a determination must then be made whether or not to prepare 
an environmental impact statement.

[44 FR 44485, July 30, 1979, as amended at 53 FR 9761, Mar. 25, 1988]



Sec. 1216.306  Preparation of environmental assessments.

    (a) For each NASA action meeting the criteria of 14 CFR 1216.305(b) 
and for other actions as required, the responsible Headquarters official 
shall prepare an environmental assessment (40 CFR 1501.3 and 1508.9 of 
the CEQ Regulations) and, on the basis of that assessment, determine if 
an EIS is required; except where action meeting the criteria is strictly 
of a local nature under the purview of the Field Installation Director.
    (b) If the determination is that no environmental impact statement 
is required, the Headquarters official or Field Installation Director, 
shall, in coordination with the Associate Administrator for Management, 
prepare a ``Finding of No Significant Impact.'' (See 40 CFR 1508.13 of 
the CEQ Regulations.) The ``Finding of No Significant Impact'' shall be 
made available to the affected public through direct distribution and 
publication in the Federal Register, or coordinated with the State 
Single Point of Contact pursuant to E.O. 12372, as amended, 
``Intergovernmental Review of Federal Programs,'' as appropriate.
    (c) If the determination is that an environmental impact statement 
is required, the Headquarters official shall proceed with the ``notice 
of intent to prepare an EIS'' (see 40 CFR 1508.22 of

[[Page 166]]

the CEQ Regulations). The Headquarters official shall transmit this 
notice to the Associate Administrator for Management for review and 
subsequent publication in the Federal Register (see 40 CFR 1507.3(e) of 
the CEQ Regulations). The Headquarters official shall then apply 
procedures set forth in 14 CFR 1216.307 to determine the scope of the 
EIS and proceed to prepare and release the environmental statement in 
accordance with the CEQ Regulations and the procedures of this subpart.
    (d) Environmental assessments may be prepared for any actions, even 
those which meet the criteria for environmental impact statements (Sec. 
1216.305(c)) or for categorical exclusion (Sec. 1216.305(d)), if the 
responsible Headquarters official believes that the action may be an 
exception or that an assessment will assist in planning or 
decisionmaking.

[44 FR 44485, July 30, 1979, as amended at 53 FR 9761, Mar. 25, 1988]



Sec. 1216.307  Scoping.

    The responsible Headquarters official shall conduct an early and 
open process for determining the scope of issues to be addressed in 
environmental impact statements and for identifying the significant 
issues related to a proposed action. The elements of the scoping process 
are defined in Sec. 1501.7 of the CEQ Regulations and the process must 
include considerations of the range of actions, alternatives, and 
impacts discussed in Sec. 1508.25 of the CEQ Regulations. The range of 
environmental categories to be considered in the scoping process shall 
include, but not be limited to:
    (a) Air quality;
    (b) Water quality;
    (c) Waste generation, treatment, transportation disposal and 
storage;
    (d) Noise, sonic boom, and vibration;
    (e) Toxic substances;
    (f) Biotic resources;
    (g) Radioactive materials and non-ionizing radiation;
    (h) Endangered species;
    (i) Historical, archeological, and recreational factors;
    (j) Wetlands and floodplains; and
    (k) Economic, population and employment factors, provided they are 
interrelated with natural or physical environmental factors.



Sec. 1216.308  Preparation of draft statements.

    (a) The responsible Headquarters official shall prepare the draft 
environmental impact statement in the manner provided in 40 CFR part 
1502 of the CEQ Regulations and shall submit the draft statement and any 
attachments to the Associate Administrator for Management for NASA 
review prior to any formal review outside NASA. This submission shall be 
accompanied by a list of Federal, State, and local officials (40 CFR 
part 1503 of the CEQ Regulations) and a list of other interested parties 
(40 CFR 1506.6 of the CEQ Regulations) from whom comments should be 
requested.
    (b) After the NASA review is completed, the Associate Administrator 
for Management shall submit the approved draft statement to the 
Environmental Protection Agency (EPA), Office of Federal Activities, and 
shall seek the views of appropriate agencies and individuals in 
accordance with 40 CFR part 1503 and Sec. 1506.6 of the CEQ 
Regulations.
    (c) Comments received shall be provided to the originating official 
for consideration in preparing the final statement. To the extent 
possible, requirements for review and consultation with other agencies 
on environmental matters established by statutes other than NEPA, such 
as the review and consultation requirements of the Endangered Species 
Act of 1973, as amended, should be met prior to or through this review 
process (Sec. 1216.320).

[44 FR 44485, July 30, 1979, as amended at 53 FR 9761, Mar. 25, 1988]



Sec. 1216.309  Public involvement.

    (a) Interested persons can get information on NASA environmental 
impact statements and other aspects of NASA's NEPA process by contacting 
the Assistant Associate Administrator for Facilities Engineering, Code 
NX, NASA Headquarters, Washington, DC 20546, 202-453-1965. Pertinent 
information regarding any aspect of the NEPA process may also be mailed 
to the above address.

[[Page 167]]

    (b) Responsible Headquarters officials and NASA Field Installation 
Directors shall identify those persons, community organizations, and 
environmental interest groups who may be interested or affected by the 
proposed NASA action and who should be involved in the NEPA process. 
They shall submit a list of such persons and organizations to the 
Associate Administrator for Management at the same time they submit:
    (1) A recommendation regarding a ``Finding of No Significant 
Impact,''
    (2) A ``Notice of Intent to Prepare an EIS,''
    (3) A recommendation for public hearings,
    (4) A preliminary draft EIS,
    (5) A preliminary final EIS,
    (6) Other preliminary environmental documents (14 CFR 1216.321(d)).
    (c) The Associate Administrator for Management may modify such lists 
referred to in paragraph (b) of this section as appropriate to ensure 
that NASA shall comply, to the fullest extent practicable, with 40 CFR 
1506.6 of the CEQ Regulations and section 2-4(d) of Executive Order 
12114.
    (d) The decision whether to hold public hearings shall be made by 
the Associate Administrator for Management in consultation with the 
General Counsel.

[53 FR 9762, Mar. 25, 1988, as amended at 56 FR 50507, Oct. 7, 1991]



Sec. 1216.310  Preparation of final statements.

    (a) After conclusion of the review process with other Federal, 
State, and local agencies and the public, the responsible Headquarters 
official shall consider all suggestions, revise the statement as 
appropriate, and forward the proposed final statement to the Associate 
Administrator for Management. The Associate Administrator for Management 
shall submit the approved final statement to the EPA Office of Federal 
Activities, to all parties who commented, and to other interested 
parties in accordance with CEQ Regulations.
    (b) Each draft and final statement, the supporting documentation, 
and the record of decision shall be available for public review and 
copying at the office of the responsible Headquarters official, or at 
the office of a suitable designee. Copies of draft and final environment 
impact statements shall also be available at the NASA Information 
Center, 600 Independence Avenue, SW., Washington, DC 20546; at 
information centers at appropriate NASA field installations; and at 
appropriate state and local clearinghouses.

[44 FR 44485, July 30, 1979, as amended at 53 FR 9762, Mar. 25, 1988]



Sec. 1216.311  Record of the decision.

    At the time of the decision on the proposed action, the originating 
Headquarters official shall consult with the Associate Administrator for 
Management and prepare a concise public record of the decision. (See 40 
CFR 1505.2 of the CEQ Regulations.)

[53 FR 9762, Mar. 25, 1988]



Sec. 1216.312  Timing.

    (a) Environmental impact statements are drafted when the 
Headquarters official has determined that the statement shall be 
prepared. No decision to proceed to the development/construction (or 
implementation) phase of the proposed action (the major decision point 
of Sec. 1216.304(b)) shall be made by NASA until the later of the 
following dates (Sec. 1506.10 of the CEQ Regulations);
    (1) Ninety days after publication of an EPA notice of a NASA draft 
EIS.
    (2) Thirty days after publication of an EPA notice of a NASA final 
EIS.
    (b) When necessary to comply with other specific statutory 
requirements, NASA shall consult with and obtain from EPA time periods 
other than those specified by the Council for timing of agency action.



Sec. 1216.313  Implementing and monitoring the decision.

    (a) Section 1505.3 of the CEQ Regulations provides for agency 
monitoring to assure that mitigation measures and other commitments 
associated with the decision and its implementation and described in the 
EIS are carried out and have the intended effects.
    (b) The responsible Headquarters official shall, as necessary, 
conduct the required monitoring and shall provide

[[Page 168]]

periodic reports as required by the Associate Administrator for 
Management.
    (c) If the monitoring activity indicates that resulting 
environmental effects differ from those described in the current 
documents, the Headquarters official shall reassess the environmental 
impact and consult with the Associate Administrator for Management to 
determine the need for additional mitigation measures and whether to 
prepare a supplement to the EIS (see 40 CFR 1502.9 of the CEQ 
Regulations).

[44 FR 44485, July 30, 1979, as amended at 53 FR 9762, Mar. 25, 1988]



Sec. 1216.314  Tiering.

    Actions which are the subject of an environmental impact statement 
and which represents projects of broad scope may contain within them 
component actions of narrower scope, perhaps restricted to individual 
sites of activity or sequential stages of a mission, and which 
themselves may require environmental assessments and, where necessary, 
environmental impact statements. The CEQ Regulations provide that 
agencies may use ``Tiering'' (Sec. 1508.28 of the CEQ Regulations) of 
environmental impact statements to relate such broad and narrow actions. 
When employing tiering, Headquarters officials shall, by reference, make 
maximum use of environmental documentation already available, and avoid 
repetition.



Sec. 1216.315  Processing legislative environmental impact statements.

    (a) Preparation of a legislative environmental impact statement 
shall conform to the requirements of 40 CFR 1506.8 of the CEQ 
Regulations. The responsible Headquarters official, in coordination with 
the Associate Administrator for Management, shall identify those NASA 
recommendations or reports on legislation that would require preparation 
of environmental impact statements in accordance with criteria set forth 
in 14 CFR 1216.305.
    (b) For the purposes of this provision, ``legislation'' not only 
excludes requests for appropriations (40 CFR 1508.17 of the CEQ 
Regulations), but also excludes the annual authorization bill submitted 
to the Congress.

[53 FR 9762, Mar. 25, 1988]



Sec. 1216.316  Cooperating with other agencies and individuals.

    (a) The Associate Administrator for Management, in coordination with 
the Associate Administrator for External Relations, shall ensure that 
NASA officials have an opportunity to cooperate with other agencies and 
individuals. He/she shall keep abreast of the activities of Federal, 
state, and local agencies, particularly activities in which NASA has 
expertise or jurisdiction by law (see 40 CFR 1508.15 of the CEQ 
Regulations). He/she shall inform the responsible Headquarters official 
of the need for cooperation as necessary.
    (b) At the request of the Associate Administrator for Management, 
Headquarters officials shall initiate discussions with another Federal 
agency concerning those activities which may be the subject of that 
agency's EIS on which NASA proposes to comment.
    (c) At the request of the Associate Administrator for Management, 
the responsible Headquarters official shall, in the interest of 
eliminating duplication, prepare joint analyses, assessments, and 
statements with state and local agencies. These joint environmental 
documents shall conform with the requirements of these procedures and 
overall NASA policy.
    (d) Because of the uniqueness of the NASA's aerospace activities, it 
is unlikely that NASA will have the opportunity to ``adopt'' 
environmental statements prepared by other agencies (40 CFR 1506.3 of 
the CEQ Regulations). However, should the responsible NASA offical wish 
to adopt a Federal draft or final environmental impact statement or 
portion thereof, he/she shall consult with the Associate Administrator 
for Management to determine whether that statement meets NASA 
requirements.
    (e) From time to time, there may be disagreements between NASA and 
other Federal agencies regarding which agency has primary responsibility 
to prepare an environmental impact statement in which both parties are 
involved. The Headquarters official with primary responsibility for the 
activity

[[Page 169]]

in question shall consult with the Associate Administrator for 
Management to resolve such questions in accordance with 40 CFR 1501.5 of 
the CEQ Regulations.
    (f) Responsibility for the environmental analyses and any necessary 
environmental assessments and environmental impact statements required 
by permits, leases, easements, etc., proposed for issuance to non-
Federal applicants rests with the Headquarters official responsible for 
granting of that permit, lease, easement, etc. The responsible 
Headquarters official shall consult with the Associate Administrator for 
Management for advice on the type of environmental information needed 
from the applicant and on the extent of the applicant's participation in 
the necessary environmental studies and their documentation.

[53 FR 9762, Mar. 25, 1988]



Sec. 1216.317  Classified information.

    Environmental assessments and impact statements which contain 
classified information to be withheld from public release in the 
interest of national security or foreign policy shall be organized so 
that the classified portions are appendices to the environmental 
document itself. The classified portion shall not be made available to 
the public.



Sec. 1216.318  Deviations.

    From time to time there will arise good and valid reasons for a 
deviation from these procedures. These procedures are not intended to be 
a substitute for sound professional judgment. Accordingly, if and as 
problems arise which justify a deviation, the proposed deviation and 
supporting rationale shall be forwarded to the Associate Administrator 
for Management. Unless such documentation is received, it will be 
assumed that each planning and decisionmaking action is in accordance 
with these procedures.

[53 FR 9763, Mar. 25, 1988]

                           Other Requirements



Sec. 1216.319  Environmental resources document.

    Each Field Installation Director shall ensure that there exists an 
environmental resources document which describes the current environment 
at that field installation, including current information on the effects 
of NASA operations on the local environment. This document shall include 
information on the same environmental effects as included in an 
environmental impact statement (see 14 CFR 1216.307). This document 
shall be coordinated with the Associate Administrator for Management and 
shall be published in an appropriate NASA report category for use as a 
reference document in preparing other environmental documents (e.g., 
environmental impact statements for proposed actions to be located at 
the NASA field installation in question). The Director of each NASA 
field installation shall ensure that existing resource documents are 
reviewed and updated, if necessary, by December 31, 1980, and at 
appropriate intervals thereafter.

[53 FR 9763, Mar. 25, 1988]



Sec. 1216.320  Environmental review and consultation requirements.

    (a) Headquarters officials and Field Installation Directors shall, 
to the maximum extent possible, conduct environmental analyses, 
assessments, and any impact statement preparation concurrently with 
environmental reviews required by the laws and regulations listed below:
    (1) Section 106 of the National Historic Preservation Act of 1966 
(16 U.S.C. 470(f)) requires identification of National Register 
properties, eligible properties, or properties which may be eligible for 
the National Register within the area of the potential impact of a NASA 
proposed action. Evaluation of the impact of the NASA action on such 
properties shall be discussed in draft environmental impact statements 
and transmitted to the Advisory Council on Historic Preservation for 
comments.

[[Page 170]]

    (2) Section 7 of the Endangered Species Act (16 U.S.C. 1531 et seq.) 
requires indentification of and consultation on aspects of the NASA 
action that may affect listed species or their habitat. A written 
request for consultation, along with the draft statement, shall be 
conveyed to the Regional Director of the U.S. Fish and Wildlife Service 
or the National Marine Fisheries Service, as appropriate, for the Region 
where the action will be carried out.
    (3) Executive Order 11988 (Floodplains Management) and Executive 
Order 11990 (Wetlands), as amended, and implemented by 14 CFR subpart 
1216.2--Floodplains and Wetlands Management, prescribe procedures to 
avoid adverse impacts associated with the occupancy and modification of 
floodplains and wetlands and require identification and evaluation of 
actions which are proposed for location in or which may affect a 
floodplain or wetland. A comparative evaluation of such actions shall be 
discussed in draft environmental impact statements and transmitted to 
appropriate State Single Point of Contact for comments.
    (b) Other environmental review and consultation requirements 
peculiar to NASA, if any, may be identified in the NASA environmental 
impact implementation handbook.

[44 FR 44485, July 30, 1979, as amended at 53 FR 9763, Mar. 25, 1988]



Sec. 1216.321  Environmental effects abroad of major Federal actions.

    (a) In accordance with these procedures and E.O. 12114, 
``Environmental Effects Abroad of Major Federal Actions'' (44 FR 1957), 
dated January 4, 1979, the Headquarters official shall analyze actions 
under his/her cognizance with due regard for the environmental effects 
abroad of such actions. The Headquarters official shall consider whether 
such actions involve:
    (1) Potential environmental effects on the global commons (i.e., 
oceans and the upper atmosphere);
    (2) Potential environmental effects on a foreign nation not 
participating with or not otherwise involved in the NASA activity;
    (3) The export of products or facilities producing products (or 
emission/effluents) which in the United States are prohibited or 
strictly regulated because their effects on the environment create a 
serious public health risk. The Associate Administrator for Management 
will provide additional guidance regarding the types of chemical, 
physical, and biological agents involved.
    (4) A physical project which, in the U.S., would be prohibited or 
strictly regulated by Federal law to protect the environment against 
radioactive substances;
    (5) Potential environmental effects on natural and ecological 
resources of global importance and which the President in the future may 
designate (or which the Secretary of State designates pursuant to 
international treaty). A list of any such designations will be available 
from the Associate Administrator for Management.
    (b) Prior to decisions (Sec. 1216.304) on any action falling into 
the categories specified in paragraph (a), the Headquarters official 
shall make a determination whether such action may have a significant 
environmental effect abroad.
    (c) If the Headquarters official determines that the action will not 
have a significant environmental effect abroad, he/she shall prepare a 
memorandum for the record which states the reasoning behind such a 
determination. A copy of the memorandum shall be forwarded to the 
Associate Administrator for Management. Note that these procedures do 
not allow for categorical exclusions (E.O. 12114, section 2-5(d)).
    (d) If the Headquarters official determines that an action may have 
a significant environmental effect abroad, he/she shall consult with the 
Associate Administrator for Management and the Director, International 
Relations Division. The Associate Administrator for Management, in 
coordination with the Director, International Relations Division, shall 
(as specified in E.O. 12114) make a determination whether the subject 
action requires:
    (1) An environmental impact statement,
    (2) Bilateral or multilateral environmental studies, or
    (3) Concise reviews of environmental issues.

[[Page 171]]

    (e) When informed of the determination of the Associate 
Administrator for Management, the Headquarters official shall proceed to 
take the necessary actions in accordance with these implementing 
procedures.
    (f) The Associate Administrator for Management shall, in 
coordination with the Associate Administrator for External Relations, 
determine when an affected nation shall be informed regarding the 
availability of documents referred to in paragraph (d) of this section 
and coordinate with the Department of State all NASA communications with 
foreign governments concerning environmental matters as related to E.O. 
12114.

[44 FR 44485, July 30, 1979, as amended at 53 FR 9763, Mar. 25, 1988]



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




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

    Authority: Sections 101 and 103 of Pub. L. 103-465, 108 Stat. 4814 
and 4819; Proclamation No. 6780 of March 23, 1995, 60 FR 15845 (March 
27, 1995).

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



Sec. 1217.100  Scope.

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



Sec. 1217.101  Applicability.

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



Sec. 1217.102  Background.

    In order to encourage and facilitate the use of NASA's launch 
services for the exploration and use of space, section 116 of Public Law 
97-446 provided for the duty-free entry into the United States of 
certain articles imported by NASA for its space-related activities or 
articles imported by another person or entity for the purpose of meeting 
its obligations under a launch services agreement with NASA. Such 
articles were certified by NASA to the Commissioner of Customs for duty-
free entry to be launched into space or space parts or necessary and 
uniquely associated support equipment for use in connection with a 
launch into space. This exemption from duty was provided for in 
Subheading 9808.00.80, Harmonized Tariff Schedule of the United States 
(HTSUS) (19 U.S.C. 1202). Also, HTSUS, Chapter VIII, U.S. note 1, 
pursuant to the same law, provided that return of articles by NASA from 
space to the United States would not be considered an importation, and 
similarly not be subject to a duty.
    As a result of the Uruguay Round agreements of the 1994 General 
Agreement on Tariffs and Trade, this authority was revised and expanded 
in scope. It now provides that imports of articles for NASA's use and 
articles imported to implement NASA's international programs, including 
articles to be launched into space, parts thereof, ground support 
equipment, and uniquely associated equipment for use in connection with 
NASA's international programs and launch service agreements would be 
eligible for duty-free customs entry upon certification by NASA to the 
Commissioner of Customs. The revised authorities also provided, in U.S.

[[Page 172]]

note 1 to subchapter VIII of chapter 98 of the HTSUS, that articles 
brought into the customs territory of the United States by NASA from 
space or from a foreign country as part of a NASA's international 
programs would not be considered imports or subject to customs entry 
requirements.



Sec. 1217.103  Authority to certify.

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



Sec. 1217.104  Certification forms.

    To the extent an authorized NASA official approves a request for 
certification, that official shall sign a certificate in the following 
form:
    (a) For articles procured by NASA, a Customs Service Form CF 7501 
(Entry Summary) shall be completed, and the following certification 
shall be used:

     Articles for the National Aeronautics and Space Administration

    Item 9808.00.80, Harmonized Tariff Schedule of the United States

Program:________________________________________________________________

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

Name____________________________________________________________________

Date____________________________________________________________________

    (b) For articles imported by NASA to implement international 
programs of NASA to which NASA will take title, or which remain the 
property of foreign entities under such programs, no

[[Page 173]]

entry is required pursuant to U.S. note 1 to HTSUS subchapter VIII of 
chapter 98. For such articles, the following certification shall be 
used:

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

    Item 9808.00.80, Harmonized Tariff Schedule of the United States

Program:________________________________________________________________

Foreign Owner(s) (if applicable):_______________________________________

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

Name____________________________________________________________________

Date____________________________________________________________________

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

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

Name____________________________________________________________________

Date____________________________________________________________________

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



Sec. 1217.105  Procedures.

    (a) Requests for certification shall be forwarded to an appropriate 
NASA official or designee as provided for in Sec. 1217.103 of this 
part.
    (b) Each request for certification shall be accompanied by:
    (1) A proposed certificate as provided for in Sec. 1217.104 of this 
part;
    (2) The information and documentation required by 19 CFR 10.102(a), 
including invoice documentation or a description of covered articles; 
and
    (3) The anticipated date of entry of entry and port of entry for 
each article. If the article is to be transported in bond from the port 
of arrival to another port of entry in the United States, identify both 
ports.
    (c) The signed certificate and its attachment(s) will be forwarded 
to the NASA Installation responsible for duty-free entry of the 
materials, unless issued at such Installation by an authorized official 
in accordance with Sec. 1217.103(c) of this part. These documents shall 
be presented to an appropriated Customs official at the port(s) of 
entry. The procedures specified in 19 CFR 10.102 will be followed by the 
NASA Installation in obtaining duty-free entry at the Customs port(s) of 
entry. The NASA Installation should ensure that, at the time the 
articles are to be released after Customs entry, the custody of the 
imported articles is transferred directly from the carrier or from the 
U.S. Customs Service to the NASA Installation, its agent, or the launch 
service customer in the case of

[[Page 174]]

a Launch and Associated Services Agreement.
    (d) If articles procured under contract by NASA are imported prior 
to compliance with these procedures and it is essential that the 
articles be released from Customs custody prior to such compliance, the 
procedures outlined in 19 CFR 10.101 may be followed by cognizant NASA 
officials to secure the release of the articles from Customs custody. To 
the extent applicable, the procedures in Sec. 1217.105 of this part 
shall be followed when time permits to obtain duty-free entry for the 
articles released from Customs custody.



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

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



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




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

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

         Subpart 1221.2--The Congressional Space Medal of Honor

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

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



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

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

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



Sec. 1221.100  Scope.

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



Sec. 1221.101  Policy.

    (a) The NASA Seal, the NASA Insignia, NASA Logotype, NASA Program 
Identifiers, the NASA Flags, and the Agency's Unified Visual 
Communications System, as prescribed in Sec. 1221.102 through Sec. 
1221.108 of this subpart, shall be used exclusively to represent NASA, 
its programs, projects, functions, activities, or elements. The use of 
any devices other than those provided by or subsequently approved in 
accordance with the provisions of this subpart is prohibited.
    (b) The use of the devices prescribed in this section shall be 
governed by the provisions of this subpart. The use of

[[Page 175]]

the devices prescribed in this section for any purpose other than as 
authorized by this subpart is prohibited. Their misuse shall be subject 
to the penalties authorized by statute, as set forth in Sec. 1221.115 
and shall be reported as provided in Sec. 1221.116.
    (c) Any proposal for a new NASA Insignia, NASA Logotype, NASA 
Program Identifier, or for modification to those prescribed in this 
section shall be processed in accordance with Sec. 1221.114.



Sec. 1221.102  Establishment of the NASA Seal.

    The NASA Seal was established by Executive Order 10849 (24 FR 9559), 
November 27, 1959, as amended by Executive Order 10942 (24 FR 4419), May 
22, 1961. The NASA Seal, established by the President, is the Seal of 
the Agency and symbolizes the achievements and goals of NASA and the 
United States in aeronautical and space activities. The NASA Seal shall 
be used as set forth in Sec. 1221.109.
[GRAPHIC] [TIFF OMITTED] TC09SE91.009



Sec. 1221.103  Establishment of the NASA Insignia.

    The NASA Insignia was designed by the Army Institute of Heraldry and 
approved by the Commission of Fine Arts and the NASA Administrator. It 
symbolizes NASA's role in aeronautics and space and is established by 
the NASA Administrator as the signature an design element for visual 
communications formerly reserved for the NASA

[[Page 176]]

Logotype. The NASA Insignia shall be used as set forth in Sec. 
1221.110, the NASA Graphics Standards Manual, NASA Insignia Standards 
Supplement, and any related NASA directive or specification approved by 
the NASA Administrator and published subsequent hereto.
[GRAPHIC] [TIFF OMITTED] TC09SE91.010


[[Page 177]]





Sec. 1221.104  Establishment of the NASA Logotype.

    The NASA Logotype was approved by the Commission of Fine Arts and 
the NASA Administrator. It symbolizes NASA's role in aeronautics and 
space from 1975 to 1992 and has been retired. The NASA Logotype shall be 
used as set forth in Sec. 1221.111.
[GRAPHIC] [TIFF OMITTED] TC09SE91.011



Sec. 1221.105  Establishment of NASA Program Identifiers.

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



Sec. 1221.106  Establishment of the NASA Flag.

    The NASA Flags for interior and exterior use were created by the 
NASA Administrator in January 1960. Complete design, size, and color of 
the NASA interior and exterior flags for

[[Page 178]]

manufacturing purposes are detailed in U.S. Army QMG Drawing 5-1-269, 
revision September 14, 1960. The NASA Flags shall be used as set forth 
in Sec. 1221.113.
[GRAPHIC] [TIFF OMITTED] TC09SE91.012


[[Page 179]]





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

    (a) Concurrently with the establishment of the NASA Flag in January 
1960, the NASA Administrator also established NASA Flags to represent 
the NASA Administrator, Deputy Administrator, and Associate Deputy 
Administrator. Each of these flags conforms to the basic design of the 
NASA Flag except for the following:
    (1) The size of the flag is 3 feet x 4 feet;
    (2) The Administrator's Flag has four stars;
    (3) The Deputy Administrator's Flag has three stars; and
    (4) The Associate Deputy Administrator's Flag has two stars.
    (b) Flags representing these senior officials shall be used as set 
forth in Sec. 1221.113.



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

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



Sec. 1221.109  Use of the NASA Seal.

    (a) The Associate Deputy Administrator shall be responsible for 
custody of the NASA Impression Seal and custody of NASA replica 
(plaques) seals. The NASA Seal is restricted to the following:
    (1) NASA award certificates and medals.
    (2) NASA awards for career service.
    (3) Security credentials and employee identification cards.

[[Page 180]]

    (4) NASA Administrator's documents; the Seal may be used on 
documents such as interagency or intergovernmental agreements and 
special reports to the President and Congress, and on other documents, 
at the discretion of the NASA Administrator.
    (5) Plaques; the design of the NASA Seal may be incorporated in 
plaques for display in Agency auditoriums, presentation rooms, lobbies, 
offices of senior officials, and on the fronts of buildings occupied by 
NASA. A separate NASA seal in the form of a 15-inch, round, bronze-
colored plaque on a walnut-colored wood base is also available, but 
prohibited for use in the above representational manner. It is 
restricted to use only as a presentation item by the Administrator and 
the Deputy Administrator.
    (6) The NASA Flag and the NASA Administrator's, Deputy 
Administrator's, and Associate Deputy Administrator's Flags, which 
incorporate the design of the Seal.
    (7) NASA prestige publications which represent the achievements or 
missions of NASA as a whole.
    (8) Publications (or documents) involving participation by another 
Government agency for which the other Government agency has authorized 
the use of its seal.
    (b) Use of the NASA Seal for any purpose other than as prescribed in 
this section is prohibited, except that the Associate Deputy 
Administrator may authorize, on a case-by-case basis, the use of the 
NASA Seal for purposes other than those prescribed when the Associate 
Deputy Administrator deems such use to be appropriate.



Sec. 1221.110  Use of the NASA Insignia.

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

[[Page 181]]

commercial product, service, or activity or that material of a 
nonofficial nature represents NASA's official position.
    (c) Miscellaneous articles. (1) The manufacture and commercial sale 
of the NASA Insignia as a separate and distinct device in the form of an 
emblem, patch, insignia, badge, decal, vinylcal, cloth, metal, or other 
material which would preclude NASA's control over its use or application 
is prohibited.
    (2) Use of the NASA Uniform Patches, which incorporate the NASA 
Insignia, is authorized only as prescribed in the NASA Graphics 
Standards Manual and the NASA Insignia Standards Supplement, for NASA 
personnel and NASA contractor personnel identification.
    (3) No approval for use of the NASA Insignia will be authorized when 
its use can be construed as an endorsement by NASA of a product or 
service.
    (4) Items bearing the NASA Insignia such as souvenirs, novelties, 
toys, models, clothing, and similar items (including items for sale 
through the NASA employees' nonappropriated fund activities) may be 
manufactured and sold only after the NASA Insignia application has been 
submitted to, and approved by, the Associate Administrator for Public 
Affairs, or designee, NASA Headquarters, Washington, DC 20546.
    (d) Use of the NASA Insignia for any other purpose than as 
prescribed in this section is prohibited, except that the Associate 
Administrator for Public Affairs may authorize on a case-by-case basis 
the use of the NASA Insignia for other purposes when the Associate 
Administrator for the Public Affairs deems such use to be appropriate.



Sec. 1221.111  Use of the NASA Logotype.

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



Sec. 1221.112  Use of the NASA Program Identifiers.

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



Sec. 1221.113  Use of the NASA Flags.

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

[[Page 182]]



Sec. 1221.114  Approval of new or change proposals.

    (a) Except for NASA Astronaut Mission Crew Badges/Patches, any 
proposal to change or modify the emblematic devices set forth in this 
subpart or to introduce a new emblematic device other than as prescribed 
in this subpart requires the written approval of the NASA Administrator 
with prior approval and recommendation of the Director, Public Services 
Division.
    (b) In addition to the written approval of the NASA Administrator, 
any proposal for a new or for a modification to the design of the NASA 
Insignia may also be submitted to the Commission of Fine Arts for its 
advice as to the merit of the design. If approved in writing by the NASA 
Administrator and advice received from the Commission of Fine Arts, the 
NASA Insignia and the use of such NASA Insignia must be prescribed in 
this subpart and published in the Federal Register.
    (c) Proposals to establish, change, or modify NASA Astronaut Crew 
Mission Badges/Patches requires the written approval of the Director, 
Flight Crew Operations, Johnson Space Center; Center Director, Johnson 
Space Center; and the Associate Administrator for Space Flight. Decals/
patches/badges may be produced as soon as the approval cycle is 
completed.



Sec. 1221.115  Violations.

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



Sec. 1221.116  Compliance and enforcement.

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



         Subpart 1221.2--The Congressional Space Medal of Honor

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

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



Sec. 1221.200  Scope.

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



Sec. 1221.201  Basis for award of the medal.

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



Sec. 1221.202  Description of the medal.

    The description of the Congressional Space Medal of Honor, which was 
designed by the Institute of Heraldry, U.S. Army, is set forth in 
appendix A

[[Page 183]]

to this subpart. Each person awarded the Medal also shall receive a 
citation describing the basis for the award.



Sec. 1221.203  Nominations.

    (a) Formal nominations for award of the Congressional Space Medal of 
Honor on behalf of NASA will be made by the Administrator to the 
President.
    (b) Any person may recommend to the Administrator that an astronaut 
be nominated for award of the Medal. Such a recommendation must be in 
writing, and must describe in concise detail the events believed to 
warrant award of the Medal. The recommendation should, if appropriate, 
be accompanied by supporting documentation, such as eyewitness 
statements, extracts from official records, sketches, photographs, etc.
    (c) All recommendations for nominations submitted to the 
Administrator or made on his own initiative will be referred to the NASA 
Incentive Awards Board for the purpose of investigating and making 
findings of fact and giving advice to the Administrator.
    (d) Any recommendation involving an astronaut who is a member of the 
armed services on active duty or who is employed by another agency of 
the Federal Government but temporarily assigned or detailed to NASA 
shall also be transmitted to the Secretary of Defense or the head of the 
employing agency, as appropriate, for his or her recommendation.
    (e) The Administrator will forward to the President his 
recommendation, and that of the astronaut's employing agency, as 
appropriate.



Sec. 1221.204  Proceedings of the NASA Incentive Awards Board.

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

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

                                 Obverse

                               description

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

                                symbolism

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

                                 Reverse

                               description

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

                            Suspension Ribbon

                               description

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

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

                                symbolism

    The scarlet center line on the white band symbolizes the courage of 
the astronauts in the nation's manned space program and the fire power 
of rockets that carry the crew through the earth's atmosphere (light 
blue);

[[Page 184]]

the light blue is the same color as the chief of the shield of the coat 
of arms of the United States which appears on the President's flag. The 
dark blue symbolizes the hostile environment of space, the gold edge 
representing success and accomplishment. Red, white and blue are also 
the national colors of the United States.

                                Miniature

                               description

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

                              Lapel Emblem

                               description

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

                                 Rosette

                               description

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



PART 1230--PROTECTION OF HUMAN SUBJECTS--Table of Contents




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

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

    Source: 56 FR 28012, 28019, June 18, 1991, unless otherwise noted.



Sec. 1230.101  To what does this policy apply?

    (a) Except as provided in paragraph (b) of this section, this policy 
applies to all research involving human subjects conducted, supported or 
otherwise subject to regulation by any federal department or agency 
which takes appropriate administrative action to make the policy 
applicable to such research. This includes research conducted by federal 
civilian employees or military personnel, except that each department or 
agency head may adopt such procedural modifications as may be 
appropriate from an administrative standpoint. It also includes research 
conducted, supported, or otherwise subject to regulation by the federal 
government outside the United States.
    (1) Research that is conducted or supported by a federal department 
or agency, whether or not it is regulated as defined in Sec. 
1230.102(e), must comply with all sections of this policy.
    (2) Research that is neither conducted nor supported by a federal 
department or agency but is subject to regulation as defined in Sec. 
1230.102(e) must be reviewed and approved, in compliance with Sec. Sec. 
1230.101, 1230.102, and 1230.107 through 1230.117 of this policy, by an 
institutional review board (IRB) that operates in accordance with the 
pertinent requirements of this policy.
    (b) Unless otherwise required by department or agency heads, 
research activities in which the only involvement of human subjects will 
be in one or more of the following categories are exempt from this 
policy:
    (1) Research conducted in established or commonly accepted 
educational settings, involving normal educational practices, such as 
(i) research on regular and special education instructional strategies, 
or (ii) research on the effectiveness of or the comparison

[[Page 185]]

among instructional techniques, curricula, or classroom management 
methods.
    (2) Research involving the use of educational tests (cognitive, 
diagnostic, aptitude, achievement), survey procedures, interview 
procedures or observation of public behavior, unless:
    (i) Information obtained is recorded in such a manner that human 
subjects can be identified, directly or through identifiers linked to 
the subjects; and (ii) any disclosure of the human subjects' responses 
outside the research could reasonably place the subjects at risk of 
criminal or civil liability or be damaging to the subjects' financial 
standing, employability, or reputation.
    (3) Research involving the use of educational tests (cognitive, 
diagnostic, aptitude, achievement), survey procedures, interview 
procedures, or observation of public behavior that is not exempt under 
paragraph (b)(2) of this section, if:
    (i) The human subjects are elected or appointed public officials or 
candidates for public office; or (ii) federal statute(s) require(s) 
without exception that the confidentiality of the personally 
identifiable information will be maintained throughout the research and 
thereafter.
    (4) Research, involving the collection or study of existing data, 
documents, records, pathological specimens, or diagnostic specimens, if 
these sources are publicly available or if the information is recorded 
by the investigator in such a manner that subjects cannot be identified, 
directly or through identifiers linked to the subjects.
    (5) Research and demonstration projects which are conducted by or 
subject to the approval of department or agency heads, and which are 
designed to study, evaluate, or otherwise examine:
    (i) Public benefit or service programs; (ii) procedures for 
obtaining benefits or services under those programs; (iii) possible 
changes in or alternatives to those programs or procedures; or (iv) 
possible changes in methods or levels of payment for benefits or 
services under those programs.
    (6) Taste and food quality evaluation and consumer acceptance 
studies, (i) if wholesome foods without additives are consumed or (ii) 
if a food is consumed that contains a food ingredient at or below the 
level and for a use found to be safe, or agricultural chemical or 
environmental contaminant at or below the level found to be safe, by the 
Food and Drug Administration or approved by the Environmental Protection 
Agency or the Food Safety and Inspection Service of the U.S. Department 
of Agriculture.
    (c) Department or agency heads retain final judgment as to whether a 
particular activity is covered by this policy.
    (d) Department or agency heads may require that specific research 
activities or classes of research activities conducted, supported, or 
otherwise subject to regulation by the department or agency but not 
otherwise covered by this policy, comply with some or all of the 
requirements of this policy.
    (e) Compliance with this policy requires compliance with pertinent 
federal laws or regulations which provide additional protections for 
human subjects.
    (f) This policy does not affect any state or local laws or 
regulations which may otherwise be applicable and which provide 
additional protections for human subjects.
    (g) This policy does not affect any foreign laws or regulations 
which may otherwise be applicable and which provide additional 
protections to human subjects of research.
    (h) When research covered by this policy takes place in foreign 
countries, procedures normally followed in the foreign countries to 
protect human subjects may differ from those set forth in this policy. 
[An example is a foreign institution which complies with guidelines 
consistent with the World Medical Assembly Declaration (Declaration of 
Helsinki amended 1989) issued either by sovereign states or by an 
organization whose function for the protection of human research 
subjects is internationally recognized.] In these circumstances, if a 
department or agency head determines that the procedures prescribed by 
the institution afford protections that are at least equivalent to those 
provided in this policy, the department or agency head may approve the 
substitution of the

[[Page 186]]

foreign procedures in lieu of the procedural requirements provided in 
this policy. Except when otherwise required by statute, Executive Order, 
or the department or agency head, notices of these actions as they occur 
will be published in the Federal Register or will be otherwise published 
as provided in department or agency procedures.
    (i) Unless otherwise required by law, department or agency heads may 
waive the applicability of some or all of the provisions of this policy 
to specific research activities or classes of research activities 
otherwise covered by this policy. Except when otherwise required by 
statute or Executive Order, the department or agency head shall forward 
advance notices of these actions to the Office for Protection from 
Research Risks, Department of Health and Human Services (HHS), and shall 
also publish them in the Federal Register or in such other manner as 
provided in department or agency procedures.\1\
---------------------------------------------------------------------------

    \1\ Institutions with HHS-approved assurances on file will abide by 
provisions of title 45 CFR part 46 subparts A-D. Some of the other 
Departments and Agencies have incorporated all provisions of title 45 
CFR part 46 into their policies and procedures as well. However, the 
exemptions at 45 CFR 46.101(b) do not apply to research involving 
prisoners, fetuses, pregnant women, or human in vitro fertilization, 
subparts B and C. The exemption at 45 CFR 46.101(b)(2), for research 
involving survey or interview procedures or observation of public 
behavior, does not apply to research with children, subpart D, except 
for research involving observations of public behavior when the 
investigator(s) do not participate in the activities being observed.

[56 FR 28012, 28019, June 18, 1991; 56 FR 29756, June 28, 1991]



Sec. 1230.102  Definitions.

    (a) Department or agency head means the head of any federal 
department or agency and any other officer or employee of any department 
or agency to whom authority has been delegated.
    (b) Institution means any public or private entity or agency 
(including federal, state, and other agencies).
    (c) Legally authorized representative means an individual or 
judicial or other body authorized under applicable law to consent on 
behalf of a prospective subject to the subject's participation in the 
procedure(s) involved in the research.
    (d) Research means a systematic investigation, including research 
development, testing and evaluation, designed to develop or contribute 
to generalizable knowledge. Activities which meet this definition 
constitute research for purposes of this policy, whether or not they are 
conducted or supported under a program which is considered research for 
other purposes. For example, some demonstration and service programs may 
include research activities.
    (e) Research subject to regulation, and similar terms are intended 
to encompass those research activities for which a federal department or 
agency has specific responsibility for regulating as a research 
activity, (for example, Investigational New Drug requirements 
administered by the Food and Drug Administration). It does not include 
research activities which are incidentally regulated by a federal 
department or agency solely as part of the department's or agency's 
broader responsibility to regulate certain types of activities whether 
research or non-research in nature (for example, Wage and Hour 
requirements administered by the Department of Labor).
    (f) Human subject means a living individual about whom an 
investigator (whether professional or student) conducting research 
obtains
    (1) Data through intervention or interaction with the individual, or
    (2) Identifiable private information.

Intervention includes both physical procedures by which data are 
gathered (for example, venipuncture) and manipulations of the subject or 
the subject's environment that are performed for research purposes. 
Interaction includes communication or interpersonal contact between 
investigator and subject. ``Private information'' includes information 
about behavior that occurs in a context in which an individual can 
reasonably expect that no observation or recording is taking place, and 
information which has been provided for specific purposes by an 
individual and which the individual can reasonably

[[Page 187]]

expect will not be made public (for example, a medical record). Private 
information must be individually identifiable (i.e., the identity of the 
subject is or may readily be ascertained by the investigator or 
associated with the information) in order for obtaining the information 
to constitute research involving human subjects.
    (g) IRB means an institutional review board established in accord 
with and for the purposes expressed in this policy.
    (h) IRB approval means the determination of the IRB that the 
research has been reviewed and may be conducted at an institution within 
the constraints set forth by the IRB and by other institutional and 
federal requirements.
    (i) Minimal risk means that the probability and magnitude of harm or 
discomfort anticipated in the research are not greater in and of 
themselves than those ordinarily encountered in daily life or during the 
performance of routine physical or psychological examinations or tests.
    (j) Certification means the official notification by the institution 
to the supporting department or agency, in accordance with the 
requirements of this policy, that a research project or activity 
involving human subjects has been reviewed and approved by an IRB in 
accordance with an approved assurance.



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

    (a) Each institution engaged in research which is covered by this 
policy and which is conducted or supported by a federal department or 
agency shall provide written assurance satisfactory to the department or 
agency head that it will comply with the requirements set forth in this 
policy. In lieu of requiring submission of an assurance, individual 
department or agency heads shall accept the existence of a current 
assurance, appropriate for the research in question, on file with the 
Office for Protection from Research Risks, HHS, and approved for 
federalwide use by that office. When the existence of an HHS-approved 
assurance is accepted in lieu of requiring submission of an assurance, 
reports (except certification) required by this policy to be made to 
department and agency heads shall also be made to the Office for 
Protection from Research Risks, HHS.
    (b) Departments and agencies will conduct or support research 
covered by this policy only if the institution has an assurance approved 
as provided in this section, and only if the institution has certified 
to the department or agency head that the research has been reviewed and 
approved by an IRB provided for in the assurance, and will be subject to 
continuing review by the IRB. Assurances applicable to federally 
supported or conducted research shall at a minimum include:
    (1) A statement of principles governing the institution in the 
discharge of its responsibilities for protecting the rights and welfare 
of human subjects of research conducted at or sponsored by the 
institution, regardless of whether the research is subject to federal 
regulation. This may include an appropriate existing code, declaration, 
or statement of ethical principles, or a statement formulated by the 
institution itself. This requirement does not preempt provisions of this 
policy applicable to department- or agency-supported or regulated 
research and need not be applicable to any research exempted or waived 
under Sec. 1230.101 (b) or (i).
    (2) Designation of one or more IRBs established in accordance with 
the requirements of this policy, and for which provisions are made for 
meeting space and sufficient staff to support the IRB's review and 
recordkeeping duties.
    (3) A list of IRB members identified by name; earned degrees; 
representative capacity; indications of experience such as board 
certifications, licenses, etc., sufficient to describe each member's 
chief anticipated contributions to IRB deliberations; and any employment 
or other relationship between each member and the institution; for 
example: full-time employee, part-time employee, member of governing 
panel or board, stockholder, paid or unpaid consultant. Changes in IRB 
membership shall be reported to the department or agency head, unless in 
accord

[[Page 188]]

with Sec. 1230.103(a) of this policy, the existence of an HHS-approved 
assurance is accepted. In this case, change in IRB membership shall be 
reported to the Office for Protection from Research Risks, HHS.
    (4) Written procedures which the IRB will follow (i) for conducting 
its initial and continuing review of research and for reporting its 
findings and actions to the investigator and the institution; (ii) for 
determining which projects require review more often than annually and 
which projects need verification from sources other than the 
investigators that no material changes have occurred since previous IRB 
review; and (iii) for ensuring prompt reporting to the IRB of proposed 
changes in a research activity, and for ensuring that such changes in 
approved research, during the period for which IRB approval has already 
been given, may not be initiated without IRB review and approval except 
when necessary to eliminate apparent immediate hazards to the subject.
    (5) Written procedures for ensuring prompt reporting to the IRB, 
appropriate institutional officials, and the department or agency head 
of (i) any unanticipated problems involving risks to subjects or others 
or any serious or continuing noncompliance with this policy or the 
requirements or determinations of the IRB and (ii) any suspension or 
termination of IRB approval.
    (c) The assurance shall be executed by an individual authorized to 
act for the institution and to assume on behalf of the institution the 
obligations imposed by this policy and shall be filed in such form and 
manner as the department or agency head prescribes.
    (d) The department or agency head will evaluate all assurances 
submitted in accordance with this policy through such officers and 
employees of the department or agency and such experts or consultants 
engaged for this purpose as the department or agency head determines to 
be appropriate. The department or agency head's evaluation will take 
into consideration the adequacy of the proposed IRB in light of the 
anticipated scope of the institution's research activities and the types 
of subject populations likely to be involved, the appropriateness of the 
proposed initial and continuing review procedures in light of the 
probable risks, and the size and complexity of the institution.
    (e) On the basis of this evaluation, the department or agency head 
may approve or disapprove the assurance, or enter into negotiations to 
develop an approvable one. The department or agency head may limit the 
period during which any particular approved assurance or class of 
approved assurances shall remain effective or otherwise condition or 
restrict approval.
    (f) Certification is required when the research is supported by a 
federal department or agency and not otherwise exempted or waived under 
Sec. 1230.101 (b) or (i). An institution with an approved assurance 
shall certify that each application or proposal for research covered by 
the assurance and by Sec. 1230.103 of this Policy has been reviewed and 
approved by the IRB. Such certification must be submitted with the 
application or proposal or by such later date as may be prescribed by 
the department or agency to which the application or proposal is 
submitted. Under no condition shall research covered by Sec. 1230.103 
of the Policy be supported prior to receipt of the certification that 
the research has been reviewed and approved by the IRB. Institutions 
without an approved assurance covering the research shall certify within 
30 days after receipt of a request for such a certification from the 
department or agency, that the application or proposal has been approved 
by the IRB. If the certification is not submitted within these time 
limits, the application or proposal may be returned to the institution.

(Approved by the Office of Management and Budget under control number 
9999-0020)

[56 FR 28012, 28019, June 18, 1991; 56 FR 29756, June 28, 1991]



Sec. Sec. 1230.104-1230.106  [Reserved]



Sec. 1230.107  IRB membership.

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

[[Page 189]]

members, including consideration of race, gender, and cultural 
backgrounds and sensitivity to such issues as community attitudes, to 
promote respect for its advice and counsel in safeguarding the rights 
and welfare of human subjects. In addition to possessing the 
professional competence necessary to review specific research 
activities, the IRB shall be able to ascertain the acceptability of 
proposed research in terms of institutional commitments and regulations, 
applicable law, and standards of professional conduct and practice. The 
IRB shall therefore include persons knowledgeable in these areas. If an 
IRB regularly reviews research that involves a vulnerable category of 
subjects, such as children, prisoners, pregnant women, or handicapped or 
mentally disabled persons, consideration shall be given to the inclusion 
of one or more individuals who are knowledgeable about and experienced 
in working with these subjects.
    (b) Every nondiscriminatory effort will be made to ensure that no 
IRB consists entirely of men or entirely of women, including the 
institution's consideration of qualified persons of both sexes, so long 
as no selection is made to the IRB on the basis of gender. No IRB may 
consist entirely of members of one profession.
    (c) Each IRB shall include at least one member whose primary 
concerns are in scientific areas and at least one member whose primary 
concerns are in nonscientific areas.
    (d) Each IRB shall include at least one member who is not otherwise 
affiliated with the institution and who is not part of the immediate 
family of a person who is affiliated with the institution.
    (e) No IRB may have a member participate in the IRB's initial or 
continuing review of any project in which the member has a conflicting 
interest, except to provide information requested by the IRB.
    (f) An IRB may, in its discretion, invite individuals with 
competence in special areas to assist in the review of issues which 
require expertise beyond or in addition to that available on the IRB. 
These individuals may not vote with the IRB.



Sec. 1230.108  IRB functions and operations.

    In order to fulfill the requirements of this policy each IRB shall:
    (a) Follow written procedures in the same detail as described in 
Sec. 1230.103(b)(4) and, to the extent required by, Sec. 
1230.103(b)(5).
    (b) Except when an expedited review procedure is used (see Sec. 
1230.110), review proposed research at convened meetings at which a 
majority of the members of the IRB are present, including at least one 
member whose primary concerns are in nonscientific areas. In order for 
the research to be approved, it shall receive the approval of a majority 
of those members present at the meeting.



Sec. 1230.109  IRB review of research.

    (a) An IRB shall review and have authority to approve, require 
modifications in (to secure approval), or disapprove all research 
activities covered by this policy.
    (b) An IRB shall require that information given to subjects as part 
of informed consent is in accordance with Sec. 1230.116. The IRB may 
require that information, in addition to that specifically mentioned in 
Sec. 1230.116, be given to the subjects when in the IRB's judgment the 
information would meaningfully add to the protection of the rights and 
welfare of subjects.
    (c) An IRB shall require documentation of informed consent or may 
waive documentation in accordance with Sec. 1230.117.
    (d) An IRB shall notify investigators and the institution in writing 
of its decision to approve or disapprove the proposed research activity, 
or of modifications required to secure IRB approval of the research 
activity. If the IRB decides to disapprove a research activity, it shall 
include in its written notification a statement of the reasons for its 
decision and give the investigator an opportunity to respond in person 
or in writing.
    (e) An IRB shall conduct continuing review of research covered by 
this policy at intervals appropriate to the degree of risk, but not less 
than once per

[[Page 190]]

year, and shall have authority to observe or have a third party observe 
the consent process and the research.

(Approved by the Office of Management and Budget under control number 
9999-0020)



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

    (a) The Secretary, HHS, has established, and published as a Notice 
in the Federal Register, a list of categories of research that may be 
reviewed by the IRB through an expedited review procedure. The list will 
be amended, as appropriate after consultation with other departments and 
agencies, through periodic republication by the Secretary, HHS, in the 
Federal Register. A copy of the list is available from the Office for 
Protection from Research Risks, National Institutes of Health, HHS, 
Bethesda, Maryland 20892.
    (b) An IRB may use the expedited review procedure to review either 
or both of the following:
    (1) Some or all of the research appearing on the list and found by 
the reviewer(s) to involve no more than minimal risk,
    (2) Minor changes in previously approved research during the period 
(of one year or less) for which approval is authorized.

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



Sec. 1230.111  Criteria for IRB approval of research.

    (a) In order to approve research covered by this policy the IRB 
shall determine that all of the following requirements are satisfied:
    (1) Risks to subjects are minimized: (i) By using procedures which 
are consistent with sound research design and which do not unnecessarily 
expose subjects to risk, and (ii) whenever appropriate, by using 
procedures already being performed on the subjects for diagnostic or 
treatment purposes.
    (2) Risks to subjects are reasonable in relation to anticipated 
benefits, if any, to subjects, and the importance of the knowledge that 
may reasonably be expected to result. In evaluating risks and benefits, 
the IRB should consider only those risks and benefits that may result 
from the research (as distinguished from risks and benefits of therapies 
subjects would receive even if not participating in the research). The 
IRB should not consider possible long-range effects of applying 
knowledge gained in the research (for example, the possible effects of 
the research on public policy) as among those research risks that fall 
within the purview of its responsibility.
    (3) Selection of subjects is equitable. In making this assessment 
the IRB should take into account the purposes of the research and the 
setting in which the research will be conducted and should be 
particularly cognizant of the special problems of research involving 
vulnerable populations, such as children, prisoners, pregnant women, 
mentally disabled persons, or economically or educationally 
disadvantaged persons.
    (4) Informed consent will be sought from each prospective subject or 
the subject's legally authorized representative, in accordance with, and 
to the extent required by Sec. 1230.116.
    (5) Informed consent will be appropriately documented, in accordance 
with, and to the extent required by Sec. 1230.117.
    (6) When appropriate, the research plan makes adequate provision for

[[Page 191]]

monitoring the data collected to ensure the safety of subjects.
    (7) When appropriate, there are adequate provisions to protect the 
privacy of subjects and to maintain the confidentiality of data.
    (b) When some or all of the subjects are likely to be vulnerable to 
coercion or undue influence, such as children, prisoners, pregnant 
women, mentally disabled persons, or economically or educationally 
disadvantaged persons, additional safeguards have been included in the 
study to protect the rights and welfare of these subjects.



Sec. 1230.112  Review by institution.

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



Sec. 1230.113  Suspension or termination of IRB approval of research.

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

(Approved by the Office of Management and Budget under control number 
9999-0020)



Sec. 1230.114  Cooperative research.

    Cooperative research projects are those projects covered by this 
policy which involve more than one institution. In the conduct of 
cooperative research projects, each institution is responsible for 
safeguarding the rights and welfare of human subjects and for complying 
with this policy. With the approval of the department or agency head, an 
institution participating in a cooperative project may enter into a 
joint review arrangement, rely upon the review of another qualified IRB, 
or make similar arrangements for avoiding duplication of effort.



Sec. 1230.115  IRB records.

    (a) An institution, or when appropriate an IRB, shall prepare and 
maintain adequate documentation of IRB activities, including the 
following:
    (1) Copies of all research proposals reviewed, scientific 
evaluations, if any, that accompany the proposals, approved sample 
consent documents, progress reports submitted by investigators, and 
reports of injuries to subjects.
    (2) Minutes of IRB meetings which shall be in sufficient detail to 
show attendance at the meetings; actions taken by the IRB; the vote on 
these actions including the number of members voting for, against, and 
abstaining; the basis for requiring changes in or disapproving research; 
and a written summary of the discussion of controverted issues and their 
resolution.
    (3) Records of continuing review activities.
    (4) Copies of all correspondence between the IRB and the 
investigators.
    (5) A list of IRB members in the same detail as described is Sec. 
1230.103(b)(3).
    (6) Written procedures for the IRB in the same detail as described 
in Sec. Sec. 1230.103(b)(4) and 1230.103(b)(5).
    (7) Statements of significant new findings provided to subjects, as 
required by Sec. 1230.116(b)(5).
    (b) The records required by this policy shall be retained for at 
least 3 years, and records relating to research which is conducted shall 
be retained for at least 3 years after completion of the research. All 
records shall be accessible for inspection and copying by authorized 
representatives of the department or agency at reasonable times and in a 
reasonable manner.

(Approved by the Office of Management and Budget under control number 
9999-0020)



Sec. 1230.116  General requirements for informed consent.

    Except as provided elsewhere in this policy, no investigator may 
involve a human being as a subject in research covered by this policy 
unless the investigator has obtained the legally effective informed 
consent of the subject or the subject's legally authorized 
representative. An investigator shall seek such consent only under 
circumstances

[[Page 192]]

that provide the prospective subject or the representative sufficient 
opportunity to consider whether or not to participate and that minimize 
the possibility of coercion or undue influence. The information that is 
given to the subject or the representative shall be in language 
understandable to the subject or the representative. No informed 
consent, whether oral or written, may include any exculpatory language 
through which the subject or the representative is made to waive or 
appear to waive any of the subject's legal rights, or releases or 
appears to release the investigator, the sponsor, the institution or its 
agents from liability for negligence.
    (a) Basic elements of informed consent. Except as provided in 
paragraph (c) or (d) of this section, in seeking informed consent the 
following information shall be provided to each subject:
    (1) A statement that the study involves research, an explanation of 
the purposes of the research and the expected duration of the subject's 
participation, a description of the procedures to be followed, and 
identification of any procedures which are experimental;
    (2) A description of any reasonably foreseeable risks or discomforts 
to the subject;
    (3) A description of any benefits to the subject or to others which 
may reasonably be expected from the research;
    (4) A disclosure of appropriate alternative procedures or courses of 
treatment, if any, that might be advantageous to the subject;
    (5) A statement describing the extent, if any, to which 
confidentiality of records identifying the subject will be maintained;
    (6) For research involving more than minimal risk, an explanation as 
to whether any compensation and an explanation as to whether any medical 
treatments are available if injury occurs and, if so, what they consist 
of, or where further information may be obtained;
    (7) An explanation of whom to contact for answers to pertinent 
questions about the research and research subjects' rights, and whom to 
contact in the event of a research-related injury to the subject; and
    (8) A statement that participation is voluntary, refusal to 
participate will involve no penalty or loss of benefits to which the 
subject is otherwise entitled, and the subject may discontinue 
participation at any time without penalty or loss of benefits to which 
the subject is otherwise entitled.
    (b) Additional elements of informed consent. When appropriate, one 
or more of the following elements of information shall also be provided 
to each subject:
    (1) A statement that the particular treatment or procedure may 
involve risks to the subject (or to the embryo or fetus, if the subject 
is or may become pregnant) which are currently unforeseeable;
    (2) Anticipated circumstances under which the subject's 
participation may be terminated by the investigator without regard to 
the subject's consent;
    (3) Any additional costs to the subject that may result from 
participation in the research;
    (4) The consequences of a subject's decision to withdraw from the 
research and procedures for orderly termination of participation by the 
subject;
    (5) A statement that significant new findings developed during the 
course of the research which may relate to the subject's willingness to 
continue participation will be provided to the subject; and
    (6) The approximate number of subjects involved in the study.
    (c) An IRB may approve a consent procedure which does not include, 
or which alters, some or all of the elements of informed consent set 
forth above, or waive the requirement to obtain informed consent 
provided the IRB finds and documents that:
    (1) The research or demonstration project is to be conducted by or 
subject to the approval of state or local government officials and is 
designed to study, evaluate, or otherwise examine: (i) Public benefit of 
service programs; (ii) procedures for obtaining benefits or services 
under those programs; (iii) possible changes in or alternatives to those 
programs or procedures; or (iv) possible changes in methods or levels of 
payment for benefits or services under those programs; and

[[Page 193]]

    (2) The research could not practicably be carried out without the 
waiver or alteration.
    (d) An IRB may approve a consent procedure which does not include, 
or which alters, some or all of the elements of informed consent set 
forth in this section, or waive the requirements to obtain informed 
consent provided the IRB finds and documents that:
    (1) The research involves no more than minimal risk to the subjects;
    (2) The waiver or alteration will not adversely affect the rights 
and welfare of the subjects;
    (3) The research could not practicably be carried out without the 
waiver or alteration; and
    (4) Whenever appropriate, the subjects will be provided with 
additional pertinent information after participation.
    (e) The informed consent requirements in this policy are not 
intended to preempt any applicable federal, state, or local laws which 
require additional information to be disclosed in order for informed 
consent to be legally effective.
    (f) Nothing in this policy is intended to limit the authority of a 
physician to provide emergency medical care, to the extent the physician 
is permitted to do so under applicable federal, state, or local law.

(Approved by the Office of Management and Budget under control number 
9999-0020)



Sec. 1230.117  Documentation of informed consent.

    (a) Except as provided in paragraph (c) of this section, informed 
consent shall be documented by the use of a written consent form 
approved by the IRB and signed by the subject or the subject's legally 
authorized representative. A copy shall be given to the person signing 
the form.
    (b) Except as provided in paragraph (c) of this section, the consent 
form may be either of the following:
    (1) A written consent document that embodies the elements of 
informed consent required by Sec. 1230.116. This form may be read to 
the subject or the subject's legally authorized representative, but in 
any event, the investigator shall give either the subject or the 
representative adequate opportunity to read it before it is signed; or
    (2) A short form written consent document stating that the elements 
of informed consent required by Sec. 1230.116 have been presented 
orally to the subject or the subject's legally authorized 
representative. When this method is used, there shall be a witness to 
the oral presentation. Also, the IRB shall approve a written summary of 
what is to be said to the subject or the representative. Only the short 
form itself is to be signed by the subject or the representative. 
However, the witness shall sign both the short form and a copy of the 
summary, and the person actually obtaining consent shall sign a copy of 
the summary. A copy of the summary shall be given to the subject or the 
representative, in addition to a copy of the short form.
    (c) An IRB may waive the requirement for the investigator to obtain 
a signed consent form for some or all subjects if it finds either:
    (1) That the only record linking the subject and the research would 
be the consent document and the principal risk would be potential harm 
resulting from a breach of confidentiality. Each subject will be asked 
whether the subject wants documentation linking the subject with the 
research, and the subject's wishes will govern; or
    (2) That the research presents no more than minimal risk of harm to 
subjects and involves no procedures for which written consent is 
normally required outside of the research context.
    In cases in which the documentation requirement is waived, the IRB 
may require the investigator to provide subjects with a written 
statement regarding the research.

(Approved by the Office of Management and Budget under control number 
9999-0020)



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

    Certain types of applications for grants, cooperative agreements, or 
contracts are submitted to departments or agencies with the knowledge 
that subjects may be involved within the period of support, but definite 
plans would not

[[Page 194]]

normally be set forth in the application or proposal. These include 
activities such as institutional type grants when selection of specific 
projects is the institution's responsibility; research training grants 
in which the activities involving subjects remain to be selected; and 
projects in which human subjects' involvement will depend upon 
completion of instruments, prior animal studies, or purification of 
compounds. These applications need not be reviewed by an IRB before an 
award may be made. However, except for research exempted or waived under 
Sec. 1230.101 (b) or (i), no human subjects may be involved in any 
project supported by these awards until the project has been reviewed 
and approved by the IRB, as provided in this policy, and certification 
submitted, by the institution, to the department or agency.



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

    In the event research is undertaken without the intention of 
involving human subjects, but it is later proposed to involve human 
subjects in the research, the research shall first be reviewed and 
approved by an IRB, as provided in this policy, a certification 
submitted, by the institution, to the department or agency, and final 
approval given to the proposed change by the department or agency.



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

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



Sec. 1230.121  [Reserved]



Sec. 1230.122  Use of Federal funds.

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



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

    (a) The department or agency head may require that department or 
agency support for any project be terminated or suspended in the manner 
prescribed in applicable program requirements, when the department or 
agency head finds an institution has materially failed to comply with 
the terms of this policy.
    (b) In making decisions about supporting or approving applications 
or proposals covered by this policy the department or agency head may 
take into account, in addition to all other eligibility requirements and 
program criteria, factors such as whether the applicant has been subject 
to a termination or suspension under paragraph (a) of this section and 
whether the applicant or the person or persons who would direct or has 
have directed the scientific and technical aspects of an activity has 
have, in the judgment of the department or agency head, materially 
failed to discharge responsibility for the protection of the rights and 
welfare of human subjects (whether or not the research was subject to 
federal regulation).



Sec. 1230.124  Conditions.

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

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




Sec.
1232.100 Scope.
1232.101 Applicability.
1232.102 Policy.
1232.103 Definitions.
1232.104 Implementation procedures by non-NASA institutions.
1232.105 Implementation procedures by NASA field installations.
1232.106 Management authority and responsibility.
1232.107 Sanctions.

    Authority: 42 U.S.C. Sec. 2451; Pub. L. 89-544, as amended; 7 U.S.C. 
Sec. 2131; 39 U.S.C. Sec. 3001; 9 CFR subchapter A parts 1, 2, 3, and 4; 
and Pub. L. 99-158, Sec. 495.

    Source: 54 FR 35870, Aug. 30, 1989, unless otherwise noted.



Sec. 1232.100  Scope.

    This rule establishes the policy, implementation procedures, and 
management authority and responsibility for the care and use of 
vertebrate animals (hereinafter referred to as ``animal subjects'') in 
the conduct of NASA activities.



Sec. 1232.101  Applicability.

    This rule applies to NASA Headquarters and NASA field installations 
and will be followed in all activities using animal subjects that are 
supported by NASA, conducted in NASA facilities, aircraft, or 
spacecraft, or which involve NASA to any degree. All activities using 
animal subjects conducted under a contract, grant, cooperative 
agreement, memorandum of understanding, or joint endeavor agreement 
entered into by NASA and another Government agency, private entity, non-
Federal public entity, or foreign entity are included within the scope 
of this rule.



Sec. 1232.102  Policy.

    (a) It is NASA policy to require its laboratories and the 
institutions performing NASA-supported activities using animal subjects 
to comply with the Animal Welfare Act of 1966 (Pub. L. 89-544), as 
amended (Pub. L. 91-579, Pub. L. 94-279, and Pub. L. 99-198), 7 U.S.C. 
2131 et seq., and 39 U.S.C. 3001, and with the regulations promulgated 
thereunder by the Secretary of Agriculture (9 CFR subchapter A parts 1, 
2, 3, and 4) pertaining to the care, handling, and treatment of animal 
subjects held or used for research, testing, teaching, or other 
activities supported by the Federal government. Investigators shall 
follow the guidelines described in the National Institutes of Health 
(NIH) Publication No. 85-23 (Rev. 1985), ``Guide for the Care and Use of 
Laboratory Animals'' (the Guide) or subsequent revisions. Attention is 
called to the U.S. Government ``Principles for the Utilization and Care 
of Vertebrate Animals Used in Testing, Research, and Training'' on pp. 
81-83 of the Guide. In order to implement these guidelines and 
principles, investigators will comply with the revised Public Health 
Service (PHS) Policy on Humane Care and Use of Laboratory Animals 
(hereinafter referred to as PHS Policy) effective November 1, 1986.\1\
---------------------------------------------------------------------------

    \1\ Available from the Office of Protection from Research Risks 
(OPRR), National Institutes of Health, 9000 Rockville Pike, Bldg. 31, 
Room 5B59, Bethesda, MD 20892, Telephone 301-496-7005.
---------------------------------------------------------------------------

    (b) This rule authorizes NASA to have the same authority for NASA-
supported programs as that delegated to PHS by the PHS Policy, including 
the functions and responsibilities of the Animal Care and Use Committees 
(ACUC's).
    (c) All research supported by NASA that involves activities using 
animal subjects shall be conducted under protocols that conform to this 
rule and that are reviewed and approved as prescribed in this rule.



Sec. 1232.103  Definitions.

    The following definitions of terms comply with the PHS Policy and 
apply to the conduct of all NASA activities related to the care and use 
of animal subjects.
    (a) Activity includes research, testing of hardware for animal use, 
flight experimentation, and any other tasks involving the use of animal 
subjects.
    (b) Animal is any live vertebrate animal.
    (c) Animal Care and Use Committee (ACUC) is the committee 
established at

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each institution and NASA field installation involved in research with 
animal subjects. It is responsible for evaluating the care and use of 
animal subjects at the facility and for ensuring that the care and use 
of animal subjects at the facility is in compliance with this rule and 
PHS Policy.
    (d) Authorized NASA Official is the Director, Life Sciences 
Division, NASA Headquarters, or designee, who is the NASA 
Administrator's representative and is responsible for all NASA 
activities involving animal subjects. This individual is responsible for 
implementation of the provisions of this rule and for ensuring that 
agency programs involving animal subjects comply fully with all 
applicable laws, regulations, and guidelines.
    (e) Field Installation Director is the Director of a NASA Field 
Installation, or designee, who is the institutional official responsible 
for the care and use of animal subjects in research conducted at that 
field installation and for ensuring compliance with this rule at that 
field installation.
    (f) Investigator is any person who uses or proposes to use live 
animal subjects in NASA-supported activities, e.g., receives funds, 
salaries, or support under a grant, award, agreement, contract, or 
direct employment by NASA, or the use of any NASA facilities, aircraft, 
or spacecraft for the purpose of carrying out research, tests, or 
experiments using animal subjects.
    (g) PHS Assurance is a document prepared by an awardee institution 
assuring its compliance with PHS Policy.
    (h) Research of Flight Program Manager is the NASA Headquarters 
manager of each program in which NASA has a manifest interest.
    (i) Supported pertains to activities either funded in part or in 
whole by NASA or an approved activity that is not funded by NASA but 
that utilizes NASA facilities, including spacecraft and aircraft.
    (j) Veterinarian is the NASA attending veterinarian, a person who 
has graduated from a veterinary school accredited by the American 
Veterinary Medical Association's Council on Education or has a 
certificate issued by the American Veterinary Medical Association's 
Education Commission for Foreign Veterinary Graduates, has received 
training and/or experience in the care and management of the species 
being attended, and who has direct or delegated authority and 
responsibility for activities involving animal subjects at the NASA 
field installation.



Sec. 1232.104  Implementation procedures by non-NASA institutions.

    (a) Proposal Information. No animal subjects may be utilized unless 
a proposal justifying and describing their use is submitted to NASA for 
approval. The required proposal information is outlined in the PHS 
Policy (IV.D.1.a.-e.).
    (b) Proposal Approval by the Institutional ACUC. Before a proposal 
for research involving the use of animal subjects will be considered for 
NASA support, the NASA Headquarters Research or Flight Program Manager 
must receive a statement that the research has been reviewed in 
accordance with the PHS Policy (IV.C.) and approved by the appropriate 
ACUC at the participating institution.
    (c) Proposal Approval for Flight Experiments. In addition to the 
institution's ACUC review, activities involving animal subjects to be 
flown on NASA spacecraft will be subject to review and approval by the 
Ames Research Center (ARC) ACUC. The ARC ACUC will submit each 
evaluation report to the ARC Director who will transmit the report with 
his/her recommendation to the Authorized NASA Official, NASA 
Headquarters. Animal activities to be flown onboard NASA manned 
spacecraft may also be subject to review by the Human Research Policy 
and Procedures Committee (HRPPC) at the Johnson Space Center (JSC). 
Animal activities utilizing the facilities of any NASA field 
installation are also subject to approval of that field installation's 
ACUC (Sec. 1232.105(d)).
    (d) Institutions with PHS Assurance on File. The institution, by an 
approved or provisionally acceptable Assurance on file at the NIH Office 
for Protection from Research Risks (OPRR), Department of Health and 
Human Services (HHS), assures NASA that it will comply with the PHS 
Policy. The Assurance file number must be included in

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the research proposal submitted to NASA.
    (e) Institutions with no PHS Assurance on File. Proposals from 
institutions without an approved Assurance on file with the NIH OPRR 
will first be peer-reviewed for scientific merit. If the proposed 
research is deemed worthy of support, NASA will arrange for a special 
Assurance to be negotiated by the Director, Life Sciences Division, NASA 
Headquarters. The arrangements for a special Assurance review by NIH 
should be undertaken in consultation with the NASA representative to the 
Interagency Research Animal Committee (IRAC) and will be handled on a 
case-by-case basis.
    (f) Foreign institutions must comply with the PHS Policy (see 
Section II Of PHS Policy) and this rule before being supported by NASA 
for any activities involving animal subjects.



Sec. 1232.105  Implementation procedures by NASA field installations.

    (a) Proposal Information. The information required for proposals 
involving the use of animal subjects is identical to that described in 
Sec. 1232.104(a).
    (b) Proposal Approval by the NASA ACUC. Before a proposal for 
research involving the use of animal subjects will be considered for 
NASA support, the NASA Headquarters Research or Flight Program Manager 
must receive a statement that the research has been reviewed in 
accordance with PHS Policy (IV.C.) and approved by the ACUC at the 
appropriate field installation.
    (c) Proposal Approval for Flight Experiments. In addition to the 
Field Installation ACUC review, activities involving animal subjects to 
be flown on NASA spacecraft will be subject to review and approval by 
the ARC ACUC. The ARC ACUC will submit each evalaution report to the ARC 
Director who will transmit the report with his/her recommendation to the 
Authorized NASA Official, NASA Headquarters. Animal activities to be 
flown onboard NASA manned spacecraft may also be subject to review by 
the HRPPC at JSC.
    (d) Approval for Use of Field Installation Facilities. The NASA 
Field Installation ACUC will review and approve or disapprove those 
parts of proposals that call for the use of their facilities to conduct 
any activity involving animal subjects (e.g., Kennedy Space Center or 
ARC Dryden facilities used to support experiments using animal 
subjects). The ACUC will submit each evaluation report to the Field 
Installation Director who will transmit the report with his/her 
recommendation to the Authorized NASA Official, NASA Headquarters.
    (e) NASA Animal Care and Use Committees. (1) The Director of each 
NASA Field Installation that is involved in animal research activities 
will establish an ACUC to ensure compliance with the policies and 
provisions of this rule. The membership of the ACUC shall be in 
accordance with PHS Policy.
    (2) The NASA Field Installation ACUC's will review and approve or 
disapprove all proposals using animal subjects. In accordance with the 
PHS Policy (IV.C.), the ACUC will submit each report to the Field 
Installation Director who will, upon request, transmit the report with 
his/her recommendation to the Authorized NASA Official, NASA 
Headquarters.
    (3) NASA ACUC's have the authority to approve, disapprove, or 
require changes to be made in those components of proposals involving 
the care and use of animal subjects that are submitted by NASA 
investigators. All decisions shall be based on the response of a 
majority of a quorum of the members. A minority opinion including 
abstentions should be recorded; this record should include a 
justification for the opinion.
    (4) The ACUC shall conduct continuing review of proposals at 
appropriate intervals as determined by the ACUC, but not less than once 
every 3 years.
    (5) Proposals that have been approved by the ACUC may be subject to 
further appropriate review by the Authorized NASA Official, NASA 
Headquarters. However, the official may not approve those sections of a 
proposal related to the care and use of animal subjects if they have not 
been approved by the ACUC.
    (6) Once experimental procedures are approved, no substantial 
changes can be made unless a formal request with

[[Page 198]]

appropriate justification for such a request is submitted to and 
approved by the appropriate ACUC. If the experiment involves exposure of 
the flight crew to the animal subjects, the HRPPC at JSC must review and 
approve the proposed modifications. Copies of ACUC approval of the 
proposed modifications shall be submitted to the Field Installation 
Director who will, upon request, transmit the report to the Authorized 
NASA Official, NASA Headquarters.
    (7) Other functions of the field installation ACUC include:
    (i) Reviewing at least once every 6 months the field installation's 
program for humane care and use of animals, using the Guide as a basis 
for evaluation;
    (ii) Inspecting at least once every 6 months all of the field 
installation's animal facilities (including satellite facilities), using 
the Guide as a basis for evaluation;
    (iii) Preparing reports of the ACUC evaluations conducted as 
required by Sec. 1232.105 (e)(7)(i) and (ii), and submitting the 
reports to the Field Installation Director. (Note: the reports shall be 
updated at least once every 6 months upon completion of the required 
semiannual evaluations and shall be maintained by the field installation 
and made available to the Authorized NASA Official upon request. The 
reports must contain a description of the nature and extent of the field 
installation's adherence to the Guide and this rule and must identify 
specifically any departures from the provisions of the Guide and this 
rule, and must state the reasons for each departure. The reports must 
distinguish significant deficiencies from minor deficiencies. A 
significant deficiency is one which, consistent with PHS Policy, and, in 
the judgment of the ACUC and the Field Installation Director, is or may 
be a threat to the health or safety of the animals. If program or 
facility deficiencies are noted, the reports must contain a reasonable 
and specific plan and schedule for correcting each deficiency.)
    (iv) Reviewing concerns involving the care and use of animals at the 
field installation;
    (v) Making recommendations to the Field Installation Director 
regarding any aspect of the field installation's animal program, 
facilities, or personnel training.
    (f) NASA Assurances. Each NASA field installation involved in 
activities using animal subjects must assure that its programs and 
facilities have been evaluated and accredited by the American 
Association for the Accreditation of Laboratory Animal Care (AAALAC). 
Written assurance of compliance with the provisions of the PHS Policy 
and this rule is also required from NASA field installations involved in 
animal activities before approval of any such activity. This Assurance 
should follow the sample PHS Assurance format shown on pages 19-26 of 
the PHS Policy and must be submitted by the Field Installation Director 
to the Authorized NASA Official. The Assurance is subject to renewal 
every 5 years.
    (g) Recordkeeping Requirements. (1) Each NASA field installation 
involved in activities using animal subjects shall maintain:
    (i) An Assurance of compliance with PHS Policy and this rule (Sec. 
1232.105 (f));
    (ii) Minutes of ACUC meetings, including records of attendance, 
activities of the committee, and committee deliberations;
    (iii) Records of applications, proposals, and proposed significant 
changes in the care and use of animals and whether ACUC approval was 
given or withheld;
    (iv) Records of semiannual ACUC reports and recommendations 
(including minority views) as forwarded to the Field Installation 
Director;
    (v) Records of AAALAC accreditation; and
    (vi) The Field Installation's Animal Users Guide and Animal Care 
Facility Management Manual. The Field Installation Animal Users Guide 
and Animal Care Facility Management Manual should be revised at 
appropriate intervals.
    (2) All records shall be maintained for at least 3 years; records 
that relate directly to applications, proposals, and proposed 
significant changes in ongoing activities reviewed and approved by the 
ACUC shall be maintained for the

[[Page 199]]

duration of the activity and for an additional 3 years after completion 
of the activity. All records shall be furnished upon request to the 
Authorized NASA Official.
    (h) Reporting Requirements. For each NASA field installation 
involved in activities using animal subjects:
    (1) Statements of ACUC approval of research proposals, ACUC 
evaluation reports of flight experiment proposals and of experiment 
proposals utilizing field installation facilities, and the field 
installation's Assurance of compliance shall be submitted in the manner 
prescribed in Sec. Sec. 1232.104(c) and 1232.105 (b), (c), (d), and 
(f).
    (2) At least once every 12 months, the ACUC, through the Field 
Installation Director, shall report in writing to the Authorized NASA 
Official:
    (i) Any change in the field installation's program or facilities 
that would affect the AAALAC accreditation status;
    (ii) Any change in the description of the field installation's 
program for animal care and use;
    (iii) Any changes in the ACUC membership;
    (iv) Notice of the dates that the ACUC conducted its semiannual 
evaluations of the field installation's program and facilities and 
submitted the evaluations to the Field Installation Director;
    (v) A statement that the field installation has no changes to report 
as specified in Sec. 1232.105(h)(2) (i), (ii), or (iii) of this rule, 
if there are no changes.
    (3) The ACUC, through the Field Installation Director, shall 
promptly provide the Authorized NASA Official with a full explanation of 
the circumstances and actions taken with respect to:
    (i) Any serious or continuing noncompliance with this rule and PHS 
Policy;
    (ii) Any serious deviation from the provisions of the Guide; or
    (iii) Any suspension of an activity by the ACUC.
    (4) Reports filed under Sec. 1232.105 (h) of this rule shall 
include any minority views filed by members of the ACUC.
    (5) A copy of the U.S. Department of Agriculture (USDA) Annual 
Report will be furnished to the Authorized NASA Official.



Sec. 1232.106  Management authority and responsibility.

    (a) Authorized NASA Official. The Authorized NASA Official is the 
NASA Administrator's representative and is responsible for all NASA 
activities involving animal subjects. This individual is responsible for 
implementation of the provisions of this rule and for ensuring that 
agency programs involving animal subjects comply fully with all 
applicable laws, regulations, and guidelines.
    (b) Field Installation Director. The Field Installation Director is 
responsible for and has the authority to:
    (1) Sign the field installation's Assurance, making a commitment on 
behalf of the field installation that the requirements of the PHS Policy 
and this rule will be met in all field installation activities involving 
animal subjects;
    (2) Create and oversee the functioning of the field installation 
ACUC;
    (3) Decide and administer sanctions in cases of noncompliance with 
this rule;
    (4) Fulfill the reporting requirements assigned to this individual 
in Sec. 1232.105(h); and
    (5) Sign the annual USDA report.
    (c) NASA Field Installation(s) ACUC Responsibility. Each NASA Field 
Installation ACUC is responsible to its Field Installation Director for 
the activities described in Sec. Sec. 1232.104(c) and 1232.105 (b), 
(c), (d), (e) and (h).
    (d) Research or Flight Program Manager Responsibility. The Research 
or Flight Program Manager is responsible for ascertaining the presence 
of the required PHS Assurance file number for proposals involving animal 
subjects received from non-NASA institutions, and a statement of ACUC 
review and approval of all NASA and non-NASA proposals involving animal 
subjects. No awards for activities involving animal subjects can be made 
without this documentation [see Sec. Sec. 1232.104 (b) and (d) and 
1232.105(b)].
    (e) NASA Veterinarian(s) Responsibility. NASA veterinarian(s) have 
direct or delegated authority and responsibility for activities 
involving animal subjects at their field installation. Such authority 
and responsibilities shall include recommending approval or disapproval 
of procedures involving

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animal subjects as a member of the ACUC, continual monitoring of these 
activities, surveillance of the health and condition of animal subjects, 
and reporting any observed deviations from approved procedures involving 
animal subjects to the Field Installation Director and the ACUC. In the 
case of deviation from ACUC-approved practices or procedures, the 
veterinarian shall have the authority to immediately halt such 
procedures until they are reviewed and resolved by the ACUC. In cases of 
a conflict concerning animal usage by an investigator that cannot be 
resolved between him/her and the veterinarian, the matter may be brought 
to the attention of the Field Installation ACUC for review and 
recommendation for action as set forth in this rule. Whereas the 
performance of the veterinarian's duties can be delegated to other 
qualified individuals, the ultimate responsibility rests with the 
veterinarian. This responsibility extends not only to the Animal Care 
Facility (ACF), but also to other locations where animal subjects are 
used.
    Other specific areas of responsibility and authority vested in the 
veterinarian are:
    (1) Entry of personnel into the ACF. The veterinarian has the 
responsibility to develop access procedures to the ACF and submit them 
to the ACUC for approval.
    (2) Personnel Training. The veterinarian will participate in the 
training of personnel in the handling of animal subjects and in specimen 
sampling procedures.
    (3) Animal Training. The veterinarian will monitor all schedules and 
procedures involving the training and acclimation of animal subjects.
    (4) Surgery and Surgical Procedures. The veterinarian will monitor 
all surgical procedures and verify that the principles of the Guide with 
regard to aseptic surgery are employed. Post-surgical recovery 
procedures are included. If necessary, training will be provided by the 
veterinarian to bring procedures conducted by investigators to the level 
of these standards.
    (5) Veterinary Medical and Engineering Procedures. The veterinarian 
will monitor all veterinary medical and engineering procedures performed 
on animal subjects and verify their appropriateness. The veterinarian 
will actively participate in identifying and/or establishing the design 
requirements and adequacy of animal facilities for ground and 
spaceflight-related activities.
    (f) NASA Representative to the Interagency Research Animal Committee 
(IRAC). The NASA representative to the IRAC will obtain information of 
all cases in which an institution's Assurance has been revoked by the 
PHS. The NASA IRAC representative will notify NASA ACUC's, Field 
Installation Directors, the Authorized NASA Official, and all 
Headquarters Research and Flight Program Managers so that they can 
determine which NASA awards involving the use of animal subjects are 
affected and can take appropriate sanctions.



Sec. 1232.107  Sanctions.

    (a) Non-NASA Institutions. Principal investigators not employed by 
NASA whose activities are supported by NASA but whose activities using 
animal subjects are restricted to non-NASA facilities shall be subject 
to the control of their institution's ACUC and responsible institutional 
official. Notification of noncompliance with this rule shall be made 
either as described in Sec. 1232.106(f) or by the non-NASA institution 
to the Director of the NASA Field Installation through which the 
activity has been supported and to the Authorized NASA Official. Any 
continued noncompliance may be caused for termination of funding or 
support.
    (b) NASA Field Installations. (1) Inappropriate procedures on animal 
subjects by NASA principal investigators shall be halted by the NASA 
Field Installation Veterinarian or line management and brought to the 
attention of the ACUC if the issue cannot be immediately resolved. The 
ACUC will review the activity and report any noncompliance with this 
rule to the Field Installation Director. Principal investigators not 
employed by NASA, whose activities using animal subjects are performed 
in NASA facilities, aircraft, or spacecraft, are subject to similar 
action. Such noncompliance will be cause

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for sanctions. The principal investigator can contest, in writing, these 
decisions to the ACUC.
    (2) The ACUC as the agent of the Field Installation Director may 
suspend an activity that it previously approved if it determines that 
the activity is not being conducted in accordance with applicable 
provisions of the Animal Welfare Act, the Guide, PHS Policy 
requirements, or this rule.
    (3) Any suspension or termination of approval will include a 
statement of the reasons for the action and will be promptly reported to 
the principal investigator and the appropriate Field Installation 
Director. In the case of investigators from non-NASA institutions, 
notification should be sent to the investigator, the appropriate 
institution, and the Director of the Field Installation through which 
the activity has been supported. If the ACUC suspends an activity 
involving animal subjects, the Field Installation Director in 
consultation with the ACUC shall review the reasons for suspension, take 
appropriate corrective action, and report that action with a full 
explanation to the Authorized NASA Official, NASA Headquarters. If an 
ACUC recommends disapproval suspension, termination, or conditional 
approval of an activity, the principal investigator will be given the 
opportunity to ask for reconsideration of the decision in person and/or 
in writing to the appropriate NASA ACUC.
    (4) If, after notification of the Field Installation Director and an 
opportunity for correction, such deficiencies or deviations remain 
uncorrected, the ACUC will notify (in writing) the Authorized NASA 
Official, NASA Headquarters, who is then responsible for all corrective 
action to be taken.



PART 1240--INVENTIONS AND CONTRIBUTIONS--Table of Contents




      Subpart 1--Awards for Scientific and Technical Contributions

Sec.
1240.100 Purpose.
1240.101 Scope.
1240.102 Definitions
1240.103 Criteria.
1240.104 Applications for awards.
1240.105 Special procedures--NASA and NASA contractor employees.
1240.106 Review and evaluation of contribution.
1240.107 Notification by the Board.
1240.108 Reconsideration.
1240.109 Hearing procedure.
1240.110 Recommendation to the Administrator.
1240.111 Release.
1240.112 Presentation of awards.
1240.113 Financial accounting.
1240.114 Delegation of authority.

    Authority: Section 306 of the National Aeronautics and Space Act of 
1958, as amended (42 U.S.C. 2458), and the Federal Technology Transfer 
Act of 1986, sec. 12, 15 U.S.C. 3710b(1).

    Source: 67 FR 31120, May 9, 2002, unless otherwise noted.



      Subpart 1--Awards for Scientific and Technical Contributions



Sec. 1240.100  Purpose.

    This subpart prescribes procedures for submitting applications for 
monetary awards to the Administrator of NASA for scientific and 
technical contributions which have significant value in the conduct of 
aeronautical and space activities pursuant to 42 U.S.C. 2458, and 
establishes the awards program consistent with the Federal Technology 
Transfer Act of 1986, section 12, 15 U.S.C. 3710b(1).



Sec. 1240.101  Scope.

    This subpart applies to any scientific or technical contribution, 
whether or not patentable, which is determined by the Administrator 
after referral to the Inventions and Contributions Board to have 
significant value in the conduct of aeronautical and space activities 
for which an application for award has been submitted to NASA under 42 
U.S.C. 2458.



Sec. 1240.102  Definitions.

    As used in this subpart:
    (a) Administrator means the Administrator of the National 
Aeronautics and Space Administration.
    (b) Board means the NASA Inventions and Contributions Board.
    (c) Chairperson means the Chairperson of the NASA Inventions and 
Contributions Board.

[[Page 202]]

    (d) Commercial quality refers to computer software that is not in an 
experimental or beta phase of development, that performs in accordance 
with its specifications, and includes documentation describing the 
software's form and function.
    (e) Contract means any contract, agreement, understanding, or other 
arrangement with NASA or another Government Agency on NASA's behalf, 
including any assignment, substitution of parties, or subcontract 
executed or entered into thereunder.
    (f) Contractor means the party who has undertaken to perform work 
under a contract or subcontract.
    (g) Innovation means a mathematical, engineering or scientific 
concept, idea, design, process, or product, reported as new technology 
on NASA Form 1679.
    (h) Innovator means any person listed as a contributor, inventor, or 
author of an innovation.
    (i) Invention includes any act, method, process, machine, 
manufacture, design, or composition of matter, or any new and useful 
improvement thereof, or any variety of plant, which is or may be 
patentable under the patent laws of the United States or any foreign 
country.
    (j) Qualified User means any person that has legally acquired 
computer software and has the right to use it for a legal purpose.
    (k) Verified means passing rigorous testing to ascertain whether the 
functionality claimed in the innovation's documentation is realized.



Sec. 1240.103  Criteria.

    (a) Only those contributions to NASA which have been:
    (1) Used in a NASA program or adopted or sponsored or supported by 
NASA, and
    (2) Found to have significant value in the conduct of aeronautical 
and space activities, will be recommended for award under this subpart.
    (b) In determining the amount, terms, and conditions of any award, 
the following criteria will be considered:
    (1) The value of the contribution to the United States;
    (2) The aggregate amount of any sums which have been expended by the 
applicant for the development of such contribution;
    (3) The amount of any compensation (other than salary received for 
services rendered as an officer or employee of the Government) 
previously received by the applicant for or on account of the use of 
such contributions by the United States; and
    (4) Such other factors as the Administrator shall determine to be 
material.



Sec. 1240.104  Applications for awards.

    (a) Eligibility. Applications for award may be submitted by any 
person including any individual, partnership, corporation, association, 
institution, or other entity.
    (b) Information required. Applications for award should be addressed 
to the Inventions and Contributions Board (herein referred to as the 
Board), National Aeronautics and Space Administration, Washington, DC 
20546-0001, and will contain:
    (1) The name and address of the applicant, the person's relationship 
to the contributor if the contribution is made by one other than the 
applicant, and the names and addresses of any others having information 
as to the value or usage of the contribution;
    (2) A complete written description of the contribution, in the 
English language, using electronic media, accompanied by drawings, 
sketches, diagrams, or photographs illustrating the nature of the 
contribution and the technical and scientific principles upon which it 
is based, any available test or performance data or observations of 
pertinent scientific phenomena, and the aeronautics or space application 
of the contribution;
    (3) The date and manner of any previous submittal of the 
contribution to any other United States Government agency, and the name 
of such agency;
    (4) The aggregate amount of any sums which have been expended by the 
applicant for the development of the contribution;
    (5) The nature and extent of any known use of the contribution by 
the United States and by any agency of the United States Government;
    (6) The amount of any compensation (other than salary received for 
services rendered as an officer or employee of

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the Government) previously received by the applicant for or on account 
of the use of such contribution by the United States;
    (7) Identification of any United States and foreign patents applied 
for or issued relating to the contribution; and
    (8) An agreement to surrender all claims which such applicant may 
have for the use of such contribution by the Government.
    (c) General. (1) Each contribution will be made the subject of a 
separate application in order that each contribution may be evaluated 
individually.
    (2) Material constituting a possible hazard to safety or requiring 
unusual storage facilities should not be submitted, and will not be 
accepted. Models or intricate exhibits demonstrating the contribution 
will not be accepted unless specifically requested by the Board. In 
those few cases where such models or exhibits have been submitted 
pursuant to a request made by the Board, the same will be returned to 
the applicant upon written request from the applicant.
    (3) It is the policy of the Board to use or disclose information 
contained in applications for awards for evaluation purposes only. 
Applications for awards submitted with restrictive legends or statements 
differing from this policy will be treated in accordance with the 
Board's policy.



Sec. 1240.105  Special procedures--NASA and NASA contractor employees.

    (a) A NASA Headquarters office, a NASA field installation, or a NASA 
contractor may submit to the Board an application for an award 
identifying the originator(s) of any scientific or technical 
contribution conceived or developed during the performance of a NASA 
program or contract, and which is considered to be of value in advancing 
the state of knowledge in space or aeronautical activities, whether or 
not the contribution is the subject of a NASA Tech Brief, software 
approved for public release, or of a U.S. patent application.
    (b) The Board will recommend to the Administrator or a designee that 
an initial award of at least $1,000 be granted to a sole inventor, or 
$500 each to joint inventors, upon submittal of NASA Form 1688 by either 
the Associate General Counsel for Intellectual Property, for an 
invention made and reported by a NASA Headquarters employee or an 
employee of a NASA Headquarters contractor, or a patent counsel at a 
NASA field installation for an invention made and reported by an 
employee of that installation or by an employee of an installation 
contractor, has filed a nonprovisional U.S. patent application or that a 
continuation-in-part or divisional patent has been issued. The Board is 
authorized to recommend a supplemental monetary award in an amount that 
will be based on the evaluation of the technical and commercial merits 
of the invention. No additional award will be given for a continuation 
patent application where an initial award was authorized for the parent 
application and this parent application will be or has been abandoned. 
In addition, initial awards will not be granted for provisional 
applications under 35 U.S.C. 111(b) or reissue applications under 35 
U.S.C. 251.
    (c) When the Board receives written notice (NASA Form 1688) that a 
NASA Center has approved for release to qualified users a software 
package based on an innovation made and reported by an employee of NASA 
or a NASA contractor on NASA Form 1679, the Board will recommend to the 
Administrator or designee that an initial award of at least $1,000 be 
granted to a sole innovator, and an award of at least $500 will be 
granted to each originator of the innovation if there is more than one. 
The Board is authorized to recommend a supplemental monetary award in an 
amount that will be based on the evaluation of the technical and 
commercial merits of the innovation. No contribution may receive this 
award unless:
    (1) NASA has an ownership interest in the software; i.e., NASA has 
the unrestricted use of the software in perpetuity at no charge from any 
other entity;
    (2) The software is of commercial quality; i.e., is not in 
experimental or beta phases of development and includes documentation, 
either in paper or electronic formats, describing the software's form 
and function;

[[Page 204]]

    (3) The software has been verified to perform the functions claimed 
in its documentation on the platform for which it was designed without 
harm to the systems or data contained within; and,
    (4) The software has been distributed to qualified users upon the 
written approval for release by Center management.
    (d) Software dissemination awards are not eligible to receive 
selected Tech Brief awards based upon the publication of an announcement 
of availability in ``NASA Tech Briefs.''
    (e) When the Board receives written notice (NASA Form 1688) that a 
NASA Center has approved for publication a selected NASA Tech Brief 
based on an innovation made and reported by an employee of NASA or a 
NASA contractor on NASA Form 1679, the Board will recommend to the 
Administrator or designee that an initial award of at least $350 be 
granted, and an award of at least that amount will be granted to each 
originator of the innovation. The Board is authorized to recommend a 
supplemental monetary award in an amount that will be based on the 
evaluation of the technical and commercial merits of the innovation.
    (f) When a selected NASA Tech Brief has been approved for 
publication, and/or a NASA Center has approved the release of a software 
package, and/or the filing of a U.S. patent application has been 
authorized for the same contribution, the initial awards authorized in 
paragraphs (b), (c), and (e) of this section will be cumulative.
    (g) Initial awards authorized in paragraphs (b), (c), and (e) of 
this section may not exceed a total of $5,000 per category. Such cases, 
wherein a large number of multiple innovators are contributors, must be 
submitted for formal evaluation by the Board on a NASA Form 1329 or 
1329A.
    (h) Awards authorized in paragraphs (a), (b), (c), and (e) of this 
section will not be granted to a contributor who has previously received 
full compensation for, or on account of, the use of such a contribution 
by the United States.
    (i) If a contribution, as first reported and evaluated, is judged 
not to merit a supplemental award, as provided for in paragraphs (a), 
(b), (c), or (e) of this section, or the contribution is later proved to 
be of more significant value, it may be submitted for reevaluation on 
NASA Form 1329A. Responsible NASA and NASA contractor officials are 
encouraged to periodically review such reported contributions, and to 
resubmit them for reconsideration through the same channels as 
originally reported.



Sec. 1240.106  Review and evaluation of contribution.

    (a) A contribution will be initially reviewed by the Board on the 
basis of the material submitted by the applicant under Sec. 
1240.104(b).
    (b) If it is determined that the contribution has been used in a 
NASA program, or adopted or sponsored or supported by NASA, the 
contribution will be evaluated for its significant value in the conduct 
of aeronautical or space activity.
    (c) The Board will recommend an award for such contribution when, 
upon evaluation of its scientific and technical merits, it is determined 
to warrant an award of at least $500.



Sec. 1240.107  Notification by the Board.

    (a) With respect to each completed application where the Board has 
recommended to the Administrator the granting of an award, and the 
Administrator has approved such award, the Board will notify the 
applicant of the amount and terms of the award. In the case of NASA 
employees or employees of NASA contractors, such notification will 
normally be made through the appropriate NASA field installation 
representative.
    (b) Except for applications from NASA employees or employees of NASA 
contractors, where the Board does not propose to recommend to the 
Administrator the granting of an award, a notification will be provided 
which includes a brief statement of the reasons for such decision.



Sec. 1240.108  Reconsideration.

    (a) In those cases where the Board does not recommend an award, the 
applicant may, within such period as the Board may set but in no event 
less

[[Page 205]]

than 30 days from notification, request reconsideration of the Board's 
decision.
    (b) If reconsideration has been requested within the prescribed 
time, the applicant will, within 30 days from the date of the request 
for reconsideration, or within any other time as the Board may set, file 
its statement setting forth the issues, points, authorities, arguments, 
and any additional material on which it relies.
    (c) Upon filing of the reconsideration statement by the applicant, 
the case will be assigned for reconsideration by the Board upon the 
contents of the application, the record, and the reconsideration 
statement submitted by the applicant.
    (d) If after reconsideration, the Board again does not propose to 
recommend the granting of an award, the applicant, after such 
notification by the Board, may request an oral hearing within the time 
set by the Board.
    (e) An oral hearing without reconsideration may be granted upon 
determination of the Chairperson that good cause exists to do so.



Sec. 1240.109  Hearing procedure.

    (a) An Oral hearing held by the Board will be in accordance with the 
following procedures:
    (1) If the applicant requests a hearing within the time set in 
accordance with Sec. 1240.108(d) or (e), the Board will set a place and 
date for such hearing and notify the applicant.
    (2) The applicant may be represented by an attorney or any other 
appropriately designated person.
    (3) Hearings will be open to the public unless the applicant 
requests that a closed hearing be held.
    (4) Hearings may be held before the full membership of the Board or 
before any panel of Board members designated by the Chairperson.
    (5) Hearings will be conducted in an informal manner with the 
objective of providing the applicant with a full opportunity to present 
evidence and arguments in support of the application. Evidence may be 
presented through means of such witnesses, exhibits, and visual aids as 
are arranged for by the applicant. While proceedings will be ex parte, 
members of the Board and its counsel may address questions to witnesses 
called by the applicant, and the Board may, at its option, utilize the 
assistance and testimony of technical advisors or other experts.
    (6) Subject to the provisions of Sec. 1240.104(c)(2), the applicant 
will submit a copy of any exhibit or visual aid utilized unless 
otherwise directed by the Board. The Board may, at its discretion, 
arrange for a written transcript of the proceedings and a copy of such 
transcript will be made available by the recorder for purchase by the 
applicant.
    (7) No funds are available to defray traveling expenses or any other 
cost incurred by the applicant.



Sec. 1240.110  Recommendation to the Administrator.

    Upon a determination by the Board that a contribution merits an 
award, the Board will recommend to the Administrator or a designee the 
terms and conditions of the proposed award, including a specific amount 
and distribution thereof for any multiple contributors. The 
recommendation of the Board to the Administrator or designee will 
reflect the views of the majority of the Board members. Dissenting views 
may be transmitted with the majority opinion.



Sec. 1240.111  Release.

    Under subsection 306(b)(1) of the National Aeronautics and Space Act 
of 1958, as amended, no award will be made to an applicant unless the 
applicant submits a duly executed release, in a form specified by the 
Administrator, of all claims the applicant may have to receive any 
compensation (other than the award recommended) from the United States 
Government for use of the contribution or any element thereof at any 
time by or on behalf of the United States, or by or on behalf of any 
foreign government pursuant to any existing or future treaty or 
agreement with the United States, within the United States, or at any 
other place.



Sec. 1240.112  Presentation of awards.

    (a) Monetary awards and accompanying written acknowledgments to 
employees of NASA will be presented

[[Page 206]]

in a formal ceremony by the appropriate Official-in-Charge at the 
Headquarters Office, or by the Director of the cognizant field 
installation or designee.
    (b) Monetary awards and accompanying written acknowledgments to 
employees of NASA contractors will be forwarded to contractor officials 
for suitable presentation.



Sec. 1240.113  Financial accounting.

    (a) An Award Check Receipt (NHQ DIV Form 622), which accompanies the 
transmittal of each group of award checks from the Board will be dated 
and signed by the responsible NASA Center representative and returned to 
the Board without delay.
    (b) Not later than December 10 of each year, the responsible field 
installation official will submit a report certifying that all award 
checks, which were issued and received by the field installation during 
the year, have been delivered to the proper employees of NASA and 
employees of NASA contractors. In the case of those checks that have not 
been delivered by December 10, the certification report will be 
accompanied by all undelivered checks and a brief explanation of the 
reasons for the failure to make delivery. This annual certification 
report is essential in order to ensure that income and withholding tax 
totals for all awardees are correct and complete at the close of each 
calendar year.



Sec. 1240.114  Delegation of authority.

    (a) The Associate Administrator for Aerospace Technology and the 
Chairperson, Inventions and Contributions Board, are delegated authority 
to execute grants of awards for significant scientific or technical 
contributions not exceeding $2,000 per contributor, when in accordance 
with the recommendation of the Board and in conformity with applicable 
law and regulations.
    (b) The Chairperson, Inventions and Contributions Board, is 
delegated authority to execute grants of initial awards upon the 
decision to file for a U.S. patent application, release software to 
qualified users, and/or upon approval to publish a selected NASA Tech 
Brief.
    (c) No redelegation is authorized except by virtue of succession.
    (d) The Chairperson, Inventions and Contributions Board, will ensure 
that feedback is provided so that the Administrator, through official 
channels, is immediately informed of significant actions, problems, or 
other matters of substance related to the exercise of the authority 
delegated in this section.

                          PART 1241 [RESERVED]



PART 1245--PATENTS AND OTHER INTELLECTUAL PROPERTY RIGHTS--Table of Contents




                  Subpart 1--Patent Waiver Regulations

Sec.
1245.100 Scope.
1245.101 Applicability.
1245.102 Definitions and terms.
1245.103 Policy.
1245.104 Advance waivers.
1245.105 Waiver after reporting inventions.
1245.106 Waiver of foreign rights.
1245.107 Reservations.
1245.108 License to contractor.
1245.109 Assignment of title to NASA.
1245.110 Content of petitions.
1245.111 Submission of petitions.
1245.112 Notice of proposed Board action and reconsideration.
1245.113 Hearing procedure.
1245.114 Findings and recommendations of the Board.
1245.115 Action by the Administrator.
1245.116 Miscellaneous provisions.
1245.117 March-in and waiver revocation procedures.
1245.118 Record of decisions.

Subpart 2 [Reserved]

                 Subpart 3--NASA Foreign Patent Program

1245.300 Scope of subpart.
1245.301 Inventions under NASA contracts.
1245.302 Inventions by NASA employees.
1245.303 Criteria.
1245.304 Procedures.

             Subpart 4--Foreign Patent Licensing Regulations

1245.400 Scope of subpart.
1245.401 Policy.
1245.402 Types of licenses and terms and conditions.
1245.403 Government license.
1245.404 Enforcement of patent rights.

[[Page 207]]

1245.405 Procedures.

Subpart 5--Authority and Delegations to Take Certain Actions Relating to 
             Patents and Other Intellectual Property Rights

1245.500 Scope.
1245.501 General Counsel.
1245.502 Associate General Counsel for Intellectual Property.
1245.503 Patent Counsel of Field Installations.
1245.504 Further redelegation.



                  Subpart 1--Patent Waiver Regulations

    Authority: 42 U.S.C. 2457, 35 U.S.C. 200 et seq.

    Source: 52 FR 43748, Nov. 16, 1987, unless otherwise noted.



Sec. 1245.100  Scope.

    This subpart prescribes regulations for the waiver of rights of the 
Government of the United States to inventions made under NASA contract 
in conformity with section 305 of the National Aeronautics and Space Act 
of 1958, as amended (42 U.S.C. 2457).



Sec. 1245.101  Applicability.

    The provisions of the subpart apply to all inventions made or which 
may be made under conditions enabling the Administrator to determine 
that the rights therein reside in the Government of the United States 
under section 305(a) of the National Aeronautics and Space Act of 1958, 
as amended, 42 U.S.C. 2457(a). The provisions do not apply to inventions 
made under any contract, grant, or cooperative agreement with a 
nonprofit organization or small business firm that are afforded the 
disposition of rights as provided in 35 U.S.C. 200-204 (Pub. L. 96-517, 
94 Stat. 3019, 3020, 3022 and 3023; and Pub. L. 98-620, 98 Stat. 3364-
3367).



Sec. 1245.102  Definitions and terms.

    As used in this subpart:
    (a) Contract means any actual or proposed contract, agreement, 
understanding, or other arrangement with the National Aeronautics and 
Space Administration (NASA) or another Government agency on NASA's 
behalf, including any assignment, substitution of parties, or 
subcontract executed or entered into thereunder, and including NASA 
grants awarded under the authority of 42 U.S.C. 1891-1893.
    (b) Contractor means the party who has undertaken to perform work 
under a contract or subcontract.
    (c) Invention includes any art, method, process, machine, 
manufacture, design, or composition or matter, or any new and useful 
improvement thereof, or any variety of plant, which is or may be 
patentable under the Patent Laws of the United States of America or any 
foreign country.
    (d) Made, when used in relation to any invention, means the 
conception or first actual reduction to practice of such invention.
    (e) Practical application means to manufacture in the case of a 
composition or product, to practice in the case of a process or method, 
or to operate in the case of a machine or system; and, in each case, 
under such conditions as to establish that the invention is being 
utilized and that its benefits are to the extent permitted by law or 
Govenment regulations available to the public on reasonable terms.
    (f) Board means the NASA Inventions and Contributions Board 
established by the Administrator of NASA within the Administration under 
section 305(f) of the National Aeronautics and Space Act of 1958, as 
amended (42 U.S.C. 2457(f)).
    (g) Chairperson means Chairperson of the NASA Inventions and 
Contributions Board.
    (h) Petitioner means a contractor or prospective contractor who 
requests that the Administrator waive rights in an invention or class of 
inventions made or which may be made under a NASA contract. In the case 
of an identified invention, the petitioner may be the inventor(s).
    (i) Government agency includes any executive department, independent 
commission, board, office, agency, administration, authority, Government 
corporation, or other Government establishment of the executive branch 
of the Government of the United States of America.
    (j) Administrator means the Administrator of the National 
Aeronautics and

[[Page 208]]

Space Administration or the Administrator's duly authorized 
representative.



Sec. 1245.103  Policy.

    (a) In implementing the provisions of section 305(f) of the National 
Aeronautics and Space Act of 1958, as amended (42 U.S.C. 2457(f)), and 
in determining when the interests of the United States would be served 
by waiver of all or any part of the rights of the United States in 
inventions made in the performance of work under NASA contracts, the 
Administrator will be guided by the objectives set forth in the National 
Aeronautics and Space Act of 1958, as amended (42 U.S.C. 2451-2477) and 
by the basic policy of the Presidential Memorandum and Statement of 
Government Patent Policy to the Heads of the Executive Departments and 
agencies dated February 18, 1983. Among the most important goals are to 
provide incentives to foster inventiveness and encourage the reporting 
of inventions made under NASA contracts, to provide for the widest 
practicable dissemination of new technology resulting from NASA 
programs, and to promote early utilization, expeditious development, and 
continued availability of this new technology for commercial purposes 
and the public benefit. In applying this regulation, both the need for 
incentives to draw forth private initiatives and the need to promote 
healthy competition in industry must be weighed.
    (b) Several different situations arise when waiver of all or any 
part of the rights of the United States may be requested and are 
prescribed in Sec. Sec. 1245.104-1245.106. Under Sec. 1245.104, 
advance waiver of rights to any or all of the inventions which may be 
made under a contract may be requested prior to the execution of the 
contract, or within 30 days after execution of the contract. Waiver of 
rights to an identified invention made and reported under a contract are 
to be requested under Sec. 1245.105, and may be requested under this 
provision even though a request under Sec. 1245.104 was not made, or if 
made, was not granted. Waiver of foreign rights under Sec. 1245.106 may 
be requested concurrently with domestic rights under Sec. 1245.104 or 
Sec. 1245.105, or may be made independently.
    (c) With respect to inventions which may be or are made or conceived 
in the course of or under contracts for research, development or 
demonstration work awarded by NASA on behalf of the Department of Energy 
(DOE) or in support of a DOE program, on a reimbursable basis pursuant 
to agreement between DOE and NASA, the waiver policy, regulations, and 
procedures of DOE will be applied. NASA will normally grant waiver of 
rights to inventions made under contracts awarded by NASA on behalf of, 
or in support of, programs funded by another Government agency, unless 
the funding agency recommends and justifies denial of the waiver. See 
Sec. Sec. 1245.110(c) and 1245.111(b).



Sec. 1245.104  Advance waivers.

    (a) The provisions of this section apply to petitions for waiver of 
domestic rights to any or all of the inventions which may be made under 
a contract.
    (b) The NASA Inventions and Contributions Board normally will 
recommend grant of a request for advance waiver of domestic rights 
submitted prior to execution of contract or within 30 days after 
execution of the contract unless the Board finds that the interests of 
the United States will be better served by restricting or eliminating 
all or part of the rights of the contractor in one or more of the 
following situations:
    (1) When the contractor is not located in the United States or does 
not have a place of business in the United States or is subject to the 
control of a foreign government;
    (2) When a determination has been made by Government authority which 
is authorized by statute or Executive order to conduct foreign 
intelligence or counter-intelligence activities that the restriction or 
elimination of the right to retain title to any inventions made in the 
performance of work under the contract is necessary to protect the 
security of such activities; or
    (3) Where the Board finds that exceptional circumstances exist, such 
that restriction or elimination of the right

[[Page 209]]

to retain title will better promote one or more of the following 
objectives:
    (i) Promoting the utilization of inventions arising from federally 
supported research and development;
    (ii) Encouraging maximum participation of industry in federally-
supported research and development;
    (iii) Ensuring that inventions are used in a manner to promote free 
competition and enterprise;
    (iv) Promoting the commercialization and public availability of 
inventions made in the United States by United States industry and 
labor; and
    (v) Ensuring that the Government obtains sufficient rights in 
federally-supported inventions to meet the needs of the Government and 
protect the public against nonuse or unreasonable use of inventions.
    (c)(1) An advance waiver, when granted, will be subject to the 
reservations set forth in Sec. 1245.107. Normally, the reservations of 
Sec. 1245.107(a), License to the Government, and Sec. 1245.107(b), 
March-in rights, will apply. However, should one or more of the 
situations set forth in paragraphs (b)(1) through (b)(3), of this 
section exist, rather than denying the advance waiver request, the Board 
may recommend restricting or eliminating only part of the rights of the 
contractor to the extent necessary to address the particular situation, 
consistent with the policy and goals of Sec. 1245.103. In that event, 
the waiver grant will be subject to additional reservations as provided 
for in Sec. 1245.107(c).
    (2) An advance waiver, when granted, will apply only to inventions 
reported to NASA under the applicable terms of the contract and a 
designation made within 6 months of the time of reporting (or a 
reasonable time thereafter permitted for good cause shown) that the 
contractor elects title to the invention and intends to file or has 
filed a U.S. patent application. Such election will be made by 
notification in writing to the patent representative designated in the 
contract. Title to all other inventions made under the contract are 
subject to section 305(a) of the National Aeronautics and Space Act of 
1958, as amended, 42 U.S.C. 2457(a). The granting of the advance waiver 
does not otherwise relieve a contractor of any of the invention 
identification or reporting requirements set forth in the applicable 
patent rights clause in the contract.
    (3) The waiver shall extend to the invention claimed in any patent 
application filed on the reported invention, including any subsequent 
divisional or continuation application thereof, provided the claims of 
the subsequent application do not substantially change the scope of the 
reported invention.
    (d) When a petition for waiver is submitted under paragraph (b) of 
this section, prior to contract execution, it will be processed 
expeditiously so that a decision on the petition may be reached prior to 
execution of the contract. However, if there is insufficient time or 
insufficient information is presented, or for other reasons which do not 
permit a recommendation to be made without unduly delaying execution of 
the contract, the Board will inform the contracting officer that no 
recommendation has been made and the reasons therefor. The contracting 
officer will then notify the petitioner of the Board's action.
    (e) After notification by the contracting officer under paragraph 
(d) of this section, the petitioner may, upon its execution of the 
contract, or within 30 days, request the Board to reconsider the matter 
under paragraph (b) of this section either on the record or with any 
additional statements submitted in the subpart of the original petition.
    (f) A waiver granted pursuant to a petition submitted under this 
section shall extend to any contract changes, modifications, or 
supplemental agreements, so long as the purpose of the contract or the 
scope of work to be performed is not substantially changed.



Sec. 1245.105  Waiver after reporting inventions.

    (a) The provisions of this section apply to petitions for waiver of 
domestic rights to identified inventions which have been reported to 
NASA and to which a waiver of rights has not been granted pursuant to 
Sec. 1245.104.
    (b)(1) When an individual identified invention has been reported to 
NASA under the applicable terms of the contract and waiver of rights has 
not been

[[Page 210]]

granted under Sec. 1245.104, the Board normally will recommend grant of 
a request for waiver of domestic rights to such invention if the request 
is received within 8 months of first disclosure to NASA (or such longer 
period that the Board may permit for good cause shown), unless the Board 
finds that one or more of the situations set forth in Sec. 
1245.104(b)(3)(i) through (v) exist. When granted, the waiver will be 
subject to the reservations set forth in Sec. 1245.107 in the same 
manner as discussed in Sec. 1245.104(c)(1).
    (2) The waiver shall extend to the invention claimed in the patent 
application filed on the reported invention, including any subsequent 
divisional or continuation application thereof, provided the claims of 
the subsequent application do not substantially change the scope of the 
reported invention.



Sec. 1245.106  Waiver of foreign rights.

    (a) The Board will consider the waiver of foreign rights in any 
designated country concurrently with the waiver of domestic rights when 
so requested under Sec. 1245.104 or Sec. 1245.105.
    (b) The Board will also consider a separate request for foreign 
rights for an individual identified invention in any designated country 
if a request was not made pursuant to paragraph (a) of this section, or 
for countries not designated pursuant to paragraph (a) of this section.
    (c) Waiver of foreign rights will normally be granted under 
paragraph (a) or paragraph (b) of this section in any designated country 
unless; (1) The Board finds that the economic interests of the United 
States will not be served thereby; or unless (2) in the case of an 
individual identified invention under paragraph (b) of this section, 
NASA has determined, prior to the request, to file a patent application 
in the designated country.
    (d) If, subsequent to the granting of the petition for foreign 
rights, the petitioner requests and designates additional countries in 
which it wishes to secure patents, the Chairperson may grant such 
request, in whole or in part, without further action by the Board.



Sec. 1245.107  Reservations.

    (a) License to the Government. Any invention for which waiver of 
domestic or foreign rights has been granted under this subpart shall be 
subject to the reservation by the Administrator of an irrevocable, 
nonexclusive, nontransferable, royalty-free license for the practice of 
the invention throughout the world by or on behalf of the United States 
or any foreign government pursuant to any treaty or agreement with the 
United States.
    (b) March-in rights. For any invention for which waiver of rights 
has been granted under this subpart, NASA has the right in accordance 
with 35 U.S.C. 203 and 210, and with the procedures set forth in Sec. 
1245.117 and 37 CFR 401.6, to require the contractor, an assignee, or 
exclusive licensee of the invention to grant a nonexclusive, partially 
exclusive, or exclusive license in any field of use to a responsible 
applicant or applicants, upon terms that are reasonable under the 
circumstances, and if the contractor, assignee, or exclusive licensee 
refuses such a request, NASA has the right to grant such a license 
itself if NASA determines that:
    (1) Such action is necessary because the contractor or assignee has 
not taken, or is not expected to take within a reasonable time, 
effective steps to achieve practical application of the invention in 
such field of use;
    (2) Such action is necessary to alleviate health or safety needs 
which are not reasonably satisfied by the contractor, assignee, or their 
licensees;
    (3) Such action is necessary to meet requirements for public use 
specified by Federal regulations and such requirements are not 
reasonably satisfied by the contractor, assignee, or licensees; or
    (4) Such action is necessary because the agreement required by the 
``Preference for United States industry'' has not been obtained or 
waived or because a licensee of the exclusive right to use or sell any 
invention in the United States is in breach of such agreement.
    (c) Additional reservations. In the event one or more of the 
situations set forth in Sec. 1245.104 (b)(1) through (b)(3) exist, the 
Board may determine to recommend partial grant of the waiver request 
(rather than denial) by making

[[Page 211]]

the grant subject to additional reservations (than those set forth in 
(a) and (b) of this section) to the extent necessary to address the 
particular situation. Such additional reservations may include, but not 
be limited to, field-of-use or terrestrial-use limitations, or additions 
to the march-in rights.



Sec. 1245.108  License to contractor.

    (a) Each contractor reporting an invention is granted a revocable, 
nonexclusive, royalty-free license in each patent application filed in 
any country on the invention and in any resulting patent in which the 
Government acquires title. The license extends to the contractor's 
domestic subsidiaries and affiliates, if any, within the corporate 
structure of which the contractor is a party and includes the right to 
grant sublicenses of the same scope to the extent the contractor was 
legally obligated to do so at the time the contract was awarded. The 
license and right is transferable only with the approval of the 
Administrator except when transferred to the successor of that part of 
the contractor's business to which the invention pertains.
    (b) The contractor's domestic license may be revoked or modified by 
the Administrator to the extent necessary to achieve expeditious 
practical application of the invention pursuant to an application for an 
exclusive license submitted in accordance with the Licensing of NASA 
Inventions (14 CFR 1245.2). This license will not be revoked in that 
field of use and/or the geographical areas in which the contractor has 
achieved practical application and continues to make the benefits of the 
invention available to the public on reasonable terms. The license in 
any foreign country may be revoked or modified at the discretion of the 
Administrator to the extent the contractor, its licensees, or its 
domestic subsidiaries or affiliates have failed to achieve practical 
application in that foreign country.
    (c) Before revocation or modification of the license, the contractor 
will be provided a written notice of the Administrator's intention to 
revoke or modify the license, and the contractor will be allowed 30 days 
(or any other time as may be allowed by the Administrator for good cause 
shown by the contractor) after the notice to show cause why the license 
should not be revoked or modified. The contractor shall have the right 
to appeal, under the Licensing of NASA Inventions (14 CFR 1245.2), any 
decision concerning the revocation or modification of its license.



Sec. 1245.109  Assignment of title to NASA.

    (a) The instrument of waiver set forth in Sec. 1245.115(c) shall be 
voided by NASA with respect to the domestic title to any invention for 
which a patent application has not been filed within 1 year (or a 
reasonable time thereafter for good cause shown) from notification to 
NASA of election of title, as required by Sec. 1245.104(c)(2), for an 
advanced waiver pursuant to Sec. 1245.104, or within 1 year from the 
granting of a waiver for an individual invention granted pursuant to 
Sec. 1245.105.
    (b) The instrument of waiver set forth in Sec. 1245.115(c) shall be 
voided by NASA with respect to title in any foreign country for which 
waiver has been granted pursuant to Sec. 1245.106, if a patent 
application has not been filed in that country (or in the European 
Patent Office or under the Patent Cooperation Treaty and that country 
designated) within either 10 months (or a reasonable time thereafter for 
good cause shown) from the date a corresponding U.S. patent application 
has been filed or 6 months (or a reasonable time thereafter for good 
cause shown) from the date a license is granted by the Commissioner of 
Patents and Trademarks to file foreign patent applications where such 
filing has been prohibited by a Secrecy Order.
    (c) In any country in which the waiver recipient decides not to 
continue prosecution of any application, to pay maintenance fees on, or 
defend in reexamination or opposition proceedings on a patent on a 
waived invention, the waiver recipient shall notify the patent 
representative within sufficient time for NASA to continue prosecution, 
pay the maintenance fee or defend the reexamination or opposition, and 
upon written request, convey title to NASA and execute all papers 
necessary for NASA to proceed with the appropriate action.

[[Page 212]]



Sec. 1245.110  Content of petitions.

    (a) Each request for waiver of domestic or foreign rights under 
Sec. 1245.104, Sec. 1245.105, or Sec. 1245.106 shall be by petition 
to the Administrator and shall include:
    (1) An identification of the petitioner, its place of business, and 
address;
    (2) If the petitioner is represented by counsel, the name, address, 
and telephone number of the counsel;
    (3) A citation to the section (Sec. 1245.104, Sec. 1245.105, or 
Sec. 1245.106) under which the petition is submitted, the nature and 
extent of the rights requested, and a positive statement that waiver of 
rights under the cited section is being requested;
    (4) If the petitioner is an employee inventor of the contractor, a 
statement from the contractor that the contractor does not object to 
this petition.
    (5) Information identifying the proposed contract or resulting 
contract, if any;
    (6) A designation of the country or countries, the United States of 
America and/or foreign, in which waiver of title is requested;
    (7) A copy of the invention disclosure if the request is for an 
individual identified invention (under Sec. 1245.105);
    (8) The name, address, and telephone number of the party with whom 
the Board is to communicate when the request is acted upon;
    (9) Whether the petitioner is an entity of or under the control of a 
foreign government;
    (10) The signature of the petitioner or its authorized 
representative; and
    (11) The date of the petition.
    (b) No specific forms need be used. Requests for advanced waiver 
should, preferably, be included with the proposal, but in any event in 
advance of negotiations.
    (c) Petitions for waiver under contracts funded by another agency. 
The content of the petitions for waiver of title to inventions made 
under contracts awarded by NASA on behalf of the Department of Energy 
under Sec. 1245.103(c) shall follow the procedures and form prescribed 
by and shall be acted on by that agency. Petitions under contracts 
awarded by NASA on behalf of other agencies will be coordinated with the 
agency before action is taken by the Board.



Sec. 1245.111  Submission of petitions.

    (a) Petitions for advance waiver of domestic rights under Sec. 
1245.104 or for advance waiver of foreign rights under Sec. 1245.106 
presented prior to contract execution, must be submitted to the 
contracting officer. Any petition submitted by a prospective contractor 
and selected for negotiation of a contract will be processed and 
forwarded to the Board for consideration. All other petitions will be 
submitted to the patent representative designated in the contract for 
processing prior to forwarding to the Board.
    (b) A copy of any waiver petitions submitted under Sec. 1245.103(c) 
should be forwarded to the appropriate NASA field installation patent 
counsel, if not supplied earlier, for (1) transmittal to the Department 
of Energy for processing by that agency, or (2) coordination with other 
agencies, as applicable.



Sec. 1245.112  Notice of proposed Board action and reconsideration.

    (a) Notice. Except as provided by Sec. 1245.104(d), the Board will 
notify the petitioner, through the contracting officer, with respect to 
petitions for advance waiver prior to contract execution, and directly 
to the petitioner for all other petitions:
    (1) Whether it proposes to recommend to the Administrator that the 
petition be:
    (i) Granted in the extent requested;
    (ii) Granted in an extent different from that requested; or
    (iii) Denied.
    (2) Of the reasons for any recommended action adverse to or 
different from the waiver of rights requested by the petitioner.
    (b) Request for reconsideration and statements required. (1) If, 
under paragraph (a) of this section, the Board notifies the petitioner 
that the Board proposes to recommend action adverse to or different from 
the waiver requested, the petitioner may, within the period as the Board 
may set, but not less than 15 days from the notification, request 
reconsideration by the Board.
    (2) If reconsideration has been requested within the prescribed 
time, the

[[Page 213]]

petitioner shall, within 30 days from the date of the request for 
reconsideration, or within any other time as the Board may set, file its 
statement setting forth the points, authorities, arguments, and any 
additional material on which it relies.
    (3) Upon filing of the reconsideration statement by the petitioner, 
the petition will be assigned for reconsideration by the Board upon the 
contents of the petition, the record, and the reconsideration statement 
submitted by the petitioner.
    (4) The Board, after its reconsideration, will promptly notify the 
petitioner of its proposed recommendation to the Administrator. If the 
Board's proposed action is adverse to, or different from, the waiver 
requested, the petitioner may request an oral hearing within the time as 
the Board has set.



Sec. 1245.113  Hearing procedure.

    (a) If the petitioner requests an oral hearing within the time set, 
under Sec. 1245.112(b)(4), the Board shall set the time and place for 
the hearing and shall notify the petitioner.
    (b) Oral hearings held by the Board shall be open to the public and 
shall be held in accordance with the following procedures:
    (1) Oral hearings shall be conducted in an informal manner, with the 
objective of providing the petitioner with a full opportunity to present 
facts and arguments in support of the petition. Evidence may be 
presented through means of witnesses, exhibits, and visual aids as are 
arranged for by the petitioner. Petitioner may be represented by any 
person including its attorney. While proceedings will be ex parte, 
members of the Board and its counsel may address questions to witnesses 
called by the petitioner, and the Board may, at its option, enlist the 
aid of technical advisors or expert witnesses. Any person present at the 
hearing may make a statement for the record.
    (2) A transcript or equivalent record of the proceeding shall be 
arranged for by the Board. The petitioner shall submit for the record a 
copy of any exhibit or visual aid utilized during the hearing.



Sec. 1245.114  Findings and recommendations of the Board.

    (a) Findings of the Board. The Board shall consider the petition, 
the NASA contract, if relevant, the goals cited in Sec. 1245.103(a), 
the effect of the waiver on the objectives of the related NASA programs, 
and any other available facts and information presented to the Board by 
an interested party. The Board shall document its findings.
    (b) Recommendation of the Board. (1) Except as provided in Sec. 
1245.104(d), after making the findings of fact, the Board shall 
formulate its proposed recommendation to the Administrator as to the 
grant of waiver as requested, the grant of waiver upon terms other than 
as requested, or denial of waiver.
    (2) If the Board proposes to recommend, initially or upon 
reconsideration or after oral hearing, that the petition be granted in 
the extent requested or, in other cases, where the petitioner does not 
request reconsideration or a hearing during the period set for the 
action or informs the Board that the action will not be requested, or 
fails to file the required statements within the prescribed time, the 
Board shall transmit the petition, a summary record of hearing 
proceedings, if applicable, its findings of fact, and its recommendation 
to the Administrator.



Sec. 1245.115  Action by the Administrator.

    (a) After receiving the transmittal from the Board, the 
Administrator shall determine, in accordance with the policy of Sec. 
1245.103, whether or not to grant any petition for waiver of rights to 
the petitioner.
    (b) In the event of denial of the petition by the Administrator, a 
written notice of such denial will be promptly transmitted by the Board 
to the petitioner. The written notice will be accompanied with a 
statement of the grounds for denial.
    (c) If the waiver is granted by the Administrator, the petitioner 
shall be sent for execution, an instrument of waiver confirmatory of the 
conditions and reservations of the waiver grant. The petitioner shall 
promptly return the executed copy of the instrument of waiver to the 
Chairperson.

[[Page 214]]



Sec. 1245.116  Miscellaneous provisions.

    (a) Filing of patent applications and reimbursement of costs. In 
order to protect the interests of the Government and the petitioner in 
inventions, a petitioner may file United States patent applications for 
such inventions prior to the Administrator's determination on a petition 
for waiver. If an application on an identified invention is filed during 
the pendency of the petition, or within 60 days prior to the receipt of 
a petition, NASA will reimburse the petitioner for any reasonable costs 
of the filing and patent prosecution that may have occurred, provided:
    (1) Similar patent filing and prosecution costs are not normally 
reimbursed to the petitioner as direct or indirect costs chargeable to 
the Government contracts;
    (2) The petition is ultimately denied with respect to domestic 
rights, or with respect to foreign and domestic rights, if both are 
requested, and
    (3) Prior to reimbursement, petitioner assigns the application to 
the United States of America as represented by the Administrator of the 
National Aeronautics and Space Administration.
    (b) Statement of Government rights. The waiver recipient shall 
include, within the specification of any United States patent 
application and any patent issuing thereon for a waived invention, the 
following statement:

    The invention described herein was made in the performance of work 
under NASA Contract No. ------, and is subject to the provisions of 
Section 305 of the National Aeronautics and Space Act of 1958, as 
amended (42 U.S.C. 2457).

    (c) License to the Government. The waiver recipient shall return to 
NASA a duly executed and approved license to the Government (which will 
be prepared by the Government) fully confirming of all the rights, 
domestic and foreign, to which the Government is entitled.
    (d) Patent filing and issuance information. The waiver recipient 
shall furnish to either the Chairperson or the patent representative, 
the filing date, serial number and title, and upon request, a copy of 
any domestic or foreign patent application including an English language 
version if filed in a language other than English, and a copy of the 
patent or patent number and issue date, for any waived invention.
    (e) Transfer of rights. The waiver recipient shall notify the 
Chairperson prior to any transfer of principal rights in any waived 
invention to any party. Such transfer shall be subject to all rights 
reserved by the Government, and all obligations of the waiver recipient, 
as set forth in this subpart.
    (f) Utilization reports. (1) The waiver recipient shall provide to 
the Chairperson upon request, and no more frequently than annually, 
reports on the utilization of a waived invention or on efforts at 
obtaining such utilization being made by the waiver recipient or its 
licensees or assigns. Such reports shall include information regarding 
the status of the development, date of first commercial sale or use, and 
such other data and information as the Chairperson may reasonably 
specify. No utilization reports need be submitted after the term of the 
patent.
    (2) Such reports on the utilization of a waived invention, as well 
as information on the utilization or efforts at obtaining utilization 
obtained as part of a march-in proceeding under Sec. 1245.117, shall be 
treated by NASA as commercial and financial information obtained from a 
person and privileged and confidential and not subject to disclosure 
under 5 U.S.C. 552.
    (g) Communications. Unless otherwise specifically set forth in this 
subpart, all communications relating to waived inventions, and all 
information and documents required to be submitted to NASA in this 
subpart, shall be furnished to the patent representative designated in 
the contract under which the waived invention was made.

(Recordkeeping and reporting requirements contained in paragraph (f) 
were approved by the Office of Management and Budget under control 
number 2700-0050)



Sec. 1245.117  March-in and waiver revocation procedures.

    (a) The exercise of march-in procedures shall be governed by 35 
U.S.C. 203 and by the applicable provisions of 37 CFR 401.6, entitled 
``Exercise of march-

[[Page 215]]

in rights for inventions made by nonprofit organizations and small 
business firms.''
    (b) Whenever NASA receives information that it believes might 
warrant the exercise of march-in rights, before initiating any march-in 
proceeding, it shall notify the waiver recipient in writing of the 
information and request informal written or oral comments from the 
waiver recipient as well as information relevant to the matter. In the 
absence of any comments from the waiver recipient within 30 days, NASA 
may, at its discretion, proceed with the procedures set forth in 37 CFR 
401.6. If a comment is received within 30 days, or later if NASA has not 
initiated the procedures, then NASA shall, within 60 days after it 
receives the comment, either initiate the procedures or notify the 
waiver recipient, in writing, that it will not pursue march-in rights on 
the basis of the available information.
    (c) If march-in procedures are to be initiated, the Administrator of 
NASA, or designee, shall undertake or refer the matter for fact finding 
to the NASA Board of Contract Appeals (BCA) and its Chairperson.
    (d) Fact-finding shall be conducted by the NASA BCA and its 
Chairperson in accordance with its procedures that are consistent with 
the procedures set forth in 37 CFR 401.6. Any portion of the march-in 
proceeding, including a fact-finding hearing that involves testimony or 
evidence relating to the utilization or efforts at obtaining utilization 
that are being made by the waiver recipient, its assignee, or licensees 
shall be closed to the public, including potential licensees. In 
accordance with 35 U.S.C. 202(c)(5), NASA shall not disclose any such 
information obtained during a march-in proceeding to persons outside the 
Government except when such release is authorized by the waiver 
recipient (assignee or licensee).
    (e) The preparation of written findings of fact and recommended 
determination by the Chairperson of the NASA BCA and the determination 
by the Administrator, or designee, of NASA shall be in accordance with 
37 CFR 401.6.
    (f) NASA may, at any time, terminate a march-in proceeding if it is 
satisfied that it does not wish to exercise march-in rights.



Sec. 1245.118  Record of decisions.

    The findings of fact and recommendations made to the Administrator 
by the Board with respect to each petition for waiver shall be recorded 
by the Board and be available to the public.

Subpart 2 [Reserved]



                 Subpart 3--NASA Foreign Patent Program

    Authority: 42 U.S.C. 2457(h) and Executive Orders 9865 and 10096.

    Source: 30 FR 1844, Feb. 10, 1965, unless otherwise noted.



Sec. 1245.300  Scope of subpart.

    This subpart establishes policy, criteria, and procedures concerning 
the NASA Foreign Patent Program.



Sec. 1245.301  Inventions under NASA contracts.

    (a) Pursuant to Sec. 1245.113, NASA has facilitated the filing of 
foreign patent applications by contractors by providing for the granting 
of a waiver of title to a contractor to any identified invention in 
countries other than the United States in the event the Administrator of 
NASA does not desire to file a patent application covering the invention 
in such countries. However, any such waiver is subject to the 
reservation by the Administrator of the license required to be retained 
by NASA under section 305(f) of the National Aeronautics and Space Act 
of 1958 (42 U.S.C. 2457(f)).
    (b) Conversely, where the principal rights in an invention made 
under a NASA contract remain in the contractor by virtue of waiver, 
Sec. 1245.19(a)(5) provides that the contractor, upon written request, 
will convey to the Administrator of NASA the entire right, title, and 
interest in the invention in any foreign country in which the contractor 
has elected not to file a patent application.
    (c) With respect to inventions in which NASA has acquired and 
retained the principal rights, NASA will file

[[Page 216]]

patent applications in countries other than the United States on 
inventions selected in accordance with the criteria set forth in Sec. 
1245.303.



Sec. 1245.302  Inventions by NASA employees.

    (a) The foreign rights of NASA and of the NASA employee making an 
invention are determinable in accordance with Executive Orders 9865 and 
10096 and Government Patent Board Administrative Order No. 6 issued 
pursuant thereto.
    (b) Where NASA acquires an assignment of the domestic rights in an 
invention made by a NASA employee, NASA will also obtain an option to 
acquire the foreign rights, including the right to file foreign patent 
applications on the invention.
    (c) Where NASA is entitled to only a governmental license in the 
invention, the principal foreign rights in the invention are retained by 
the employee unless he agrees in writing to assign such rights to NASA.



Sec. 1245.303  Criteria.

    The following categories of inventions will be considered for the 
filing of patent applications by NASA in countries other than the United 
States:
    (a) Inventions which may be utilized abroad in governmental programs 
of the United States.
    (b) Inventions which may be exploited abroad in the public interest 
by license to U.S. nationals or others.
    (c) Inventions which may be utilized in applications type 
satellites, such as communications and meteorological satellites.
    (d) Inventions considered to be basic discoveries or of major 
significance in an art.
    (e) Inventions in fields which directly concern the public health or 
public welfare.



Sec. 1245.304  Procedures.

    (a) The patent counsel at each NASA field installation will review 
all invention disclosures at the time of docketing and will expedite the 
processing and preparation of a U.S. patent application, if justified, 
on those inventions which appear to fall within the criteria set forth 
in Sec. 1245.303. The patent counsel will make a recommendation as to 
whether or not foreign patent coverage appears justified at the time of 
assigning a priority evaluation to a disclosed invention.
    (b) Preparation and filing of patent applications in foreign 
countries will be subject to approval of the Assistant General Counsel 
for Patent Matters, NASA Headquarters.
    (c) The Office of Assistant General Counsel for Patent Matters will 
budget for and administer the filing of all patent applications in 
countries other than the United States.
    (d) Coordination with other interested NASA offices will be 
undertaken by the Assistant General Counsel for Patent Matters.



             Subpart 4--Foreign Patent Licensing Regulations

    Authority: 42 U.S.C. 2457(g) and (h).

    Source: 31 FR 10958, Aug. 18, 1966, unless otherwise noted.



Sec. 1245.400  Scope of subpart.

    (a) The subpart establishes the policy, terms, conditions, and 
procedures under which NASA-owned foreign patents and patent 
applications may be licensed.
    (b) The provisions of this subpart apply to all NASA-owned patents 
granted in countries other than the United States and to NASA-owned 
patent applications pending in such countries and supplement the 
provisions of subpart 2 of this part for foreign patent licensing.



Sec. 1245.401  Policy.

    The foreign licensing program of the National Aeronautics and Space 
Administration serves to promote and utilize foreign patent rights 
vested in the Administration. The objectives of this program are to 
further the interests of United States industry in foreign commerce, to 
enhance the economic interests of the United States and to advance the 
international relationships of the United States.

[[Page 217]]



Sec. 1245.402  Types of licenses and terms and conditions.

    Licenses will be individually negotiated and may be granted to any 
applicant, foreign or domestic, on a nonexclusive or exclusive basis for 
royalties or other considerations and on such other terms and conditions 
as are deemed appropriate to the interests of the United States. 
Preference in the granting of foreign license rights will be shown to 
those applicants who have previously been granted a license under the 
corresponding U.S. patent or patent application.



Sec. 1245.403  Government license.

    There will be reserved from each exclusive license an irrevocable, 
nonexclusive, nontransferable, royalty-free license for the practice of 
such invention throughout the world by or on behalf of the United States 
or any foreign government pursuant to any existing or future treaty or 
agreement with the United States.



Sec. 1245.404  Enforcement of patent rights.

    An exclusive licensee will be authorized to enforce the licensed 
patent and to sue infringers of the patent at its own expense.



Sec. 1245.405  Procedures.

    (a) NASA will publish in the United States, and elsewhere as may be 
appropriate, lists of NASA-owned foreign patents or patent applications 
available for licensing.
    (b) NASA will also furnish written notice of the availability for 
licensing of NASA-owned foreign patents or patent applications to any 
licensee under the corresponding U.S. patent or patent application.
    (c) Applications for license should be addressed to the 
Administrator, National Aeronautics and Space Administration, 
Washington, DC 20456. The application must fully identify the patent or 
patent application, and state the type of license requested together 
with proposed terms and conditions thereof.
    (d) The conduct of negotiations with prospective licensees will be 
the responsibility of the General Counsel, NASA. In the conduct of such 
negotiations, due regard shall be had for the possible interests of NASA 
program and staff offices, and their coordination will be obtained as 
deemed appropriate.
    (e) NASA will publish notice in the Federal Register, and elsewhere 
as may be appropriate, of its intention to grant an exclusive license 
under an identified patent or patent application. An exclusive license 
will not be granted until the expiration of 60 days from the date of 
notice in order to provide a suitable time interval for interested 
persons or other Government agencies to interpose comment or objection.
    (f) All licenses shall become effective upon the written acceptance 
by the licensee of a license instrument specifying the type of license 
and terms and conditions thereof.



Subpart 5--Authority and Delegations to Take Certain Actions Relating to 
             Patents and Other Intellectual Property Rights

    Authority: 42 U.S.C. 2473, 2457; 14 CFR 1204.506.

    Source: 43 FR 34122, Aug. 3, 1978, unless otherwise noted.



Sec. 1245.500  Scope.

    This subpart 5 sets forth the authority and delegations relating to 
intellectual property rights, and the administration of the NASA patent 
program.



Sec. 1245.501  General Counsel.

    The General Counsel administers the NASA patent program and is 
delegated authority to take the following specific actions related to 
intellectual property, including patent, copyright, trademark, and 
related matters:
    (a) Determination of rights. (1) To execute notifications of the 
Administrator's determinations made pursuant to section 305(a) of the 
National Aeronautics and Space Act of 1958, as amended;
    (2) To make determinations, under Executive Order 10096 of January 
23, 1950, as amended, of the respective rights of the Government and of 
the inventor in and to inventions made by employees under the 
adminstrative jurisdiction of the National Aeronautics and Space 
Administration, and to appoint a liaison officer to deal with the

[[Page 218]]

Commissioner of Patents in such matters pursuant to 37 CFR 100.10, 
``Administration of a Uniform Patent Policy With Respect to the Domestic 
Rights in Inventions Made by Government Employees'';
    (b) Powers of attorney. To appoint and/or revoke principal attorneys 
and to execute necessary powers of attorney for the purpose of filing 
and prosecuting patent applications in which the United States, as 
represented by the Administrator, has an interest by way of either title 
or license;
    (c) Application papers and statements. To receive patent 
applications, documents, and statements transmitted to the Administrator 
pursuant to section 305(c) of the National Aeronautics and Space Act of 
1958, as amended;
    (d) Acceptance of licenses and assignments. To accept on behalf of 
the United States licenses under, assignments of, and other rights in 
inventions, patents, and applications for patents;
    (e) Secrecy orders. To exercise all powers of the Administrator with 
respect to secrecy orders in patent cases and foreign filing under 35 
U.S.C. 181 et seq.;
    (f) Certifications. To exercise the authority of the Administrator 
with respect to certifications in support of requests for extensions of 
time under 35 U.S.C. 267;
    (g) Foreign patent program. To exercise the authority of the 
Administrator in taking all necessary action to obtain and maintain 
patents in foreign countries, including the execution of instruments 
necessary for filing, prosecution, and maintenance of foreign 
applications and patents;
    (h) Authority under section 305(d) and (e). To represent the 
Administrator and to appoint attorneys to represent the Administrator in 
the conduct of business under sections 305(d) and (e) of the National 
Aeronautics and Space Act of 1958, as amended, including execution of 
requests pursuant to said sections of the act that patents be issued to 
the Administrator on behalf of the United States or that title be 
transferred to the Administrator;
    (i) Acquisition authority. To exercise the power conferred on the 
Administrator by the National Aeronautics and Space Act of 1958, as 
amended, to acquire an interest in patents and patent applications, 
including the purchase of such interests in settlement of claims for the 
unauthorized use of patented inventions and to acquire interests in 
copyrights, trademarks, and trade names;
    (j) Authority to settle copyright claims. To exercise all powers 
conferred on the Administrator by 28 U.S.C. 1498(b), including the 
settlement of claims for copyright infringement;
    (k) Granting of licenses. To make the determinations and to take any 
and all actions with respect to the licensing of NASA inventions vested 
in the Administrator by the NASA Domestic Patent Licensing Regulations, 
14 CFR subpart 1245.2 (NASA Management Instruction 5109.3) and the NASA 
Foreign Patent Licensing Regulations, 14 CFR subpart 1245.4 (NASA 
Management Instruction 5109.5) to sign all Federal Register notice 
material required by the patent licensing regulations and to otherwise 
grant licenses on any invention in which the Administrator has reserved 
the right to grant licenses; and
    (l) Waiver determinations and instruments. To sign for the 
Administrator attestations of determinations of grant or denial of 
waiver of title to inventions and to execute instruments of waiver, when 
in accordance with the recommendations of the Inventions and 
Contributions Board, and the NASA Patent Waiver Regulations, 14 CFR 
subpart 1245.1 (NASA Management Instruction 5109.2).



Sec. 1245.502  Associate General Counsel for Intellectual Property.

    The Associate General Counsel for Intellectual Property provides 
functional direction to all Patent Counsel and is redelegated the 
authority to take the following actions:
    (a) Rights determinations. (1) To execute notifications of the 
Administrator's determinations made pursuant to section 305(a) of the 
National Aeronautics and Space Act of 1958, as amended;
    (2) To make determinations, under Executive Order 10096 of January 
23, 1950 as amended, of the respective rights of the Government and of 
the inventor in and to inventions made by

[[Page 219]]

employees under the administrative jurisdiction of the National 
Aeronautics and Space Administration, and to appoint a liaison officer 
to deal with the Commissioner of Patents in such matters pursuant to 37 
CFR 100.10, ``Administration of a Uniform Patent Policy With Respect to 
the Domestic Rights in Inventions Made by Government Employees'';
    (b) Powers of attorney. To appoint and/or revoke principal attorneys 
and to execute necessary powers of attorney for the purpose of filing 
and prosecuting patent applications in which the United States, as 
represented by the Administrator, has an interest by way either of title 
or license;
    (c) Application papers and statements. To receive patent 
applications, documents, and statements transmitted to the Administrator 
pursuant to section 305(c) of the National Aeronautics and Space Act of 
1958, as amended;
    (d) Acceptance of licenses and assignments. To accept, on behalf of 
the United States, licenses under, assignments of, and other rights in 
inventions, patents, and applications for patents; and
    (e) Secrecy orders. To exercise all powers of the Administrator with 
respect to secrecy orders in patent cases and foreign filing under 35 
U.S.C. 181 et seq.

[43 FR 34122, Aug. 3, 1978, as amended at 56 FR 19797, Apr. 30, 1991]



Sec. 1245.503  Patent Counsel of Field Installations.

    Patent Counsel of Field Installations and Patent Counsel, NASA 
Resident Legal Office, Pasadena, Calif., are redelegated authority to 
take the following actions:
    (a) Rights determination. To make determination, under Executive 
Order 10096 of January 23, l950, as amended, or the respective rights of 
the Government and of the inventor in and to inventions made by employee 
under the administrative jurisdiction of their installations in those 
instances where the Government is entitled to obtain the entire right, 
title, and interest, and to make each determination, with the 
concurrence of the Associate General Counsel for Intellectual Property, 
in those instances where the Government acquires less than the entire 
domestic right, title, and interest.
    (b) Acceptance of licenses and assignments. To accept on behalf of 
the United States licenses under, assignments of and other rights in 
inventions, patents, and applications for patents.

[43 FR 34122, Aug. 3, 1978, as amended at 56 FR 19797, Apr. 30, 1991]



Sec. 1245.504  Further redelegation.

    None authorized except by virtue of succession.



PART 1250--NONDISCRIMINATION IN FEDERALLY-ASSISTED PROGRAMS OF NASA--EFFECTUATION OF TITLE VI OF THE CIVIL RIGHTS ACT OF 1964--Table of Contents




Sec.
1250.100 Purpose.
1250.101 Applicability.
1250.102 Definitions.
1250.103 Discrimination prohibited.
1250.103-1 General.
1250.103-2 Specific discriminatory acts prohibited.
1250.103-3 Employment practices.
1250.103-4 Illustrative applications.
1250.103-5 Special benefits.
1250.103-6 Medical emergencies.
1250.104 Assurances.
1250-105 Compliance information.
1250.106 Conduct of investigations.
1250.107 Procedure for effecting compliance.
1250.108 Hearings.
1250.109 Decisions and notices.
1250.110 Judicial review.
1250.111 Effect on other regulations; forms and instructions.
1250.112 Relationship with other officials.

Appendix A to Part 1250--NASA Federal Financial Assistance to Which This 
          Part Applies

    Authority: Sec. 602, 78 Stat. 252, 42 U.S.C. 2000d-1; and the laws 
listed in appendix A to this part.

    Source: 30 FR 301, Jan. 9, 1965, unless otherwise noted.



Sec. 1250.100  Purpose.

    The purpose of this part is to effectuate the provisions of Title VI 
of the Civil Rights Act of 1964 (hereafter referred to as ``the Act'') 
to the end that no person in the United States shall, on the ground of 
race, color or national origin, be excluded from participation

[[Page 220]]

in, be denied the benefits of, or be otherwise subjected to 
discrimination under any program or activity receiving Federal financial 
assistance from the National Aeronautics and Space Administration, 
hereinafter referred to as NASA.



Sec. 1250.101  Applicability.

    (a) Covered programs. (1) This part applies to any program for which 
Federal financial assistance is authorized under a law administered by 
NASA, including the types of Federal financial assistance listed in 
appendix A to this part. The fact that a type of Federal assistance is 
not listed in appendix A shall not mean, if Title VI of the Act is 
otherwise applicable, that a program is not covered. Other types of 
Federal financial assistance under statutes now in force or hereafter 
enacted may be added to appendix A by notice published in the Federal 
Register.
    (2) This part applies to money paid, property transferred, or other 
Federal financial assistance extended after the effective date of this 
part pursuant to an application approved prior to such effective date.
    (b) Excluded activities. This part does not apply to (1) any Federal 
financial assistance by way of insurance or guaranty contracts, (2) 
money paid, property transferred, or other assistance extended before 
the effective date of this part, except as provided in paragraph (a) of 
this section, (3) any assistance to any individual who is the ultimate 
beneficiary, (4) any employment practice, under any such program, of any 
employer, employment agency, or labor organization, except as provided 
in Sec. 1250.103-3, (5) contracts not covered in the types of Federal 
financial assistance listed in appendix A, or (6) advances, V-loans, and 
other financial assistance made incident to NASA procurements not 
covered in the types of Federal financial assistance listed in appendix 
A.

[30 FR 301, Jan. 9, 1965, as amended at 68 FR 51350, Aug. 26, 2003]



Sec. 1250.102  Definitions.

    As used in this part--
    (a) Administrator means the Administrator of the NASA.
    (b) Applicable means one who submits an application, request, 
proposal, or plan required to be approved by a responsible NASA 
official, or by a primary recipient, as a condition to eligibility for 
Federal financial assistance; and the term application means such an 
application, request, proposal or plan.
    (c) Facility includes all or any portion of structures, equipment, 
or other real or personal property or interests therein, and the 
provision of facilities includes the construction, expansion, 
renovation, remodeling, alteration or acquisition of facilities.
    (d) Federal financial assistance includes (1) grants and loans of 
Federal funds, (2) the grant or donation of Federal property and 
interests in property, (3) the detail of Federal personnel, (4) the sale 
and lease of, and the permission to use (on other than a casual or 
transient basis), Federal property or any interest in such property 
without consideration or at a nominal consideration, or at a 
consideration which is reduced for the purpose of assisting the 
recipient, or in recognition of the public interest to be served by such 
sale or lease to the recipient, and (5) any Federal agreement, 
arrangement, or other contract which has as one of its purposes the 
provision of assistance.
    (e) NASA means the National Aeronautics and Space Administration.
    (f) Primary recipient means any recipient which is authorized or 
required to extend Federal financial assistance to another recipient.
    (g) Principal Compliance Officer means the Director, Equal 
Employment Opportunity Office, Office of Organization and Management, 
NASA Headquarters, or any successor officer to whom the Administrator 
should delegate authority to perform the functions assigned to the 
Principal Compliance Officer by this part.
    (h) Program or activity and program mean all of the operations of 
any entity described in paragraphs (h)(1) through (4) of this section, 
any part of which is extended Federal financial assistance:
    (1)(i) A department, agency, special purpose district, or other 
instrumentality of a State or of a local government; or

[[Page 221]]

    (ii) The entity of such State or local government that distributes 
such assistance and each such department or agency (and each other State 
or local government entity) to which the assistance is extended, in the 
case of assistance to a State or local government;
    (2)(i) A college, university, or other postsecondary institution, or 
a public system of higher education; or
    (ii) A local educational agency (as defined in 20 U.S.C. 7801), 
system of vocational education, or other school system;
    (3)(i) An entire corporation, partnership, or other private 
organization, or an entire sole proprietorship--
    (A) If assistance is extended to such corporation, partnership, 
private organization, or sole proprietorship as a whole; or
    (B) Which is principally engaged in the business of providing 
education, health care, housing, social services, or parks and 
recreation; or
    (ii) The entire plant or other comparable, geographically separate 
facility to which Federal financial assistance is extended, in the case 
of any other corporation, partnership, private organization, or sole 
proprietorship; or
    (4) Any other entity which is established by two or more of the 
entities described in paragraph (h)(1), (2), or (3) of this section.
    (i) Recipient means any State, political subdivision of any State, 
or instrumentality of any State or political subdivision, any public or 
private agency, institution, or organization, or other entity, or any 
individual, in any State, to whom Federal financial assistance is 
extended, directly or through another recipient, including any 
successor, assign, or transferee thereof, but such term does not include 
any ultimate beneficiary.
    (j) Responsible NASA official means:
    (1) The heads of Offices at NASA Headquarters responsible for making 
grants, and contracts of the kind listed in appendix A; and
    (2) Each Director of a field installation which makes or administers 
grants and contracts of the kind listed in appendix A, or any officer to 
whom he has delegated authority to act within the areas of 
responsibility assigned to him under this part.
    (k) United States means the States of the United States, the 
District of Columbia, Puerto Rico, the Virgin Islands, American Samoa, 
Guam, Wake Island, the Canal Zone, and the territories and possessions 
of the United States, and the term State means any one of the foregoing.

[30 FR 301, Jan. 9, 1965, as amended at 38 FR 17936, July 5, 1973; 68 FR 
51350, Aug. 26, 2003]



Sec. 1250.103  Discrimination prohibited.



Sec. 1250.103-1  General.

    No person in the United States shall, on the ground of race, color 
or national origin be excluded from participation in, be denied the 
benefits of, or be otherwise subjected to discrimination under any 
program to which this part applies.



Sec. 1250.103-2  Specific discriminatory acts prohibited.

    (a) A recipient to which this part applies may not, directly or 
through contractual or other arrangements, on ground of race, color, or 
national origin:
    (1) Deny an individual any service, financial aid, or other benefit 
provided under the program;
    (2) Provide any service, financial aid, or other benefit to an 
individual which is different, or is provided in a different manner, 
from that provided to others under the program;
    (3) In determining the site or location of facilities, a recipient 
or applicant may not make selections with the purpose or effect of 
excluding individuals from, denying them the benefits of, or subjecting 
them to discrimination under any program to which this regulation 
applies, on the grounds of race, color, or national origin; or with the 
purpose or effect of defeating or substantially impairing the 
accomplishment of the objectives of the Act or this regulation.
    (4) Subject an individual to segregation or separate treatment in 
any matter related to his receipt of any service, financial aid, or 
other benefit under the program;
    (5) Restrict an individual in any way in the enjoyment of any 
advantage or

[[Page 222]]

privilege enjoyed by others receiving any service, financial aid, or 
other benefit under the program;
    (6) Treat an individual differently from others in determining 
whether he satisfies any admission, enrollment, quota, eligibility, 
membership or other requirement or condition which individuals must meet 
in order to be provided any service, financial aid, or other benefit 
provided under the program;
    (7) Deny an individual an opportunity to participate in the program 
through the provision of services or otherwise or afford him an 
opportunity to do so which is different from that afforded others under 
the program (including the opportunity to participate in the program as 
an employee but only to the extent set forth in Sec. 1250.103-3).
    (b) A recipient, in determining the types of services, financial 
aid, or other benefits, or facilities which will be provided under any 
such program, or the class of individuals to whom, or the situations in 
which, such services, financial aid, other benefits, or facilities will 
be provided under any such program, or the class of individuals to be 
afforded an opportunity to participate in any such program, may not, 
directly or through contractual or other arrangements, utilize criteria 
or methods of administration which have the effect of subjecting 
individuals to discrimination because of their race, color, or national 
origin, or have the effect of defeating or substantially impairing 
accomplishment of the objectives of the program as respects individuals 
of a particular race, color, or national origin.
    (c) As used in this section the services, financial aid, or other 
benefits provided under a program receiving Federal financial assistance 
shall be deemed to include any service, financial aid, or other benefit 
provided in or through a facility provided with the aid of Federal 
financial assistance.
    (d) A recipient may not take action that is calculated to bring 
about indirectly what this part forbids it to accomplish directly.
    (e) The enumeration of specific forms of prohibited discrimination 
in this section does not limit the generality of the prohibition in 
Sec. 1250.103-1. This regulation does not prohibit the consideration of 
race, color, or national origin if the purpose and effect are to remove 
or overcome the consequences of practices or impediments which have 
restricted the availability of, or participation in, the program or 
activity receiving Federal financial assistance, on the grounds of race, 
color, or national origin. Where previous discriminatory practices or 
usage tends, on the grounds of race, color, or national origin, to 
exclude individuals from participation in, to deny them the benefits of, 
or to subject them to discrimination under any program or activity to 
which this regulation applies the applicant or recipient has an 
obligation to take reasonable action to remove or overcome the 
consequences of the prior discriminatory practice or usage, and to 
accomplish the purpose of the Act.

[30 FR 301, Jan. 9, 1965, as amended at 38 FR 17936, July 5, 1973; 68 FR 
51350, Aug. 26, 2003]



Sec. 1250.103-3  Employment practices.

    (a) Where a primary objective of the Federal financial assistance to 
a program to which this part applies is to provide employment, a 
recipient may not directly or through contractual or other arrangements 
subject an individual to discrimination on the ground of race, color, or 
national origin in its employment practices under such program 
(including recruitment or recruitment advertising, employment, layoff or 
termination, upgrading, demotion, or transfer, rates of pay or other 
forms of compensation, and use of facilities), including programs where 
a primary objective of the Federal financial assistance is (1) to assist 
such individuals through employment to meet expenses incident to the 
commencement or continuation of their education or training, or (2) to 
provide work experience which contributes to the education or training 
of such individuals.
    (b) Employment opportunities provided in connection with any of the 
types of Federal financial assistance listed in appendix A, which 
opportunities are limited, or for which preference is given, to 
students, fellows, or other persons in training for the same or related 
employments, are programs

[[Page 223]]

of the kind described in paragraph (a)(1) and (2) of this section.
    (c) The requirements applicable to construction employment under any 
such program shall be those specified in or pursuant to Executive Order 
11246 or any Executive order which supersedes it.
    (d) Where a primary objective of the Federal financial assistance is 
not to provide employment, but discrimination on the grounds of race, 
color, or national origin in the employment practices of the recipient 
or other persons subject to the regulation tends, on the grounds of 
race, color, or national origin, to exclude individuals from 
participation in, to deny them the benefits of, or to subject them to 
discrimination under any program to which this regulation applies, the 
provisions of paragraph (a) of this section shall apply to the 
employment practices of the recipient or other persons subject to the 
regulation, to the extent necessary to assure equality of opportunity 
to, and nondiscriminatory treatment of, beneficiaries.

[30 FR 301, Jan. 9, 1965, as amended at 38 FR 17936, July 5, 1973; 68 FR 
51350, Aug. 26, 2003]



Sec. 1250.103-4  Illustrative applications.

    (a) In training grant services discrimination is forbidden in the 
selection or eligibility of individuals to be trained and in their 
treatment by the grantee during their training. In any case where 
selection is made from a predetermined group, such as the students in an 
institution, the group must have been selected without discrimination.
    (b) In a research or training grant to a university for activities 
to be conducted in a graduate school, discrimination in the admission 
and treatment of students in the graduate school is prohibited and the 
prohibition extends to the entire university.
    (c) Discrimination in the treatment of students or other trainees 
includes the prohibition of discrimination among the students or 
trainees in the availability or use of any academic, dormitory, eating, 
recreational, or other facilities of the grantee or other recipient.
    (d) In a research or training grant, discrimination is prohibited 
with respect to the availability of any educational activity and any 
provision of medical or other services and any financial aid to 
individuals incident to the grant.
    (e) Upon transfers of real or personal property for research or 
educational uses, discrimination is forbidden to the same extent as in 
the case of grants for the construction of facilities or the provision 
of equipment for like purposes.
    (f) In some situations even though past discriminatory practices 
have been abandoned, the consequences of such practices continue to 
impede the full availability of a benefit. If the efforts required of 
the applicant or recipient under Sec. 1250.105 to provide information 
as to the availability of the program or activity, and the rights of 
beneficiaries under this regulation, have failed to overcome these 
consequences, it will become necessary for such applicant or recipient 
to take additional steps to make the benefits fully available to racial 
and nationality groups previously subjected to discrimination. This 
action might take the form, for example, of special arrangements for 
obtaining referrals or making selections which will insure that groups 
previously subjected to discrimination are adequately served.
    (g) Even though an applicant or recipient has never used 
discriminatory policies, the services and benefits of the program or 
activity it administers may not in fact be equally available to some 
racial or nationality groups. In such circumstances an applicant or 
recipient may properly give special consideration to race, color, or 
national origin to make the benefits of its program more widely 
available to such groups, not then being adequately served. For example, 
where a university is not adequately serving members of a particular 
racial or nationality group, it may establish special recruitment 
policies to make its program better known and more readily available to 
such group, and take other steps to provide that group with more 
adequate service.

[30 FR 301, Jan. 9, 1965, as amended at 38 FR 17937, July 5, 1973; 68 FR 
51350, Aug. 26, 2003]

[[Page 224]]



Sec. 1250.103-5  Special benefits.

    An individual shall not be deemed subjected to discrimination by 
reason of his exclusion from the benefits limited by Federal law to 
individuals of a particular race, color, or national origin different 
from his.

[30 FR 301, Jan. 9, 1965, as amended at 68 FR 51350, Aug. 26, 2003]



Sec. 1250.103-6  Medical emergencies.

    Notwithstanding the provisions of Sec. Sec. 1250.103 to 1250.103-5, 
a recipient of Federal financial assistance shall not be deemed to have 
failed to comply with Sec. 1250.103-1, if immediate provision of a 
service or other benefit to an individual is necessary to prevent his 
death or serious impairment of his health, and such service or other 
benefit cannot be provided except by or through a medical institution 
which refuses or fails to comply with Sec. 1250.103-1.



Sec. 1250.104  Assurances.

    (a) General requirement. Every application for Federal financial 
assistance to which this part applies, and every application for Federal 
financial assistance to provide a facility shall, as a condition to its 
approval and the extension of any Federal financial assistance pursuant 
to the application, contain, be accompanied by, or identify and make 
reference to, an assurance that the program will be conducted or the 
facility operated in compliance with all requirements imposed by or 
pursuant to this part. If the assurance is not made a part of the 
application, the application shall identify the assurance which is 
applicable to the application. One assurance shall suffice for all 
applications of an applicant if the assurance complies with the 
conditions made applicable by this part to each such application for 
Federal financial assistance. Every assurance shall include provisions 
which give the United States a right to seek its judicial enforcement.
    (b) Duration of assurances. The period of time to be covered by the 
assurances required under this Sec. 1250.104 shall be as follows:
    (1) Real property. In the case of an application for Federal 
financial assistance for providing real property or structures thereon, 
the assurance shall obligate the recipient, or in the case of a 
subsequent transfer, the transferee, for the period during which the 
real property or structures are used for a purpose for which the Federal 
financial assistance is extended or for another purpose involving the 
provision of similar services or benefits.
    (2) Personal property. In the case of an application for Federal 
financial assistance for providing personal property, the assurance 
shall obligate the recipient for the period during which he retains 
ownership or possession of the property.
    (3) Other kinds of Federal financial assistance. In the case of an 
application for any other kind of Federal financial assistance, the 
assurance shall obligate the recipient for the period during which 
Federal financial assistance is extended pursuant to the application.
    (c) Assurances for research, training, or educational programs. (1) 
In the case of application by an institution of higher education or any 
other organization for Federal financial assistance for a program or 
activity which involves participation by students, fellows or trainees, 
including but not limited to assistance for research, training, or the 
provision of facilities, the assurance required by this Sec. 1250.104 
shall extend to admission practices and to all other practices relating 
to the treatment of students or other participants.
    (2) The assurances from such an applicant shall be applicable to the 
entire organization of the applicant.
    (d) Assurances for construction of facilities. In the case of 
assistance for the construction of a facility, or part thereof, the 
assurance shall extend to the entire facility and to facilities operated 
in connection therewith. In grants to assist in the construction of 
facilities for the provision of research, training, or educational 
services, assurances will be required that services will be provided 
without discrimination, to the same extent that discrimination would be 
forbidden as a condition of grants for the support of such services. 
Thus, as a condition of grants for the construction of academic, 
research or other facilities at institutions of higher education, 
assurances will be required that there will be no

[[Page 225]]

discrimination in the admission or treatment of students. Also, see 
paragraph (c) of this section for the requirement as to the 
applicability of the assurance to the applicant's organization.
    (e) Instrument effecting or recording transfers of real property. 
The instrument effecting or recording the transfer, shall contain a 
covenant running with the land assuring nondiscrimination for the period 
during which the real property is used for a purpose for which the 
Federal financial assistance is extended or for another purpose 
involving the provision of similar services or benefits. Where no 
transfer of property is involved, but property is improved with Federal 
financial assistance, the recipient shall agree to include such a 
covenant in any subsequent transfer of such property. Where the property 
is obtained from the Federal Government, such covenant may also include 
a condition coupled with a right to be reserved by NASA to revert title 
to the property in the event of a breach of the covenant where, in the 
discretion of the responsible NASA official, such a condition and right 
of reverter is appropriate to the statute under which the real property 
is obtained and to the nature of the grant and the grantee.
    (f) Assurances for transfer of surplus real property. Transfers of 
surplus property are subject to regulations issued by the Administrator 
of General Services (41 CFR 101-6.2).
    (g) Form of assurances. The responsible NASA officials shall specify 
the form of assurances required by this Sec. 1250.104 and the extent to 
which like assurances will be required by subgrantees, contractors and 
subcontractors, transferees, successors in interest, and other 
participants in the program.
    (h) Requests for proposals. Any request for proposals issued by NASA 
which relates to covered financial assistance listed in appendix A shall 
have set forth therein or have attached thereto the assurance prescribed 
in accordance with paragraph (g) of this section, and shall require that 
the proposer either include the assurance as a part of his signed 
proposal or identify and refer to an assurance already signed and 
submitted by the proposer.

[30 FR 301, Jan. 9, 1965, as amended at 38 FR 17937, July 5, 1973; 68 FR 
51350, Aug. 26, 2003]



Sec. 1250.105  Compliance information.

    (a) Cooperation and assistance. Each responsible NASA official shall 
to the fullest extent practicable seek the cooperation of recipients in 
obtaining compliance with this part and shall provide assistance and 
guidance to recipients to help them comply voluntarily with this part.
    (b) Compliance reports. Each recipient shall keep such records and 
submit to the Principal Compliance Officer or his designee timely, 
complete and accurate compliance reports at such times, and in such form 
and containing such information, as the Principal Compliance Officer or 
his designee may determine to be necessary to enable him to ascertain 
whether the recipient has complied or is complying with this part. In 
the case in which a primary recipient extends Federal financial 
assistance to any other recipient, such other recipient shall also 
submit such compliance reports to the primary recipient as may be 
necessary to enable the primary recipient to carry out its obligations 
under this part.
    (c) Access to sources of information. Each recipient shall permit 
access by the Principal Compliance Officer or his designee during normal 
business hours to such of its books, records, accounts and other sources 
of information, and its facilities as may be pertinent to ascertain 
compliance with this part. Where any information required of a recipient 
is in the exclusive possession of any other agency, institution or 
person and that agency, institution or person shall fail or refuse to 
furnish this information, the recipient shall so certify in its report 
and shall set forth what efforts it has made to obtain the information.
    (d) Information to beneficiaries and participants. Each recipient 
shall make available to participants, beneficiaries, and other 
interested persons such information regarding the provisions of this 
part and its applicability to the program for which the recipient 
receives Federal financial assistance, and make such information 
available to

[[Page 226]]

them in such manner, as the Principal Compliance Officer finds necessary 
to apprise such persons of the protection against discrimination assured 
them by the Act and this part.

[30 FR 301, Jan. 9, 1965, as amended at 68 FR 51350, Aug. 26, 2003]



Sec. 1250.106  Conduct of investigations.

    (a) Periodic compliance reviews. The responsible NASA official or 
his designee shall from time to time review the practices of recipients 
to determine whether they are complying with this part.
    (b) Complaints. Any person who believes himself or any specific 
class of individuals to be subjected to discrimination prohibited by 
this part may by himself or by a representative file with the Principal 
Compliance Officer or his designee a written complaint. A complaint must 
be filed not later than 90 days from the date of the alleged 
discrimination, unless the time for filing is extended by the Principal 
Compliance Officer or his designee.
    (c) Investigations. The Principal Compliance Officer or his designee 
will make a prompt investigation whenever a compliance review, report, 
complaint, or any other information indicates a possible failure to 
comply with this part. The investigation should include, where 
appropriate, a review of the pertinent practices and policies of the 
recipient, the circumstances under which the possible noncompliance with 
this part occurred, and other factors relevant to a determination as to 
whether the recipient has failed to comply with this part.
    (d) Resolution of matters. (1) If an investigation pursuant to 
paragraph (c) of this section indicates a failure to comply with this 
part, the Principal Compliance Officer or his designee will so inform 
the recipient and the matter will be resolved by informal means whenever 
possible. If it has been determined that the matter cannot be resolved 
by informal means, action will be taken as provided for in Sec. 
1250.107.
    (2) If an investigation does not warrant action pursuant to 
paragraph (d)(1) of this section, the responsible NASA official or his 
designee will so inform the recipient and the complainant, if any, in 
writing.
    (e) Intimidatory or retaliatory acts prohibited. No recipient or 
other person shall intimidate, threaten, coerce, or discriminate against 
any individual for the purpose of interfering with any right or 
privilege secured by section 601 of the Act or this part, or because he 
has made a complaint, testified, assisted, or participated in any manner 
in an investigation, proceeding, or hearing under this part. The 
identity of complainants shall be kept confidential except to the extent 
necessary to carry out the purposes of this part, including the conduct 
of any investigation, hearing, or judicial proceeding arising 
thereunder.



Sec. 1250.107  Procedure for effecting compliance.

    (a) General. If there appears to be a failure or threatened failure 
to comply with this part, and if the noncompliance or threatened 
noncompliance cannot be corrected by informal means, compliance with 
this part may be effected by the suspension or termination of or refusal 
to grant or to continue Federal financial assistance or by any other 
means authorized by law. Such other means may include, but are not 
limited to, (1) a reference to the Department of Justice with a 
recommendation that appropriate proceedings be brought to enforce any 
rights of the United States under any law of the United States 
(including other titles of the Act), or any assurance or other 
contractual undertaking, and (2) any applicable proceeding under State 
or local law.
    (b) Noncompliance with Sec. 1250.104. If an applicant fails or 
refuses to furnish an assurance required under Sec. 1250.104 or 
otherwise fails or refuses to comply with a requirement imposed by or 
pursuant to that section, Federal financial assistance may be refused in 
accordance with the procedures of paragraph (c) of this section. NASA 
shall not be obligated to provide assistance in such a case during the 
pendency of the administrative proceedings under such subsection except 
that NASA shall continue assistance during the pendency of such 
proceedings where such assistance is due and payable pursuant to an 
application therefor approved prior to the effective date of this part.

[[Page 227]]

    (c) Termination of or refusal to grant or to continue Federal 
financial assistance. No order suspending, terminating or refusing to 
grant or continue Federal financial assistance shall become effective 
until (1) the responsible NASA official has advised the applicant or 
recipient of his failure to comply and has determined that compliance 
cannot be secured by voluntary means, (2) there has been an express 
finding on the record, after opportunity for hearing, of a failure by 
the applicant or recipient to comply with a requirement imposed by or 
pursuant to this part, (3) the action has been approved by the 
Administrator pursuant to Sec. 1250.109(e), and (4) the expiration of 
30 days after the Administrator has filed with the committee of the 
House and the committee of the Senate having legislative jurisdiction 
over the program involved, a full written report of the circumstances 
and the grounds for such action. Any action to suspend or terminate or 
to refuse to grant or to continue Federal financial assistance shall be 
limited to the particular political entity, or part thereof, or other 
applicant or recipient as to whom such a finding has been made and shall 
be limited in its effect to the particular program, or part thereof, in 
which such noncompliance has been so found.
    (d) Other means authorized by law. No action to effect compliance by 
any other means authorized by law shall be taken until (1) the Principal 
Compliance Officer has determined that compliance cannot be secured by 
voluntary means, (2) the recipient or other person has been notified of 
its failure to comply and of the action to be taken to effect compliance 
and (3) the expiration of at least 10 days from the mailing of such 
notice to the recipient or other person. During this period of at least 
10 days additional efforts shall be made to persuade the recipient or 
other person to comply with this part and to take such corrective action 
as may be appropriate.

[30 FR 301, Jan. 9, 1965, as amended at 38 FR 17937, July 5, 1973]



Sec. 1250.108  Hearings.

    (a) Opportunity for hearing. Whenever an opportunity for a hearing 
is required by Sec. 1250.107(c), reasonable notice shall be given by 
registered or certified mail, return receipt requested, to the affected 
applicant or recipient. This notice shall advise the applicant or 
recipient of the action proposed to be taken, the specific provision 
under which the proposed action against it is to be taken, and the 
matters of fact or law asserted as the basis for this action, and either 
(1) fix a date not less than 20 days after the date of such notice 
within which the applicant or recipient may request of the Principal 
Compliance Officer that the matter be scheduled for hearing or (2) 
advise the applicant or recipient that the matter in question has been 
set down for hearing at a stated place and time. The time and place so 
fixed shall be reasonable and shall be subject to change for cause. The 
complainant, if any, shall be advised of the time and place of the 
hearing. An applicant or recipient may waive a hearing and submit 
written information and argument for the record. The failure of an 
applicant or recipient to request a hearing under this paragraph or to 
appear at a hearing for which a date has been set shall be deemed to be 
a waiver of the right to a hearing under section 602 of the Act and 
Sec. 1250.107(c) of this part and consent to the making of a decision 
on the basis of such information as is available.
    (b) Time and place of hearing. Hearings shall be held at NASA 
Headquarters in Washington, DC, at a time fixed by the Principal 
Compliance Officer unless he determines that the convenience of the 
applicant or recipient or of NASA requires that another place be 
selected. Hearings shall be held before the Administrator, or, at his 
discretion, before a hearing examiner designated in conformity with 5 
U.S.C. 3105 and 3344 (section 11 of the Administrative Procedure Act).
    (c) Right to counsel. In all proceedings under this section, the 
applicant or recipient and NASA shall have the right to be represented 
by counsel.
    (d) Procedures, evidence, and record. (1) The hearing, decision, and 
any administrative review thereof shall be conducted in conformity with 
5 U.S.C. 554-557 (section 5-8 of the Administrative Procedure Act), and 
in accordance with such rules of procedure as are proper

[[Page 228]]

(and not inconsistent with this section) relating to the conduct of the 
hearing, giving of notices subsequent to those provided for in paragraph 
(a) of this section, taking of testimony, exhibits, arguments, and 
briefs, requests for findings, and other related matters. Both NASA and 
the applicant or recipient shall be entitled to introduce all relevant 
evidence on the issues as stated in the notice for hearing or as 
determined by the officer conducting the hearing at the outset of or 
during the hearing.
    (2) Technical rules of evidence shall not apply to hearings 
conducted pursuant to this part, but rules or principles designed to 
assure production of the most credible evidence available and to subject 
testimony to test by cross-examination shall be applied where reasonably 
necessary by the officer conducting the hearing. The hearing officer may 
exclude irrelevant, immaterial, or unduly repetitious evidence. All 
documents and other evidence offered or taken for the record shall be 
open to examination by the parties and opportunity shall be given to 
refute facts and arguments advanced on either side of the issues. A 
transcript shall be made of the oral evidence except to the extent the 
substance thereof is stipulated for the record. All decisions shall be 
based upon the hearing record and written findings shall be made.
    (e) Consolidated or joint hearings. In cases in which the same or 
related facts are asserted to constitute non-compliance with this part 
with respect to two or more Federal statutes, authorities, or other 
means by which Federal financial assistance is extended and to which 
this part applies, or non-compliance with this part and the regulations 
of one or more other Federal departments or agencies issued under Title 
VI of the Act, the Administrator may, by agreement with such other 
departments or agencies where applicable, provide for the conduct of 
consolidated or joint hearings, and for the application to such hearings 
of rules of procedures not inconsistent with the part. Final decisions 
in such cases, insofar as this part is concerned, shall be made in 
accordance with Sec. 1250.109.

[30 FR 301, Jan. 9, 1965, as amended at 38 FR 17937, July 5, 1973; 68 FR 
51350, Aug. 26, 2003]



Sec. 1250.109  Decisions and notices.

    (a) Decision by person other than the NASA Principal Compliance 
Officer. If the hearing is held by a hearing examiner, such hearing 
examiner shall either make an initial decision, if so authorized, or 
certify the entire record including his recommended findings and 
proposed decision to the Principal Compliance Officer for a final 
decision, and a copy of such initial decision or certification shall be 
mailed to the applicant or recipient. Where the initial decision is made 
by the hearing examiner, the applicant or recipient may, within 30 days 
of the mailing of such notice of initial decision, file with the 
Principal Compliance Officer his exceptions to the initial decision with 
his reasons therefor. In the absence of exceptions, the Principal 
Compliance Officer may on his own motion, within 45 days after the 
initial decision, serve on the applicant or recipient a notice that he 
will review the decision. Upon the filing of such exceptions or of such 
notice of review the Principal Compliance Officer shall review the 
initial decision and issue his own decision thereon including the 
reasons therefor. In the absence of either exceptions or a notice of 
review the initial decision shall constitute the final decision of the 
Principal Compliance Officer.
    (b) Decisions on record or review by the NASA Principal Compliance 
Officer. Whenever a record is certified to the Principal Compliance 
Officer for decision or he reviews the decision of a hearing examiner 
pursuant to paragraph (a) of this section, or whenever the Administrator 
conducts the hearing, the applicant or recipient shall be given 
reasonable opportunity to file with him briefs or other written 
statements of its contentions, and a copy of the final decision of the 
Principal Compliance Officer shall be given in writing to the applicant 
or recipient and to the complainant, if any.
    (c) Decisions on record where a hearing is waived. Whenever a 
hearing is waived pursuant to Sec. 1250.108, a decision shall be made 
by the Principal Compliance

[[Page 229]]

Officer on the record and a copy of such decision shall be given in 
writing to the applicant or recipient, and to the complainant, if any.
    (d) Rulings required. Each decision of a hearing officer or the 
Principal Compliance Officer shall set forth his ruling on each finding, 
conclusion, or exception presented, and shall identify the requirement 
or requirements imposed by or pursuant to this part with which it is 
found that the applicant or recipient has failed to comply.
    (e) Approval by administrator. Any final decision of the NASA 
Principal Compliance Officer which provides for the suspension or 
termination of, or the refusal to grant or continue Federal financial 
assistance, or the imposition of any other sanction available under this 
part or the Act, shall promptly be transmitted to the Administrator, who 
may approve such decision, may vacate it, or remit or mitigate any 
sanction imposed.
    (f) Content of orders. The final decision may provide for suspension 
or termination of, or refusal to grant or continue Federal financial 
assistance, in whole or in part, to which this regulation applies, and 
may contain such terms, conditions, and other provisions as are 
consistent with and will effectuate the purposes of the Act and this 
part including provisions designed to assure that no Federal financial 
assistance to which this regulation applies will thereafter be extended 
to the applicant or recipient determined by such decision to be in 
default in its performance of an assurance given by it pursuant to this 
part, or to have otherwise failed to comply with this part, unless and 
until it corrects its non-compliance and satisfies the Principal 
Compliance Officer that it will fully comply with this part.
    (g) Post termination proceedings. (1) An applicant or recipient 
adversely affected by an order issued under paragraph (f) of this 
section shall be restored to full eligibility to receive Federal 
financial assistance if it satisfies the terms and conditions of that 
order for such eligibility or if it brings itself into compliance with 
this regulation and provides reasonable assurance that it will fully 
comply with this regulation.
    (2) Any applicant or recipient adversely affected by an order 
entered pursuant to paragraph (f) of this section may at any time 
request the Principal Compliance Officer to restore fully the 
eligibility to receive Federal financial assistance. Any such request 
shall be supported by information showing that the applicant or 
recipient has met the requirements of paragraph (g)(1) of this section. 
If the Principal Compliance Officer determines that those requirements 
have been satisfied, he shall restore such eligibility.
    (3) If the Principal Compliance Officer denies any such request, the 
applicant or recipient may submit a request for a hearing in writing, 
specifying why it believes such official to have been in error. It shall 
thereupon be given an expeditious hearing, with a decision on the 
record, in accordance with rules of procedure issued by the Principal 
Compliance Officer. The applicant or recipient will be restored to such 
eligibility if it proves at such a hearing that it satisfied the 
requirements of paragraph (g)(1) of this section. While proceedings 
under this paragraph are pending, the sanctions imposed by the order 
issued under paragraph (f) of this section shall remain in effect.

[30 FR 301, Jan. 9, 1965, as amended at 38 FR 17937, July 5, 1973; 68 FR 
51350, Aug. 26, 2003]



Sec. 1250.110  Judicial review.

    Action taken pursuant to section 602 of the Act is subject to 
judicial review as provided in section 603 of the Act.



Sec. 1250.111  Effect on other regulations; forms and instructions.

    (a) Effect on other regulations. All regulations, orders, or like 
directions heretofore issued by any officer of NASA which impose 
requirements designed to prohibit any discrimination against individuals 
on the ground of race, color, or national origin under any program to 
which this part applies, and which authorize the suspension or 
termination of or refusal to grant or to continue Federal financial 
assistance to any applicant for or recipient of such assistance for 
failure to comply with such requirements, are hereby superseded to the 
extent that such discrimination is prohibited by this part, except that 
nothing in this part shall

[[Page 230]]

be deemed to relieve any person of any obligation assumed or imposed 
under any such superseded regulation, order, instruction, or like 
direction prior to the effective date of this Instruction. Nothing in 
this part, however, shall be deemed to supersede any of the following 
(including future amendments thereof): (1) Executive Orders 10925 and 
11246 and regulations or instructions issued thereunder, or (2) any 
other regulations or instructions, insofar as such other regulations or 
instructions prohibit discrimination on the ground of race, color, or 
national origin in any program or situation to which this part is 
inapplicable, or prohibit discrimination on any other ground.
    (b) Forms and instructions. Each responsible NASA official shall 
issue and promptly make available to interested persons forms and 
detailed instructions and procedures for effectuating this part as 
applied to financial assistance to which this part applies and for which 
he is responsible.
    (c) Supervision and coordination. The Administrator may assign to 
officials of other departments or agencies of the Government, with the 
consent of such departments or agencies, responsibilities in connection 
with the effectuation of the purposes of Title VI of the Act and this 
part (other than responsibility for final decision as provided in Sec. 
1250.109), including the achievement of effective coordination and 
maximum uniformity within NASA and within the Executive Branch of the 
Government in the application of Title VI and this part to similar 
programs and in similar situations. Any action taken, determination 
made, or requirement imposed by an official of another department or 
agency acting pursuant to an assignment of responsibility under this 
subsection shall have the same effect as though such action has been 
taken by the responsible official of this agency.

[30 FR 301, Jan. 9, 1965, as amended at 38 FR 17937, July 5, 1973; 68 FR 
51350, Aug. 26, 2003]



Sec. 1250.112  Relationship with other officials.

    NASA officials, in performing the functions assigned to them by this 
part, are responsible for recognizing the delegations of authority and 
responsibility of other NASA officials and for seeing the actions taken 
or instructions issued by them are properly coordinated with the offices 
and divisions having joint interests.

Appendix A to Part 1250--NASA Federal Financial Assistance to Which This 
                              Part Applies

    1. Grants made under the authority of Pub. L. 85-934, approved 
September 6, 1958 (42 U.S.C. 1891-1893).
    2. Contracts with nonprofit institutions of higher education or with 
nonprofit organizations whose primary purpose is the conduct of 
scientific research, wherein title to equipment purchased with funds 
under such contracts may be vested in such institutions or organizations 
under the authority of section 2 of Pub. L. 85-934, approved September 
6, 1938 (42 U.S.C. 1892).
    3. Training grants made under the authority of the National 
Aeronautics and Space Act of 1958, as amended (42 U.S.C. 2451-2460, 
2472-2473).
    4. Facilities grants made under authority in annual NASA 
authorization and appropriation acts.

[30 FR 301, Jan. 9, 1965, as amended at 38 FR 17936, July 5, 1973]



PART 1251--NONDISCRIMINATION ON BASIS OF HANDICAP--Table of Contents




                   Subpart 1251.1--General Provisions

Sec.
1251.100 Purpose.
1251.101 Application.
1251.102 Definitions.
1251.103 Discrimination prohibited.
1251.104 Assurances required.
1251.105 Remedial action, voluntary action, and self-evaluation.
1251.106 Designation of responsible employee and adoption of grievance 
          procedures.
1251.107 Notice.
1251.108 Administrative requirements for small recipients.
1251.109 Effect of State or local law or other requirements and effect 
          of employment opportunities.

                  Subpart 1251.2--Employment Practices

1251.200 Discrimination prohibited.
1251.201 Reasonable accommodation.
1251.202 Employment criteria.
1251.203 Preemployment inquiries.

                      Subpart 1251.3--Accessibility

1251.300 Discrimination prohibited.

[[Page 231]]

1251.301 Existing facilities.
1251.302 New construction.

                       Subpart 1251.4--Procedures

1251.400 Procedures for compliance.

    Subpart 1251.5--Enforcement of Nondiscrimination on the Basis of 
Handicap in Programs or Activities Conducted by the National Aeronautics 
                        and Space Administration

1251.501 Purpose.
1251.502 Application.
1251.503 Definitions.
1251.504-1251.509 [Reserved]
1251.510 Self-evaluation.
1251.511 Notice.
1251.512-1251.529 [Reserved]
1251.530 General prohibitions against discrimination.
1251.531-1251.539 [Reserved]
1251.540 Employment.
1251.541-1251.548 [Reserved]
1251.549 Program accessibility: Discrimination prohibited.
1251.550 Program accessibility: Existing facilities.
1251.551 Program accessibility: New construction and alterations.
1251.552-1251.559 [Reserved]
1251.560 Communications.
1251.561-1251.569 [Reserved]
1251.570 Compliance procedures.
1251.571-1251.999 [Reserved]

    Authority: 29 U.S.C. 794.

    Source: 51 FR 26862, July 28, 1986, unless otherwise noted.



                   Subpart 1251.1--General Provisions



Sec. 1251.100  Purpose.

    This part effectuates section 504 of the Rehabilitation Act of 1973, 
which is designed to eliminate discrimination on the basis of handicap 
in any program or activity receiving Federal financial assistance.



Sec. 1251.101  Application.

    This part applies to each recipient of Federal financial assistance 
from the National Aeronautics and Space Administration and to each 
program or activity that receives such assistance.

[51 FR 26862, July 28, 1986, as amended at 68 FR 51351, Aug. 26, 2003]



Sec. 1251.102  Definitions.

    As used in this part, the term:
    (a) The Act means the Rehabilitation Act of 1973, Pub. L. 93-112, as 
amended by the Rehabilitation Act Amendments of 1974, Pub. L. 93-516, 29 
U.S.C. 794.
    (b) Section 504 means section 504 of the Act.
    (c) Assistant Administrator means the Assistant Administrator for 
Equal Opportunity Programs for NASA.
    (d) Recipient means any state or its political subdivision, any 
instrumentality of a state or its political subdivision, any public or 
private agency, institution, organization, or other entry, or any person 
to which Federal financial assistance is extended directly or through 
another recipient, including any successor, assignee, or transferee of a 
recipient, but excluding the ultimate beneficiary of the assistance.
    (e) Applicant for assistance means one who submits an application, 
request, or plan required to be approved by a NASA official or by a 
recipient as a condition to becoming a recipient.
    (f) Federal financial assistance means any grant, loan, contract 
(other than a procurement contract or a contract of insurance or 
guaranty), or any other arrangement by which the agency provides or 
otherwise makes available assistance in the form of:
    (1) Funds;
    (2) Services of Federal personnel; or
    (3) Real and personal property or any interest in or use of such 
property, including:
    (i) Transfers or leases of such property for less than fair market 
value or for reduced consideration; and
    (ii) Proceeds from a subsequent transfer or lease of such property 
if the Federal share of its fair market value is not returned to the 
Federal Government.
    (g) Facility means all or any portion of buildings, structures, 
equipment, roads, walks, parking lots, or other real or personal 
property or interest in such property.
    (h) Handicapped person. (1) Handicapped persons means any person 
who:
    (i) Has a physical or mental impairment which substantially limits 
one or more major life activities;
    (ii) Has a record of such an impairment; or
    (iii) Is regarded as having such an impairment.

[[Page 232]]

    (2) As used in paragraph (h)(1) of this section, the phrase:
    (i) Physical or mental impairment means:
    (A) Any physiological disorder or condition, cosmetic disfigurement, 
or anatomical loss affecting one or more of the following body systems: 
neurological; musculoskeletal; special sense organs; respiratory, 
including speech organs; cardiovascular; reproductive; digestive; 
genitourinary; hemic and lymphatic; skin; and endocrine; or
    (B) Any mental or psychological disorder, such as mental 
retardation, organic brain syndrome, emotional or mental illness, and 
specific learning disabilities. The term physical or mental impairment 
includes, but is not limited to, such diseases and conditions as 
orthopedic, visual, speech, and hearing impairments, cerebral palsy, 
epilepsy, muscular dystrophy, multiple sclerosis, cancer, heart disease, 
diabetes, mental retardation, emotional illness, drug addiction, and 
alcoholism.
    (ii) Major life activities means functions such as caring for one's 
self, performing manual tasks, walking, seeing, hearing, speaking, 
breathing, learning, and working.
    (iii) Has a record of such an impairment means has a history of, or 
has been misclassified as having, a mental or physical impairment that 
substantially limits one or more major life activities.
    (iv) Is regarded as having an impairment means:
    (A) Has a physical or mental impairment that does not substantially 
limit major life activities but that is treated by a recipient as 
constituting such a limitation;
    (B) Has a physical or mental impairment that substantially limits 
major life activities only as a result of the attitudes of others toward 
such impairment; or
    (C) Has none of the impairments defined in this paragraph but is 
treated by a recipient as having such an impairment.
    (i) Qualified handicapped person means:
    (1) With respect to employment, a handicapped person who, with 
reasonable accommodation, can perform the essential functions of the job 
in question;
    (2) With respect to other services, a handicapped person who meets 
the essential eligibility requirements for the receipt of such services.
    (j) Handicap means any condition or characteristic that renders a 
person a handicapped person as defined in paragraph (h) of this section.
    (k) Program or activity means all of the operations of any entity 
described in paragraphs (k)(1) through (4) of this section, any part of 
which is extended Federal financial assistance:
    (1)(i) A department, agency, special purpose district, or other 
instrumentality of a State or of a local government; or
    (ii) The entity of such State or local government that distributes 
such assistance and each such department or agency (and each other State 
or local government entity) to which the assistance is extended, in the 
case of assistance to a State or local government;
    (2)(i) A college, university, or other postsecondary institution, or 
a public system of higher education; or
    (ii) A local educational agency (as defined in 20 U.S.C. 7801), 
system of vocational education, or other school system;
    (3)(i) An entire corporation, partnership, or other private 
organization, or an entire sole proprietorship--
    (A) If assistance is extended to such corporation, partnership, 
private organization, or sole proprietorship as a whole; or
    (B) Which is principally engaged in the business of providing 
education, health care, housing, social services, or parks and 
recreation; or
    (ii) The entire plant or other comparable, geographically separate 
facility to which Federal financial assistance is extended, in the case 
of any other corporation, partnership, private organization, or sole 
proprietorship; or
    (4) Any other entity which is established by two or more of the 
entities described in paragraph (k) (1), (2), or (3) of this section.

[51 FR 26862, July 28, 1986, as amended at 68 FR 51351, Aug. 26, 2003]

[[Page 233]]



Sec. 1251.103  Discrimination prohibited.

    (a) General. No qualified handicapped person shall, on the basis of 
handicap, be excluded from participation in, be denied the benefits of, 
or otherwise be subjected to discrimination under any program or 
activity which receives Federal financial assistance.
    (b) Discriminatory actions prohibited. (1) A recipient, in providing 
any aid, benefits, or services, may not, directly or through 
contractual, licensing, or other arrangements, on the basis of handicap:
    (i) Deny a qualified handicapped person the opportunity to 
participate in or benefit from the aid, benefit, or service;
    (ii) Afford a qualified handicapped person an opportunity to 
participate in or benefit from aid, benefit, or service that is not 
equal to that afforded others;
    (iii) Provide a qualified handicapped person with an aid, benefit, 
or service that is not as effective as that provided to others;
    (iv) Provide different or separate aid, benefits, or services to 
handicapped persons or to any class of handicapped persons unless such 
action is necessary to provide qualified handicapped persons with aid, 
benefits, or services that are as effective as those provided to others;
    (v) Aid or perpetuate discrimination against a qualified handicapped 
person by providing significant assistance to an agency, organization, 
or person that discriminates on the basis of handicap in providing any 
aid, benefit, or service to beneficiaries of the recipient's program or 
activity;
    (vi) Deny a qualified handicapped person the opportunity to 
participate as a member of planning or advisory boards; or
    (vii) Otherwise limit a qualified handicapped person in the 
enjoyment of any right, privilege, advantage, or opportunity enjoyed by 
others receiving an aid, benefit, or service.
    (2) For purposes of this part, aids, benefits, and services, to be 
equally effective, are not required to produce the identical result or 
level of achievement for handicapped persons and nonhandicapped persons, 
but must afford handicapped persons equal opportunity to obtain the same 
result, to gain the same benefit, or to reach the same level of 
achievement, in the most integrated setting appropriate to the person's 
needs.
    (3) Recipients shall take appropriate steps to ensure that no 
handicapped individual is denied the benefits of, excluded from 
participation in, or otherwise subjected to discrimination in any 
program or activity receiving Federal financial assistance because of 
the absence of auxiliary aids for individuals with impaired sensory, 
manual, or speaking skills.
    (4) Despite the existence of separate or different aid, benefits, or 
services provided in accordance with this part, a recipient may not deny 
a qualified handicapped person the opportunity to participate in such 
programs or activities that are not separate or different.
    (5) A recipient may not, directly or through contractual or other 
arrangements, utilize criteria or methods of administration:
    (i) That have the effect of subjecting qualified handicapped persons 
to discrimination of the basis of handicap;
    (ii) That have the purpose or effect of defeating or substantially 
impairing accomplishment of the objectives of the recipient's program or 
activity with respect to handicapped persons; or
    (iii) That perpetuate the discrimination of another recipient if 
both recipients are subject to common administrative control or are 
agencies of the same State.
    (6) In determining the site or location of a facility, an applicant 
for assistance or a recipient may not make selections:
    (i) That have the effect of excluding handicapped persons from, 
denying them the benefits of, or otherwise subjecting them to 
discrimination under any program or activity that receives Federal 
financial assistance; or
    (ii) That have the purpose or effect of defeating or substantially 
impairing the accomplishment of the objectives of the program or 
activity with respect to handicapped persons.
    (7) As used in this section, the aid, benefit, or service provided 
under a program or activity receiving Federal financial assistance 
includes any aid, benefit, or service provided in or

[[Page 234]]

through a facility that has been constructed, expanded, altered, leased 
or rented, or otherwise acquired, in whole or in part, with Federal 
financial assistance.
    (8) Recipients shall take appropriate steps to ensure that 
communications with their applicants, employees, and beneficiaries are 
available to persons with impaired vision and hearing.
    (c) Aid, benefits, or services limited by Federal law. The exclusion 
of nonhandicapped persons from aid, benefits, or services limited by 
Federal statute of Executive order to handicapped persons from aid, 
benefits, or services limited by Federal statute or Executive order to a 
different class of handicapped persons is not prohibited by this part.

[51 FR 26862, July 28, 1986, as amended at 68 FR 51351, Aug. 26, 2003]



Sec. 1251.104  Assurances required.

    (a) Assurances. An applicant for Federal financial assistance to 
which this part applies shall submit an assurance, on a form specified 
by the Assistant Administrator, that the program or activity will be 
operated in compliance with this part. An applicant may incorporate 
these assurances by reference in subsequent applications to NASA.
    (b) Duration of obligation. (1) In the case of Federal financial 
assistance extended in the form of real property or to provide real 
property or structures on the property, the assurance will obligate the 
recipient or, in the case of a subsequent transfer, the transferee, for 
the period during which the real property or structures are used for the 
purpose for which Federal financial assistance is extended or for 
another purpose involving the provision of similar services or benefits.
    (2) In the case of Federal financial assistance extended to provide 
personal property, the assurance will obligate the recipient for the 
period during which it retains ownership or possession of the property.
    (3) In all other cases, the assurance will obligate the recipient 
for the period during which Federal financial assistance is extended.
    (c) Covenants. (1) Where Federal financial assistance is provided in 
the form of real property or interest in the property from NASA, the 
instrument effecting or recording this transfer shall contain a covenant 
running with the land to assure nondiscrimination for the period during 
which the real property is used for a purpose for which the Federal 
financial assistance is extended or for another purpose involving the 
provision of similar services or benefits.
    (2) Where no transfer of property is involved but property is 
purchased or improved with Federal financial assistance, the recipient 
shall agree to include the covenant described in paragraph (c)(3) of 
this section in the instrument effecting or recording any subsequent 
transfer of the property.
    (3) Where Federal financial assistance is provided in the form of 
real property or interest in the property from NASA, the covenant shall 
also include a condition coupled with a right to be reserved by NASA to 
revert title to the property in the event of a breach of the covenant. 
If a transferee of real property proposes to mortgage or otherwise 
encumber the real property as security for financing construction of 
new, or improvement of existing facilities on the property for the 
purposes for which the property was transferred, the Assistant 
Administrator may, upon request of the transferee and if necessary to 
accomplish such financing and upon such conditions as he or she deems 
appropriate, agree to forbear the exercise of such right to revert title 
for so long as the lien of such mortgage or other encumbrance remains 
effective.

[51 FR 26862, July 28, 1986, as amended at 68 FR 51351, Aug. 26, 2003]



Sec. 1251.105  Remedial action, voluntary action, and self-evaluation.

    (a) Remedial action. (1) If the Assistant Administrator finds that a 
recipient has discriminated against persons on the basis of handicap in 
violation of section 504 or this part, the recipient shall take such 
remedial action as the Assistant Administrator deems necessary to 
overcome the effects to the discrimination.
    (2) Where a recipient is found to have discriminated against persons 
on the basis of handicap in violation of section 504 or this part and 
where another

[[Page 235]]

recipient exercises control over the recipient that has discriminated, 
the Assistant Administrator, where appropriate, may require either or 
both recipients to take remedial action.
    (3) The Assistant Administrator may, where necessary to overcome the 
effects of discrimination in violation of section 504 or this part, 
require a recipient to take remedial action:
    (i) With respect to handicapped persons who are no longer 
participants in the recipient's program or activity but who were 
participants in the program or activity when such discrimination 
occurred; or
    (ii) With respect to handicapped persons who would have been 
participants in the program or activity had the discrimination not 
occurred; or
    (iii) With respect to handicapped persons presently in the program 
or activity, but not receiving full benefits or equal and integrated 
treatment within the program or activity.
    (b) Voluntary action. A recipient may take steps, in addition to any 
action that is required by this part, to overcome the effects of 
conditions that resulted in limited participation in the recipient's 
program or activity by qualified handicapped persons.
    (c) Self-evaluation. (1) A recipient shall, within 1 year of the 
effective date of this part; or within 1 year of first becoming a 
recipient:
    (i) Evaluate, with the assistance of interested persons, including 
handicapped persons or organizations representing handicapped persons, 
its current policies and practices and the effects thereof that do not 
or may not meet the requirements of this part;
    (ii) Modify, after consultation with interested persons, including 
handicapped persons or organizations representing handicapped persons, 
any policies and practices that do not meet the requirements of this 
part; and
    (iii) Take, after consultation with interested persons, including 
handicapped persons or organizations representing handicapped persons, 
appropriate remedial steps to eliminate the effects of any 
discrimination that resulted from adherence to these policies and 
practices.
    (2) A recipient that employs 15 or more persons shall, for at least 
3 years, follow completion of the evaluation required under paragraph 
(c)(1) of this section, maintain on file, make available for public 
inspection, and provide to the Assistant Administrator upon request:
    (i) A list of the interested persons consulted;
    (ii) A description of areas examined and any problems identified; 
and
    (iii) A description of any modifications made and of any remedial 
steps taken.

[51 FR 26862, July 28, 1986, as amended at 68 FR 51351, Aug. 26, 2003]



Sec. 1251.106  Designation of responsible employee and adoption of grievance procedures.

    (a) Designation of responsible employee. A recipient that employs 15 
or more persons shall designate at least one person to coordinate its 
efforts to comply with this part.
    (b) Adoption of grievance procedures. A recipient that employs 15 or 
more persons shall adopt grievance procedures that incorporate 
appropriate due process standards and that provide for the prompt and 
equitable resolution of complaints alleging any action prohibited by 
this part. Such procedures need not to be established with respect to 
complaints from applicants for employment or from applicants for 
admission to postsecondary educational institutions.



Sec. 1251.107  Notice.

    (a) A recipient that employs 15 or more persons shall take 
appropriate initial and continuing steps to notify participants, 
beneficiaries, applicants, and employees, including those with impaired 
vision or hearing, and unions or professional organizations holding 
collective bargaining or professional agreements with the recipient that 
it does not discriminate on the basis of handicap in violation of 
section 504 and this part. The notification shall state, where 
appropriate, that the recipient does not discriminate in admission or 
access to, or treatment or employment in, its programs or activities. 
The notification shall also include an identification of the responsible 
employee designated pursuant to Sec. 1251.106(a). A

[[Page 236]]

recipient shall make the initial notification required by this paragraph 
within 90 days of the effective date of this part. Methods of initial 
and continuing notification may include the posting of notices, 
publication in newspapers and magazines, placement of notices in 
recipient's publication, and distribution of memoranda or other written 
communications.
    (b) If a recipient publishes or uses recruitment materials or 
publications containing general information that it makes available to 
participants, beneficiaries, applicants, or employees, it shall include 
in those materials or publications a statement of the policy described 
in paragraph (a) of this section. A recipient may meet the requirement 
of this section and this paragraph either by including appropriate 
inserts in existing materials and publications or by revising and 
reprinting the materials and publications.

[51 FR 26862, July 28, 1986, as amended at 68 FR 51351, Aug. 26, 2003]



Sec. 1251.108  Administrative requirements for small recipients.

    The Assistant Administrator may require any recipient with fewer 
than 15 employees, or any class of such recipients, to comply with 
Sec. Sec. 1251.106 and 1251.107, in whole or in part, when the 
Assistant Administrator finds a violation of this part or finds that 
such compliance will not significantly impair the ability of the 
recipient or class of recipients to provide benefits or services.



Sec. 1251.109  Effect of State or local law or other requirements and effect of employment opportunities.

    (a) The obligation to comply with this part is not obviated or 
alleviated by the existence of any state or local law or other 
requirement that, on the basis of handicap, imposes prohibitions or 
limits upon the eligibility of qualified handicapped persons to receive 
services or to practice any occupation or profession.
    (b) The obligation to comply with this part is not obviated or 
alleviated because employment opportunities in any occupation or 
profession are or may be more limited for handicapped persons than for 
nonhandicapped persons.



                  Subpart 1251.2--Employment Practices



Sec. 1251.200  Discrimination prohibited.

    (a) General. (1) No qualified handicapped person shall, on the basis 
of handicap, be subjected to discrimination in employment under any 
program or activity to which this part applies.
    (2) A recipient that receives assistance shall take positive steps 
to employ and advance in employment qualified handicapped persons in 
programs or activities assisted under the Act.
    (3) A recipient shall make all decisions concerning employment under 
any program or activity to which this part applies in a manner which 
ensures that discrimination on the basis of handicap does not occur and 
may not limit, segregate, or classify applicants or employees in any way 
that adversely affects their opportunities or status because of 
handicap.
    (4) A recipient may not participate in a contractual or other 
relationship that has the effect of subjecting qualified handicapped 
applicants or employees to discrimination prohibited by this subpart. 
The relationships referred to in this subparagraph include relationships 
with employment and referral agencies, with labor unions, with 
organizations providing or administering fringe benefits to employees of 
the recipient, and with organizations providing training and 
apprenticeships.
    (b) Specific activities. The provisions of this subpart apply to:
    (1) Recruitment, advertising, and the processing of applications for 
employment;
    (2) Hiring, upgrading, promotion, award of tenure, demotion, 
transfer, layoff, termination, right of return from layoff, and 
rehiring;
    (3) Rates of pay or any other form of compensation and changes in 
compensation;
    (4) Job assignments, job classifications, organizational structures, 
position descriptions, lines of progression, and seniority lists;
    (5) Leaves of absence, sick leave, or any other leave;

[[Page 237]]

    (6) Fringe benefits available by virtue of employment, whether or 
not administered by the recipient;
    (7) Selection and financial support for training, including 
apprenticeship, professional meetings, conferences, and other related 
activities, and selection for leaves of absence to pursue training;
    (8) Employer sponsored activities, including those that are social 
or recreational; and
    (9) Any other term, condition, or privilege of employment.
    (c) A recipient's obligation to comply with this subpart is not 
affected by any inconsistent term of any collective bargaining agreement 
to which it is a party.
    (d) A recipient may not participate in a contractual or other 
relationship that has the effect of subjecting qualified handicapped 
applicants or employees to discrimination prohibited by this subpart. 
The relationships referred to in this paragraph include relationships 
with employment and referral agencies, with labor unions, with 
organizations providing or administering fringe benefits to employees of 
the recipient, and with organizations providing training and 
apprenticeships.

[51 FR 26862, July 28, 1986, as amended at 68 FR 51351, Aug. 26, 2003]



Sec. 1251.201  Reasonable accommodation.

    (a) A recipient shall make reasonable accommodation to the known 
physical or mental limitations of an otherwise qualified handicapped 
applicant or employee unless the recipient can demonstrate that the 
accommodation would impose an undue hardship on the operation of its 
program or activity.
    (b) Reasonable accommodation may include:
    (1) Making facilities used by employees readily accessible to and 
usable by handicapped persons; and
    (2) Job restructuring, part-time or modified work schedules, 
acquisition or modification of equipment or devices, the provision of 
readers or interpreters, and other similar actions.
    (c) In determining pursuant to paragraph (a) of this section whether 
an accommodation would impose an undue hardship on the operation of a 
recipient's programor activity, factors to be considered include:
    (1) The overall size of the recipient's program or activity with 
respect to number of employees, number and type of facilities, and size 
of budget;
    (2) The type of the recipient's operation, including the composition 
and structure of the recipient's workforce; and
    (3) The nature and cost of the accommodation needed.
    (d) A recipient may not deny any employment opportunity to a 
qualified handicapped employee or applicant if the basis for the denial 
is the need to make reasonable accommodation to the physical or mental 
limitations of the employee or applicant.

[51 FR 26862, July 28, 1986, as amended at 68 FR 51351, Aug. 26, 2003]



Sec. 1251.202  Employment criteria.

    (a) A recipient may not make use of any employment test or other 
selection criterion that screens out or tends to screen out handicapped 
persons or any class of handicapped persons unless:
    (1) The test score or other selection criterion, as used by the 
recipient, is shown to be job-related for the position in question; and
    (2) Alternative job-related tests of criteria that do not screen out 
or tend to screen out as many handicapped persons are not shown by the 
Assistant Administrator to be available.
    (b) A recipient shall select and administer tests concerning 
employment so as best to ensure that, when administered to an applicant 
or employee who has a handicap that impairs sensory, manual, or speaking 
skills, the test results accurately reflect the applicant's or 
employee's job skills, aptitude, or whatever other factor the test 
purports to measure, rather than reflecting the applicant's or 
employee's impaired sensory, manual, or speaking skills (except where 
those skills are the factors that the test purports to measure).



Sec. 1251.203  Preemployment inquiries.

    (a) Except as provided in paragraphs (b) and (c) of this section, a 
recipient may not conduct a preemployment medical examination or may not 
make preemployment inquiry of an applicant

[[Page 238]]

as to whether the applicant is a handicapped person or as to the nature 
or severity of a handicap. A recipient may, however, make preemployment 
inquiry into an applicant's ability to perform job-related functions.
    (b) When a recipient is taking remedial action to correct the 
effects of past discrimination pursuant to Sec. 1251.105(a), when a 
recipient is taking voluntary action to overcome the effects of 
conditions that resulted in limited participation in its Federally 
assisted program or activity pursuant to Sec. 1251.105(b), or when a 
recipient is taking affirmative action pursuant to section 504 of the 
Act, the recipient may invite applicants for employment to indicate 
whether and to what extent they are handicapped, provided that:
    (1) The recipient states clearly on any written questionnaire used 
for this purpose or makes clear orally if no written questionnaire is 
used that the information requested is intended for use solely in 
connection with its remedial action obligations or its voluntary of 
affirmative action efforts; and
    (2) The recipient states clearly that the information is being 
requested on a voluntary basis, that it will be kept confidential as 
provided in paragraph (d) of this section, that refusal to provide it 
will not subject the applicant or employee to any adverse treatment, and 
that it will be used only in accordance with this part.
    (c) Nothing in this section shall prohibit a recipient from 
conditioning an offer of employment on the results of a medical 
examination conducted prior to the employee's entrance on duty, provided 
that:
    (1) All entering employees are subjected to such an examination 
regardless of handicap; and
    (2) The results of such an examination are used only in accordance 
with the requirements of this part.
    (d) Information obtained in accordance with this section as to the 
medical condition or history of the applicant shall be collected and 
maintained on separate forms that shall be accorded confidentiality as 
medical records, except that:
    (1) Supervisors and managers may be informed regarding restrictions 
on the work or duties of handicapped persons and regarding necessary 
accommodations;
    (2) First aid and safety personnel may be informed, where 
appropriate, if the condition might require emergency treatment; and
    (3) Government officials investigating compliance with the Act shall 
be provided relevant information upon request.



                      Subpart 1251.3--Accessibility



Sec. 1251.300  Discrimination prohibited.

    No qualified handicapped person shall, because a recipient's 
facilities are inaccessible to or unusable by handicapped persons, be 
denied the benefits of, be excluded from participation in, or otherwise 
be subjected to discrimination under any program or activity to which 
this part applies.



Sec. 1251.301  Existing facilities.

    (a) Accessibility. A recipient shall operate each program or 
activity to which his part applies so that when each part is viewed in 
its entirety it is readily accessible to handicapped persons. This 
paragraph does not require a recipient to make each of its existing 
facilities or every part of a facility accessible to and usable by 
handicapped persons.
    (b) Methods. A recipient may comply with the requirement of 
paragraph (a) of this section through such means as redesign of 
equipment; reassignment of classes or other services to accessible 
buildings; assignment of aides to beneficiaries; home visits; delivery 
of health, welfare, or other social services at alternate accessible 
sites; alteration of existing facilities and construction of new 
facilities in conformance with the requirements of Sec. 1251.302; or 
any other methods that result in making its program or activity 
accessible to handicapped persons. A recipient is not required to make 
structural changes in existing facilities where other methods are 
effective in achieving compliance with paragraph (a) of this section. In 
choosing among available methods for meeting the requirement of 
paragraph (a) of this section, a recipient shall give priority to those 
methods that serve to handicapped persons in the most integrated setting 
appropriate.

[[Page 239]]

    (c) Time period. A recipient shall comply with the requirement of 
paragraph (a) of this section within 60 days of the effective date of 
this part except that where structural changes in facilities are 
necessary, such changes shall be made within 3 years of the effective 
date of this part, but in any event as expeditiously as possible.
    (d) Transition plan. In the event that structural changes to 
facilities are necessary to meet the requirement of paragraph (a) of 
this section, a recipient shall develop, within 6 months of the 
effective date of this part, a transition plan setting forth the steps 
necessary to complete such changes. The plan shall be developed with the 
assistance of interested persons, including handicapped persons or 
organizations representing handicapped persons. A copy of the transition 
plan shall be made available for public inspection. The plan shall, at a 
minimum:
    (1) Identify physical obstacles in the recipient's facilities that 
limit the accessibility of its program or activity to handicapped 
persons;
    (2) Describe in detail the methods that will be used to make the 
facilities accessible;
    (3) Specify the schedule for taking the steps necessary to achieve 
full accessibility under paragraph (a) of this section and, if the time 
period of the transition plan is longer than 1 year, identify steps that 
will be taken during each year of the transition period; and
    (4) Indicate the person responsible for implementation of the plan.
    (e) Notice. The recipient shall adopt and implement procedures to 
ensure that interested persons, including persons with inpaired vision 
or hearing, can obtain information as to the existence and location of 
services, activities, and facilities that are accessible to and usable 
by handicapped persons.

[51 FR 26862, July 28, 1986, as amended at 68 FR 51351, Aug. 26, 2003]



Sec. 1251.302  New construction.

    (a) Design and construction. Each facility or part of a facility 
constructed by, on behalf of, or for the use of a recipient shall be 
designed and constructed in such manner that the facility or part of the 
facility is readily accessible to and usable by handicapped persons, if 
the construction (ground breaking) was commenced after the effective 
date of this part.
    (b) Alteration. Each facility or part of a facility which is altered 
by, on behalf of, or for the use of a recipient after the effective date 
of this part in a manner that affects or could affect the usability of 
the facility or part of the facility shall, to the maximum extent 
feasible, be altered in such manner that the altered portion of the 
facility is readily accessible to and usable by handicapped persons.
    (c) Conformance with Uniform Federal Accessibility Standards. (1) 
Effective as of January 18, 1991, design, construction, or alteration of 
buildings in conformance with sections 3-8 of the Uniform Federal 
Accessibility Standards (USAF) (appendix A to 41 CFR subpart 101-19.6) 
shall be deemed to comply with the requirements of this section with 
respect to those buildings. Departures from particular technical and 
scoping requirements of UFAS by the use of other methods are permitted 
where substantially equivalent or greater access to and usability of the 
building is provided.
    (2) For purposes of this section, section 4.1.6(1)(g) of UFAS shall 
be interpreted to exempt from the requirements of UFAS only mechanical 
rooms and other spaces that, because of their intended use, will not 
require accessibility to the public or beneficiaries or result in the 
employment or residence therein of persons with physical handicaps.
    (3) This section does not require recipients to make building 
alterations that have little likelihood of being accomplished without 
removing or altering a load-bearing structural member.

[51 FR 26862, July 28, 1986, as amended at 55 FR 52138, 52140, Dec. 19, 
1990]



                       Subpart 1251.4--Procedures



Sec. 1251.400  Procedures for compliance.

    The procedural provisions applicable to Title VI of the Civil Rights 
Act of 1964 apply to this part. These procedures are found in Sec. Sec. 
1250.106, 1250.108 and 1250.110 of this chapter.

[[Page 240]]



    Subpart 1251.5--Enforcement of Nondiscrimination on the Basis of 
Handicap in Programs or Activities Conducted by the National Aeronautics 
                        and Space Administration

    Source: 53 FR 25882 and 25885, July 8, 1988, unless otherwise noted.



Sec. 1251.501  Purpose.

    The purpose of this regulation is to effectuate section 119 of the 
Rehabilitation, Comprehensive Services, and Developmental Disabilities 
Amendments of 1978, which amended section 504 of the Rehabilitation Act 
of 1973 to prohibit discrimination on the basis of handicap in programs 
or activities conducted by Executive agencies or the United States 
Postal Service.



Sec. 1251.502  Application.

    This regulation (Sec. Sec. 1251.501-1251.570) applies to all 
programs or activities conducted by the agency, except for programs or 
activities conducted outside the United States that do not involve 
individuals with handicaps in the United States.



Sec. 1251.503  Definitions.

    For purposes of this regulation, the term--
    Assistant Attorney General means the Assistant Attorney General, 
Civil Rights Division, United States Department of Justice.
    Auxiliary aids means services or devices that enable persons with 
impaired sensory, manual, or speaking skills to have an equal 
opportunity to participate in, and enjoy the benefits of, programs or 
activities conducted by the agency. For example, auxiliary aids useful 
for persons with impaired vision include readers, Brailled materials, 
audio recordings, and other similar services and devices. Auxiliary aids 
useful for persons with impaired hearing include telephone handset 
amplifiers, telephones compatible with hearing aids, telecommunication 
devices for deaf persons (TDD's), interpreters, notetakers, written 
materials, and other similar services and devices.
    Complete complaint means a written statement that contains the 
complainant's name and address and describes the agency's alleged 
discriminatory action in sufficient detail to inform the agency of the 
nature and date of the alleged violation of section 504. It shall be 
signed by the complainant or by someone authorized to do so on his or 
her behalf. Complaints filed on behalf of classes or third parties shall 
describe or identify (by name, if possible) the alleged victims of 
discrimination.
    Facility means all or any portion of buildings, structures, 
equipment, roads, walks, parking lots, rolling stock or other 
conveyances, or other real or personal property.
    Historic preservation programs means programs conducted by the 
agency that have preservation of historic properties as a primary 
purpose.
    Historic properties means those properties that are listed or 
eligible for listing in the National Register of Historic Places or 
properties designated as historic under a statute of the appropriate 
State or local government body.
    Individual with handicaps means any person who has a physical or 
mental impairment that substantially limits one or more major life 
activities, has a record of such an impairment, or is regarded as having 
such an impairment.
    As used in this definition, the phrase:
    (1) Physical or mental impairment includes--
    (i) Any physiological disorder or condition, cosmetic disfigurement, 
or anatomical loss affecting one or more of the following body systems: 
Neurological; musculoskeletal; special sense organs; respiratory, 
including speech organs; cardiovascular; reproductive; digestive; 
genitourinary; hemic and lymphatic; skin; and endocrine; or
    (ii) Any mental or psychological disorder, such as mental 
retardation, organic brain syndrome, emotional or mental illness, and 
specific learning disabilities. The term physical or mental impairment 
includes, but is not limited to, such diseases and conditions as 
orthopedic, visual, speech, and hearing impairments, cerebral palsy, 
epilepsy, muscular dystrophy, multiple sclerosis, cancer, heart disease, 
diabetes, mental retardation, emotional illness, and drug addiction and 
alcoholism.

[[Page 241]]

    (2) Major life activities includes functions such as caring for 
one's self, performing manual tasks, walking, seeing, hearing, speaking, 
breathing, learning, and working.
    (3) Has a record of such an impairment means has a history of, or 
has been misclassified as having, a mental or physical impairment that 
substantially limits one or more major life activities.
    (4) Is regarded as having an impairment means--
    (i) Has a physical or mental impairment that does not substantially 
limit major life activities but is treated by the agency as constituting 
such a limitation;
    (ii) Has a physical or mental impairment that substantially limits 
major life activities only as a result of the attitudes of others toward 
such impairment; or
    (iii) Has none of the impairments defined in paragraph (1) of this 
definition but is treated by the agency as having such an impairment.
    Qualified individual with handicaps means--
    (1) With respect to preschool, elementary, or secondary education 
services provided by the agency, an individual with handicaps who is a 
member of a class of persons otherwise entitled by statute, regulation, 
or agency policy to receive education services from the agency;
    (2) With respect to any other agency program or activity under which 
a person is required to perform services or to achieve a level of 
accomplishment, an individual with handicaps who meets the essential 
eligibility requirements and who can achieve the purpose of the program 
or activity without modifications in the program or activity that the 
agency can demonstrate would result in a fundamental alteration in its 
nature;
    (3) With respect to any other program or activity, an individual 
with handicaps who meets the essential eligibility requirements for 
participation in, or receipt of benefits from, that program or activity; 
and
    (4) Qualified handicapped person as that term is defined for 
purposes of employment in 29 CFR 1613.702(f), which is made applicable 
to this regulation by Sec. 1251.540.
    Section 504 means section 504 of the Rehabilitation Act of 1973 
(Pub. L. 93-112, 87 Stat. 394 (29 U.S.C. 794)), as amended by the 
Rehabilitation Act Amendments of 1974 (Pub. L. 93-516, 88 Stat. 1617); 
the Rehabilitation, Comprehensive Services, and Developmental 
Disabilities Amendments of 1978 (Pub. L. 95-602, 92 Stat. 2955); and the 
Rehabilitation Act Amendments of 1986 (Pub. L. 99-506, 100 Stat. 1810). 
As used in this regulation, section 504 applies only to programs or 
activities conducted by Executive agencies and not to federally assisted 
programs.
    Substantial impairment means a significant loss of the integrity of 
finished materials, design quality, or special character resulting from 
a permanent alteration.



Sec. Sec. 1251.504-1251.509  [Reserved]



Sec. 1251.510  Self-evaluation.

    (a) The agency shall, by September 6, 1989, evaluate its current 
policies and practices, and the effects thereof, that do not or may not 
meet the requirements of this regulation and, to the extent modification 
of any such policies and practices is required, the agency shall proceed 
to make the necessary modifications.
    (b) The agency shall provide an opportunity to interested persons, 
including individuals with handicaps or organizations representing 
individuals with handicaps, to participate in the self-evaluation 
process by submitting comments (both oral and written).
    (c) The agency shall, for at least three years following completion 
of the self-evaluation, maintain on file and make available for public 
inspection:
    (1) A description of areas examined and any problems identified; and
    (2) A description of any modifications made.



Sec. 1251.511  Notice.

    The agency shall make available to employees, applicants, 
participants, beneficiaries, and other interested persons such 
information regarding the provisions of this regulation and its 
applicability to the programs or activities conducted by the agency, and

[[Page 242]]

make such information available to them in such manner as the head of 
the agency finds necessary to apprise such persons of the protections 
against discrimination assured them by section 504 and this regulation.



Sec. Sec. 1251.512-1251.529  [Reserved]



Sec. 1251.530  General prohibitions against discrimination.

    (a) No qualified individual with handicaps shall, on the basis of 
handicap, be excluded from participation in, be denied the benefits of, 
or otherwise be subjected to discrimination under any program or 
activity conducted by the agency.
    (b)(1) The agency, in providing any aid, benefit, or service, may 
not, directly or through contractual, licensing, or other arrangements, 
on the basis of handicap--
    (i) Deny a qualified individual with handicaps the opportunity to 
participate in or benefit from the aid, benefit, or service;
    (ii) Afford a qualified individual with handicaps an opportunity to 
participate in or benefit from the aid, benefit, or service that is not 
equal to that afforded others;
    (iii) Provide a qualified individual with handicaps with an aid, 
benefit, or service that is not as effective in affording equal 
opportunity to obtain the same result, to gain the same benefit, or to 
reach the same level of achievement as that provided to others;
    (iv) Provide different or separate aid, benefits, or services to 
individuals with handicaps or to any class of individuals with handicaps 
than is provided to others unless such action is necessary to provide 
qualified individuals with handicaps with aid, benefits, or services 
that are as effective as those provided to others;
    (v) Deny a qualified individual with handicaps the opportunity to 
participate as a member of planning or advisory boards;
    (vi) Otherwise limit a qualified individual with handicaps in the 
enjoyment of any right, privilege, advantage, or opportunity enjoyed by 
others receiving the aid, benefit, or service.
    (2) The agency may not deny a qualified individual with handicaps 
the opportunity to participate in programs or activities that are not 
separate or different, despite the existence of permissibly separate or 
different programs or activities.
    (3) The agency may not, directly or through contractual or other 
arrangements, utilize criteria or methods of administration the purpose 
or effect of which would--
    (i) Subject qualified individuals with handicaps to discrimination 
on the basis of handicap; or
    (ii) Defeat or substantially impair accomplishment of the objectives 
of a program or activity with respect to individuals with handicaps.
    (4) The agency may not, in determining the site or location of a 
facility, make selections the purpose or effect of which would--
    (i) Exclude individuals with handicaps from, deny them the benefits 
of, or otherwise subject them to discrimination under any program or 
activity conducted by the agency; or
    (ii) Defeat or substantially impair the accomplishment of the 
objectives of a program or activity with respect to individuals with 
handicaps.
    (5) The agency, in the selection of procurement contractors, may not 
use criteria that subject qualified individuals with handicaps to 
discrimination on the basis of handicap.
    (6) The agency may not administer a licensing or certification 
program in a manner that subjects qualified individuals with handicaps 
to discrimination on the basis of handicap, nor may the agency establish 
requirements for the programs or activities of licensees or certified 
entities that subject qualified individuals with handicaps to 
discrimination on the basis of handicap. However, the programs or 
activities of entities that are licensed or certified by the agency are 
not, themselves, covered by this regulation.
    (c) The exclusion of nonhandicapped persons from the benefits of a 
program limited by Federal statute or Executive order to individuals 
with handicaps or the exclusion of a specific class of individuals with 
handicaps from a program limited by Federal statute or Executive order 
to a different class of individuals with handicaps is not prohibited by 
this regulation.

[[Page 243]]

    (d) The agency shall administer programs and activities in the most 
integrated setting appropriate to the needs of qualified individuals 
with handicaps.



Sec. Sec. 1251.531-1251.539  [Reserved]



Sec. 1251.540  Employment.

    No qualified individual with handicaps shall, on the basis of 
handicap, be subject to discrimination in employment under any program 
or activity conducted by the agency. The definitions, requirements, and 
procedures of section 501 of the Rehabilitation Act of 1973 (29 U.S.C. 
791), as established by the Equal Employment Opportunity Commission in 
29 CFR part 1613, shall apply to employment in federally conducted 
programs or activities.



Sec. 1251.541-1251.548  [Reserved]



Sec. 1251.549  Program accessibility: Discrimination prohibited.

    Except as otherwise provided in Sec. 1251.550, no qualified 
individual with handicaps shall, because the agency's facilities are 
inaccessible to or unusable by individuals with handicaps, be denied the 
benefits of, be excluded from participation in, or otherwise be 
subjected to discrimination under any program or activity conducted by 
the agency.



Sec. 1251.550  Program accessibility: Existing facilities.

    (a) General. The agency shall operate each program or activity so 
that the program or activity, when viewed in its entirety, is readily 
accessible to and usable by individuals with handicaps. This paragraph 
does not--
    (1) Necessarily require the agency to make each of its existing 
facilities accessible to and usable by individuals with handicaps;
    (2) In the case of historic preservation programs, require the 
agency to take any action that would result in a substantial impairment 
of significant historic features of an historic property; or
    (3) Require the agency to take any action that it can demonstrate 
would result in a fundamental alteration in the nature of a program or 
activity or in undue financial and administrative burdens. In those 
circumstances where agency personnel believe that the proposed action 
would fundamentally alter the program or activity or would result in 
undue financial and administrative burdens, the agency has the burden of 
proving that compliance with Sec. 1251.550(a) would result in such 
alteration or burdens. The decision that compliance would result in such 
alteration or burdens must be made by the agency head or his or her 
designee after considering all agency resources available for use in the 
funding and operation of the conducted program or activity, and must be 
accompanied by a written statement of the reasons for reaching that 
conclusion. If an action would result in such an alteration or such 
burdens, the agency shall take any other action that would not result in 
such an alteration or such burdens but would nevertheless ensure that 
individuals with handicaps receive the benefits and services of the 
program or activity.
    (b) Methods--(1) General. The agency may comply with the 
requirements of this section through such means as redesign of 
equipment, reassignment of services to accessible buildings, assignment 
of aides to beneficiaries, home visits, delivery of services at 
alternate accessible sites, alteration of existing facilities and 
construction of new facilities, use of accessible rolling stock, or any 
other methods that result in making its programs or activities readily 
accessible to and usable by individuals with handicaps. The agency is 
not required to make structural changes in existing facilities where 
other methods are effective in achieving compliance with this section. 
The agency, in making alterations to existing buildings, shall meet 
accessibility requirements to the extent compelled by the Architectural 
Barriers Act of 1968, as amended (42 U.S.C. 4151-4157), and any 
regulations implementing it. In choosing among available methods for 
meeting the requirements of this section, the agency shall give priority 
to those methods that offer programs and activities to qualified 
individuals with handicaps in the most integrated setting appropriate.
    (2) Historic preservation programs. In meeting the requirements of 
Sec. 1251.550(a) in historic preservation

[[Page 244]]

programs, the agency shall give priority to methods that provide 
physical access to individuals with handicaps. In cases where a physical 
alteration to an historic property is not required because of Sec. 
1251.550(a)(2) or (3), alternative methods of achieving program 
accessibility include--
    (i) Using audio-visual materials and devices to depict those 
portions of an historic property that cannot otherwise be made 
accessible;
    (ii) Assigning persons to guide individuals with handicaps into or 
through portions of historic properties that cannot otherwise be made 
accessible; or
    (iii) Adopting other innovative methods.
    (c) Time period for compliance. The agency shall comply with the 
obligations established under this section by November 7, 1988, except 
that where structural changes in facilities are undertaken, such changes 
shall be made by September 6, 1991, but in any event as expeditiously as 
possible.
    (d) Transition plan. In the event that structural changes to 
facilities will be undertaken to achieve program accessibility, the 
agency shall develop, by March 6, 1989, a transition plan setting forth 
the steps necessary to complete such changes. The agency shall provide 
an opportunity to interested persons, including individuals with 
handicaps or organizations representing individuals with handicaps, to 
participate in the development of the transition plan by submitting 
comments (both oral and written). A copy of the transition plan shall be 
made available for public inspection. The plan shall, at a minimum--
    (1) Identify physical obstacles in the agency's facilities that 
limit the accessibility of its programs or activities to individuals 
with handicaps;
    (2) Describe in detail the methods that will be used to make the 
facilities accessible;
    (3) Specify the schedule for taking the steps necessary to achieve 
compliance with this section and, if the time period of the transition 
plan is longer than one year, identify steps that will be taken during 
each year of the transition period; and
    (4) Indicate the official responsible for implementation of the 
plan.



Sec. 1251.551  Program accessibility: New construction and alterations.

    Each building or part of a building that is constructed or altered 
by, on behalf of, or for the use of the agency shall be designed, 
constructed, or altered so as to be readily accessible to and usable by 
individuals with handicaps. The definitions, requirements, and standards 
of the Architectural Barriers Act (42 U.S.C. 4151-4157), as established 
in 41 CFR 101-19.600 to 101-19.607, apply to buildings covered by this 
section.



Sec. Sec. 1251.552-1251.559  [Reserved]



Sec. 1251.560  Communications.

    (a) The agency shall take appropriate steps to ensure effective 
communication with applicants, participants, personnel of other Federal 
entities, and members of the public.
    (1) The agency shall furnish appropriate auxiliary aids where 
necessary to afford an individual with handicaps an equal opportunity to 
participate in, and enjoy the benefits of, a program or activity 
conducted by the agency.
    (i) In determining what type of auxiliary aid is necessary, the 
agency shall give primary consideration to the requests of the 
individual with handicaps.
    (ii) The agency need not provide individually prescribed devices, 
readers for personal use or study, or other devices of a personal 
nature.
    (2) Where the agency communicates with applicants and beneficiaries 
by telephone, telecommunication devices for deaf persons (TDD's) or 
equally effective telecommunication systems shall be used to communicate 
with persons with impaired hearing.
    (b) The agency shall ensure that interested persons, including 
persons with impaired vision or hearing, can obtain information as to 
the existence and location of accessible services, activities, and 
facilities.
    (c) The agency shall provide signage at a primary entrance to each 
of its inaccessible facilities, directing users to a location at which 
they can obtain information about accessible facilities.

[[Page 245]]

The international symbol for accessibility shall be used at each primary 
entrance of an accessible facility.
    (d) This section does not require the agency to take any action that 
it can demonstrate would result in a fundamental alteration in the 
nature of a program or activity or in undue financial and administrative 
burdens. In those circumstances where agency personnel believe that the 
proposed action would fundamentally alter the program or activity or 
would result in undue financial and administrative burdens, the agency 
has the burden of proving that compliance with Sec. 1251.560 would 
result in such alteration or burdens. The decision that compliance would 
result in such alteration or burdens must be made by the agency head or 
his or her designee after considering all agency resources available for 
use in the funding and operation of the conducted program or activity 
and must be accompanied by a written statement of the reasons for 
reaching that conclusion. If an action required to comply with this 
section would result in such an alteration or such burdens, the agency 
shall take any other action that would not result in such an alteration 
or such burdens but would nevertheless ensure that, to the maximum 
extent possible, individuals with handicaps receive the benefits and 
services of the program or activity.



Sec. Sec. 1251.561-1251.569  [Reserved]



Sec. 1251.570  Compliance procedures.

    (a) Except as provided in paragraph (b) of this section, this 
section applies to all allegations of discrimination on the basis of 
handicap in programs and activities conducted by the agency.
    (b) The agency shall process complaints alleging violations of 
section 504 with respect to employment according to the procedures 
established by the Equal Employment Opportunity Commission in 29 CFR 
part 1613 pursuant to section 501 of the Rehabilitation Act of 1973 (29 
U.S.C. 791).
    (c) The Assistant Administrator for Equal Opportunity Programs shall 
be responsible for coordinating implementation of this section. 
Complaints may be sent to the Office of Equal Opportunity Programs, Room 
6119, 400 Maryland Avenue, SW., Washington, DC 20546.
    (d) The agency shall accept and investigate all complete complaints 
for which it has jurisdiction. All complete complaints must be filed 
within 180 days of the alleged act of discrimination. The agency may 
extend this time period for good cause.
    (e) If the agency receives a complaint over which it does not have 
jurisdiction, it shall promptly notify the complainant and shall make 
reasonable efforts to refer the complaint to the appropriate Government 
entity.
    (f) The agency shall notify the Architectural and Transportation 
Barriers Compliance Board upon receipt of any complaint alleging that a 
building or facility that is subject to the Architectural Barriers Act 
of 1968, as amended (42 U.S.C. 4151-4157), is not readily accessible to 
and usable by individuals with handicaps.
    (g) Within 180 days of the receipt of a complete complaint for which 
it has jurisdiction, the agency shall notify the complainant of the 
results of the investigation in a letter containing--
    (1) Findings of fact and conclusions of law;
    (2) A description of a remedy for each violation found; and
    (3) A notice of the right to appeal.
    (h) Appeals of the findings of fact and conclusions of law or 
remedies must be filed by the complainant within 90 days of receipt from 
the agency of the letter required by Sec. 1251.570(g). The agency may 
extend this time for good cause.
    (i) Timely appeals shall be accepted and processed by the head of 
the agency.
    (j) The head of the agency shall notify the complainant of the 
results of the appeal within 60 days of the receipt of the request. If 
the head of the agency determines that additional information is needed 
from the complainant, he or she shall have 60 days from the date of 
receipt of the additional information to make his or her determination 
on the appeal.
    (k) The time limits cited in paragraphs (g) and (j) of this section 
may be extended with the permission of the Assistant Attorney General.

[[Page 246]]

    (l) The agency may delegate its authority for conducting complaint 
investigations to other Federal agencies, except that the authority for 
making the final determination may not be delegated to another agency.

[53 FR 25882 and 25885, July 8, 1989]



Sec. Sec. 1251.571-1251.999  [Reserved]



PART 1252--NONDISCRIMINATION ON THE BASIS OF AGE IN PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE--Table of Contents




                         Subpart 1252.1--General

Sec.
1252.100 What is the purpose of NASA's age discrimination regulations?
1252.102 To what programs or activities do these regulations apply?
1252.103 Definitions.

      Subpart 1252.2--Standards for Determining Age Discrimination

1252.200 Rules against age discrimination.
1252.201 Exceptions to the rules against age discrimination.
1252.202 Burden of proof.
1252.203 Special benefits for children and the elderly.

             Subpart 1252.3--Responsibilities of Recipients

1252.300 General responsibilities of recipients.
1252.301 Notice to subrecipients.
1252.302 Assurance of compliance and recipient assessment of age 
          distinctions.
1252.303 Information requirements.

 Subpart 1252.4--Investigation, Conciliation, and Enforcement Procedures

1252.400 Compliance reviews.
1252.401 Complaints.
1252.402 Mediation.
1252.403 Investigation.
1252.404 Prohibition against intimidation or retaliation.
1252.405 Compliance procedure.
1252.406 Hearings.
1252.407 Notices, decisions, and post-termination proceedings.
1252.408 Remedial action by recipients.
1252.409 Alternate funds disbursal procedure.
1252.410 Exhaustion of administrative remedies.
1252.411 Age distinctions.

    Authority: Age Discrimination Act of 1975, as amended, 42 U.S.C. 
6101 et seq. (45 CFR part 90).

    Source: 50 FR 13311, Apr. 4, 1985, unless otherwise noted.



                         Subpart 1252.1--General



Sec. 1252.100  What is the purpose of NASA's age discrimination regulations?

    The purpose of these regulations is to set out NASA's policies and 
to implement agencywide or agency procedures under the Age 
Discrimination Act of 1975 according to the government-wide age 
discrimination regulations at 45 CFR part 90. (Published at 44 FR 33768, 
June 12, 1979.) The Act and the government-wide regulations prohibit 
discrimination on the basis of age in programs or activities receiving 
Federal financial assistance. The Act and the governmentwide regulations 
permit federally assisted programs or activities and recipients of 
Federal funds, to continue to use age distinctions and factors other 
than age which meet the requirements of the Act and the governmentwide 
regulations.

[50 FR 13311, Apr. 4, 1985, as amended at 68 FR 51352, Aug. 26, 2003]



Sec. 1252.102  To what programs or activities do these regulations apply?

    (a) These regulations apply to each NASA recipient and to each 
program or activity operated by the recipient which receives Federal 
financial assistance provided by NASA.
    (b) The Age Discrimination Act of 1975 does not apply to:
    (1) An age distinction contained in that part of a Federal, State, 
or local statute or ordinance adopted by an elected body which:
    (i) Provides any benefits or assistance to persons based on age; or
    (ii) Establishes criteria for participation in age-related terms; or
    (iii) Describes intended beneficiaries or target groups in age-
related terms.
    (2) Any employment practice of any employer, employment agency, 
labor organization, or any labor-management joint apprenticeship 
training program, except for any program or activity receiving Federal 
financial assistance for public service employment

[[Page 247]]

under the Comprehensive Employment and Training Act of 1974 (CETA) (29 
U.S.C. 801 et seq.).

[50 FR 13311, Apr. 4, 1985, as amended at 68 FR 51352, Aug. 26, 2003]



Sec. 1252.103  Definitions.

    As used in these regulations, the term:
    (a) Act means the Age Discrimination Act of 1975, as amended. (Title 
III of Pub. L. 94-135.)
    (b) Action means any act, activity, policy, rule, standard, or 
method of administration; or the use of any policy, rule, standard, or 
method of administration.
    (c) Age means how old a person is, or the number of elapsed years 
from the date of a person's birth.
    (d) Age distinction means any action using age or an age-related 
term.
    (e) Age-related term means a word or words which necessarily imply a 
particular age or range of ages (for example, ``children,'' ``adult,'' 
``older persons,'' but not ``student'').
    (f) Discrimination means unlawful treatment based on age.
    (g) NASA means the National Aeronautics and Space Administration.
    (h) Federal financial assistance means any grant, entitlement, loan, 
cooperative agreement contract (other than a procurement contract or a 
contract of insurance or guaranty), or any other arrangement by which 
the agency provides or otherwise makes available assistance in the form 
of:
    (1) Funds;
    (2) Services of Federal personnel; or interest in or use of 
property, including:
    (i) Transfer or lease of property for less than fair market value or 
for reduced consideration; and
    (ii) Proceeds from a subsequent transfer or lease of property if the 
Federal share of its fair market value is not returned to the Federal 
Government.
    (i) FMCS means the Federal Mediation and Conciliation Service.
    (j) Recipient means any State or its political subdivision, any 
instrumentality of a State or its political subdivision, any public or 
private agency, institution, organization, or other entity, or any 
person to which Federal financial assistance is extended, directly or 
through another recipient. Recipient includes any successor, assignee, 
or transferee, but excludes the ultimate beneficiary of the assistance.
    (k) Administrator means the Administrator of the National 
Aeronautics and Space Administration or designee.
    (l) Subrecipient means any of the entities in the definition of 
``recipient'' to which a recipient extents or passes on Federal 
financial assistance. A subrecipient is generally regarded as a 
recipient of Federal financial assistance and has all the duties of a 
recipient in these regulations.
    (m) United States means the 50 States, the District of Columbia, 
Puerto Rico, the Virgin Islands, American Samoa, Guam, Wake Island, the 
Canal Zone, the Trust Territory of the Pacific Islands, the Northern 
Marianas, and the territories and possessions of the United States.
    (n) Program or activity means all of the operations of any entity 
described in paragraphs (n)(1) through (4) of this section, any part of 
which is extended Federal financial assistance:
    (1)(i) A department, agency, special purpose district, or other 
instrumentality of a State or of a local government; or
    (ii) The entity of such State or local government that distributes 
such assistance and each such department or agency (and each other State 
or local government entity) to which the assistance is extended, in the 
case of assistance to a State or local government;
    (2)(i) A college, university, or other postsecondary institution, or 
a public system of higher education; or
    (ii) A local educational agency (as defined in 20 U.S.C. 7801), 
system of vocational education, or other school system;
    (3)(i) An entire corporation, partnership, or other private 
organization, or an entire sole proprietorship--
    (A) If assistance is extended to such corporation, partnership, 
private organization, or sole proprietorship as a whole; or
    (B) Which is principally engaged in the business of providing 
education, health care, housing, social services, or parks and 
recreation; or

[[Page 248]]

    (ii) The entire plant or other comparable, geographically separate 
facility to which Federal financial assistance is extended, in the case 
of any other corporation, partnership, private organization, or sole 
proprietorship; or
    (4) Any other entity which is established by two or more of the 
entities described in paragraph (n)(1), (2), or (3) of this section.

[50 FR 13311, Apr. 4, 1985, as amended at 68 FR 51351, Aug. 26, 2003]



      Subpart 1252.2--Standards for Determining Age Discrimination



Sec. 1252.200  Rules against age discrimination.

    The rules stated in this section are limited by the exceptions 
contained in Sec. 1252.201.
    (a) General rule: No person in the United States shall, on the basis 
of age be excluded from participation in, be denied the benefits of, or 
be subjected to discrimination under any program or activity receiving 
Federal financial assistance.
    (b) Specific rules: A recipient may not, in any program or activity 
receiving Federal financial assistance, directly or through contractual, 
licensing, or other arrangements use age distinctions or take any other 
actions which have the effect, on the basis of age, of:
    (1) Excluding individuals from, denying them the benefits of, or 
subjecting them to discrimination under a program or activity receiving 
Federal financial assistance; or
    (2) Denying or limiting individuals in their opportunity to 
participate in any program or activity receiving Federal financial 
assistance.
    (c) The specific forms of age discrimination listed in paragraph (b) 
of this section do not necessarily constitute a complete list.



Sec. 1252.201  Exceptions to the rules against age discrimination.

    (a) Definitions. For purposes of this section, the terms normal 
operation and statutory objective shall have the following meaning:
    (1) Normal operation means the operation of a program or activity 
without significant changes that would impair its ability to meet its 
objectives.
    (2) Statutory objective means any purpose of a program or activity 
expressly stated in any Federal statute, state statute or local statute 
or ordinance adopted by any elected, general purpose legislative body.
    (b) Normal operation or statutory objective of any program or 
activity. A recipient is permitted to take an action otherwise 
prohibited by Sec. 1252.200 if the action reasonably takes into account 
age as a factor necessary to the normal operation of the achievement of 
any statutory objective of a program or activity. An action reasonably 
takes into account age as a factor necessary to the normal operation or 
the achievement of any statutory objective of a program or activity, if:
    (1) Age is used as a measure of approximation of one or more other 
characteristics; and
    (2) The other characteristic(s) must be measured or approximated in 
order for the normal operation of the program or activity to continue, 
or to achieve any statutory objective of the program or activity; and
    (3) The other characteristic(s) can be reasonably measured or 
approximated by the use of age; and
    (4) The other characteristic(s) are impractical to measure directly 
on an individual basis.
    (c) Reasonable factors other than age. A recipient is permitted to 
take an action otherwise prohibited by Sec. 1252.200 which is based on 
a factor other than age, even though that action may have a 
disproportionate effect on persons of different ages. An action may be 
based on a factor other than age only if the factor bears a direct and 
substantial relationship to the normal operation of the program or 
activity or to the achievement of a statutory objective.



Sec. 1252.202  Burden of proof.

    The burden of proving that an age distinction or other action falls 
within the exceptions outlined in Sec. 1252.201 (b) and (c) is on the 
recipient of Federal financial assistance.



Sec. 1252.203  Special benefits for children and the elderly.

    If a recipient operating a program or activity provides special 
benefits to

[[Page 249]]

the elderly or to children, such use of age distinctions shall be 
presumed to be necessary to the normal operation of the program or 
activity, notwithstanding the provision of Sec. 1252.10.

[50 FR 13311, Apr. 4, 1985, as amended at 68 FR 51352, Aug. 26, 2003]



             Subpart 1252.3--Responsibilities of Recipients



Sec. 1252.300  General responsibilities of recipients.

    Each NASA recipient must ensure that its programs or activities 
comply with these regulations.

[50 FR 13311, Apr. 4, 1985, as amended at 68 FR 51352, Aug. 26, 2003]



Sec. 1252.301  Notice to subrecipients.

    Where a recipient passes on Federal financial assistance from NASA 
to subrecipients, the recipient shall provide the subrecipient written 
notice of their obligations under these regulations.



Sec. 1252.302  Assurance of compliance and recipient assessment of age distinctions.

    (a) Each recipient of Federal financial assistance from NASA shall 
sign a written assurance as specified by NASA that it will comply with 
the Act and these regulations.
    (b) Recipient assessment of age distinctions. (1) As part of a 
compliance review under Sec. 91.41, NASA may require a recipient 
employing the equivalent of 15 or more employees to complete a written 
self-evaluation, in a manner specified by the responsible Agency 
official, of any age distinction imposed in its program or activity 
receiving Federal financial assistance from NASA to assess the 
recipient's compliance with the Act.
    (2) Whenever an assessment indicates a violation of the Act and the 
NASA regulations, the recipient shall take corrective action.



Sec. 1252.303  Information requirements.

    (a) Keep records in a form that contains information which NASA 
determines may be necessary to ascertain whether the recipient is 
complying with the Act and these regulations.
    (b) Provide to NASA, upon request, information and reports which 
NASA determines are necessary to ascertain whether the recipient is 
complying with the Act and these regulations.
    (c) Permit reasonable access by NASA to the books, records, 
accounts, and other recipient facilities and sources of information to 
the extent NASA determines is necessary to ascertain whether the 
recipient is complying with the Act and these regulations.



 Subpart 1252.4--Investigation, Conciliation, and Enforcement Procedures



Sec. 1252.400  Compliance reviews.

    (a) NASA may conduct compliance reviews and pre-award reviews of 
recipients or use other similar procedures that will permit it to 
investigate and correct violations of the Act and these regulations. 
NASA may conduct these reviews even in the absence of a complaint 
against a recipient. The review may be as comprehensive as necessary to 
determine whether a violation of these regulations has occurred.
    (b) If a compliance review or pre-award review indicates a violation 
of the Act or these regulations, NASA will attempt to secure the 
recipient's voluntary compliance with the Act. If voluntary compliance 
cannot be achieved, NASA will arrange for enforcement as described in 
Sec. 1252.405.



Sec. 1252.401  Complaints.

    (a) Any person, individually or as a member of a class or on behalf 
of others, may file a complaint with NASA, alleging discrimination 
prohibited by the Act or these regulations based on an action occurring 
on or after July 1, 1979. A complaint must be filed within 180 days from 
the date the complainant first had knowledge of the alleged act of 
discrimination. However, for good cause shown, NASA may extend this time 
limit.
    (b) NASA will attempt to facilitate the filing of complaints 
wherever possible, including taking the following measures:
    (1) Accepting as a sufficient complaint, any written statement, 
which identifies the parties involved and the

[[Page 250]]

date the complainant first had knowledge of the alleged violation, 
describes generally the action or practice complained of, and assigned 
by the complainant.
    (2) Freely permitting a complainant to add information to the 
complaint to meet the requirements of a sufficient complaint.
    (3) Widely disseminating information regarding the obligations of 
recipients under the Act and these regulations.
    (4) Notifying the complainant and the recipient of their rights and 
obligations under the complaint procedure, including the right to have a 
representative at all stages of the complaint procedure.
    (5) Notifying the complainant and the recipient (or their 
representatives) of their right to contact NASA for information and 
assistance regarding the complaint resolution process.
    (c) NASA will return to the complainant any complaint outside the 
jurisdiction of these regulations, and will state the reason(s) why it 
is outside the jurisdiction of these regulations.



Sec. 1252.402  Mediation.

    (a) Referral of complaints for mediation. NASA will refer to the 
Federal Mediation and Conciliation Service all complaints that:
    (1) Fall within the jurisdiction of the Act and these regulations; 
and
    (2) Contain all information necessary for further processing.
    (b) Both the complainant and the recipient shall participate in the 
mediation process to the extent necessary to reach an agreement or make 
an informed judgment that an agreement is not possible. There must be at 
least one meeting with the mediator before NASA will accept a judgment 
that an agreement is not possible. However, the recipient and the 
complainant need not meet with the mediator at the same time.
    (c) If the complainant and the recipient reach an agreement, the 
mediator shall prepare a written statement of the agreement and have the 
complainant and recipient sign it. The mediator shall send a copy of the 
agreement to NASA. NASA will take no further action on the complaint 
unless the complainant or the recipient fails to comply with the 
agreement. However, NASA retains the right to monitor the recipient's 
compliance with the agreement.
    (d) The mediator shall protect the confidentiality of all 
information obtained in the course of the mediation process. No mediator 
shall testify in any adjudicative proceeding, produce any document, or 
otherwise disclose any information obtained in the course of the 
mediation process without prior approval of the head of the mediation 
agency.
    (e) NASA will use the mediation process for a maximum of 60 days 
after receiving a complaint.
    (f) Mediation ends if:
    (1) 60 days elapse from the time NASA receives the complaint; or
    (2) Prior to the end of that 60-day period, an agreement is reached; 
or
    (3) Prior to the end of that 60-day period, the mediator determines 
that an agreement cannot be reached.
    (g) The mediator shall return unresolved complaints to NASA.



Sec. 1252.403  Investigation.

    (a) Informal inquiry. (1) NASA will investigate complaints that are 
unresolved after mediation or are reopened because of a violation of a 
mediation agreement.
    (2) As part of the initial inquiry, NASA will use informal fact 
finding methods, including joint or separate discussions with the 
complainant and recipient to establish the facts, and, if possible, 
settle the complaint on terms that are mutually agreeable to the 
parties. NASA may seek the assistance of any involved State agency.
    (3) NASA will put any agreement in writing and have it signed by the 
parties and an authorized official at NASA.
    (4) The settlement shall not affect the operation of any other 
enforcement effort of NASA, including compliance reviews and 
investigation of other complaints which may involve the recipient.
    (5) The settlement is not a finding of discrimination against a 
recipient.
    (b) Formal investigation. If NASA cannot resolve the complaint 
through informal means it will develop formal findings through further 
investigations

[[Page 251]]

of the complaint. If the investigation indicates a violation of these 
regulations, NASA will attempt to obtain voluntary compliance. If NASA 
cannot obtain voluntary compliance, it will begin enforcement as 
described in Sec. 1252.405.

[50 FR 13311, Apr. 4, 1985, as amended at 68 FR 51352, Aug. 26, 2003]



Sec. 1252.404  Prohibition against intimidation or retaliation.

    A recipient may not engage in acts of intimidation or retaliation 
against any person who:
    (a) Attempts to assert a right protected by the Act or these 
regulations; or
    (b) Cooperates in any mediation, inquiry, hearing, or other part of 
NASA's investigation, conciliation, and enforcement process.



Sec. 1252.405  Compliance procedure.

    (a) NASA may enforce the Act and these regulations through:
    (1) Termination of a recipient's Federal financial assistance from 
NASA under the program or activity involved where the recipient has 
violated the Act or these regulations. The determination of the 
recipient's violation may be made only after a recipient has had an 
opportunity for a hearing on the record before an administrative law 
judge. Therefore, cases which are settled in mediation, or prior to a 
hearing, will not involve termination of a recipient's Federal financial 
assistance from NASA.
    (2) Any other means authorized by law including but not limited to:
    (i) Referral to the Department of Justice for proceedings to enforce 
any rights of the United States or obligations of the recipient created 
by the Act or these regulations.
    (ii) Use of any requirement of or referral to any Federal, State, or 
local government agency that will have the effect of correcting a 
violation of the Act or these regulations.
    (b) NASA will limit any termination under Sec. 1252.405(a)(1) to 
the particular program or activity NASA finds in violations of these 
regulations. NASA will not base any part of a termination on a finding 
with respect to any program or activity of the recipient which does not 
receive Federal financial assistance from NASA.
    (c) NASA will take no action under paragraph (a) until:
    (1) The Administrator has advised the recipient of its failure to 
comply with the Act and these regulations and has determined that 
voluntary compliance cannot be obtained.
    (2) 30 days have elapsed after the Administrator has sent a written 
report of the circumstances and grounds of the action to the committees 
of Congress having legislative jurisdiction over the program or activity 
involved. The Administrator will file a report whenever any action is 
taken under paragraph (a) of this section.
    (d) NASA also may defer granting new Federal financial assistance 
from NASA to a recipient when a hearing under Sec. 1252.405(a)(1) is 
initiated.
    (1) New Federal financial assistance from NASA includes all 
assistance for which NASA requires an application or approval, including 
renewal or continuation of existing activities during the deferral 
period. New Federal financial assistance from NASA does not include 
assistance approved prior to the beginning of a hearing under Sec. 
1252.405(a)(1).
    (2) NASA will not begin a deferral until the recipient has received 
a notice of an opportunity for a hearing under Sec. 1252.405(a)(1). 
NASA will not continue a deferral for more than 60 days unless a hearing 
has begun within that time or the time for beginning the hearing has 
been extended by mutual consent of the recipient and the Administrator. 
NASA will not continue a deferral for more than 30 days after the close 
of the hearing, unless the hearing results in a finding against the 
recipient.

[50 FR 13311, Apr. 4, 1985, as amended at 68 FR 51352, Aug. 26, 2003]



Sec. 1252.406  Hearings.

    The procedural provisions for those hearings required by Sec. 
1252.405 are contained in 14 CFR 1250.108.



Sec. 1252.407  Notices, decisions, and post-termination proceedings.

    All notices, decisions, and post-termination proceedings, insofar as 
NASA is concerned, shall be made in accordance with 14 CFR 1250.109.

[[Page 252]]



Sec. 1252.408  Remedial action by recipients.

    (a) Where NASA finds a recipient has discriminated on the basis of 
age, the recipient shall take any remedial action that NASA may require 
to overcome the effects of the discrimination. If another recipient 
exercises control over the recipient that has discriminated, NASA may 
require both recipients to take remedial action.
    (b) Even in the absence of discrimination, a recipient may take 
affirmative action to overcome the effects of conditions that resulted 
in limited participation in the recipients program or activity on the 
basis of age.



Sec. 1252.409  Alternate funds disbursal procedure.

    (a) When NASA withholds funds from a recipient under these 
regulations, the Administrator may disburse the withheld funds directly 
to an alternate recipient.
    (b) The Administrator will require any alternate recipient to 
demonstrate:
    (1) The ability to comply with these regulations; and
    (2) The ability to achieve the goals of the Federal statute 
authorizing the Federal financial assistance.

[50 FR 13311, Apr. 4, 1985, as amended at 68 FR 51352, Aug. 26, 2003]



Sec. 1252.410  Exhaustion of administrative remedies.

    (a) A complainant may file a civil action following the exhaustion 
of administrative remedies under the Act. Administrative remedies are 
exhausted if:
    (1) 180 days have elapsed since the complainant filed the complaint 
and NASA has made no finding with regard to the complaint; or
    (2) NASA issues any findings in favor of the recipient.
    (b) If NASA fails to make a finding within 180 days or issues a 
finding in favor of the recipient, NASA will:
    (1) Promptly advise the complainant of this fact; and
    (2) Advise the complainant of his or her right to bring a civil 
action for injunctive relief; and
    (3) Inform the complainant:
    (i) That the complainant may bring a civil action only in a United 
States district court for the district in which the recipient is located 
or transacts business;
    (ii) That a complainant prevailing in a civil action has the right 
to be awarded the costs of the action, including reasonable attorney's 
fees, but that the complainant must demand these costs in the complaint.
    (iii) That before commencing the action the complainant shall give 
30 days notice by registered mail to the Administrator, the Attorney 
General of the United States, and
    (iv) That the notice must state: the alleged violation of the act; 
the relief requested; the court in which the complainant is bringing the 
action; and, whether or not attorney's fees are demanded in the event 
the complainant prevails; and
    (v) That the complainant may not bring an action if the same alleged 
violation of the Act by the same recipient is the subject of a pending 
action in any court of the United States.



Sec. 1252.411  Age distinctions.

    There are no Federal statutes or regulations containing age 
distinctions which affect financial assistance administered by the 
agency.



PART 1253--NONDISCRIMINATION ON THE BASIS OF SEX IN EDUCATION PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE--Table of Contents




                         Subpart A--Introduction

Sec.
1253.100 Purpose and effective date.
1253.105 Definitions.
1253.110 Remedial and affirmative action and self-evaluation.
1253.115 Assurance required.
1253.120 Transfers of property.
1253.125 Effect of other requirements.
1253.130 Effect of employment opportunities.
1253.135 Designation of responsible employee and adoption of grievance 
          procedures.
1253.140 Dissemination of policy.

                           Subpart B--Coverage

1253.200 Application.

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1253.205 Educational institutions and other entities controlled by 
          religious organizations.
1253.210 Military and merchant marine educational institutions.
1253.215 Membership practices of certain organizations.
1253.220 Admissions.
1253.225 Educational institutions eligible to submit transition plans.
1253.230 Transition plans.
1253.235 Statutory amendments.

     Subpart C--Discrimination on the Basis of Sex in Admission and 
                         Recruitment Prohibited

1253.300 Admission.
1253.305 Preference in admission.
1253.310 Recruitment.

 Subpart D--Discrimination on the Basis of Sex in Education Programs or 
                          Activities Prohibited

1253.400 Education programs or activities.
1253.405 Housing.
1253.410 Comparable facilities.
1253.415 Access to course offerings.
1253.420 Access to schools operated by LEAs.
1253.425 Counseling and use of appraisal and counseling materials.
1253.430 Financial assistance.
1253.435 Employment assistance to students.
1253.440 Health and insurance benefits and services.
1253.445 Marital or parental status.
1253.450 Athletics.
1253.455 Textbooks and curricular material.

Subpart E--Discrimination on the Basis of Sex in Employment in Education 
                    Programs or Activities Prohibited

1253.500 Employment.
1253.505 Employment criteria.
1253.510 Recruitment.
1253.515 Compensation.
1253.520 Job classification and structure.
1253.525 Fringe benefits.
1253.530 Marital or parental status.
1253.535 Effect of state or local law or other requirements.
1253.540 Advertising.
1253.545 Pre-employment inquiries.
1253.550 Sex as a bona fide occupational qualification.

                          Subpart F--Procedures

1253.600 Notice of covered programs.
1253.605 Enforcement procedures.

    Authority: 20 U.S.C. 1681, 1682, 1683, 1685, 1686, 1687, 1688.

    Source: 65 FR 52865, 52876, Aug. 30, 2000, unless otherwise noted.



                         Subpart A--Introduction



Sec. 1253.100  Purpose and effective date.

    The purpose of these Title IX regulations is to effectuate Title IX 
of the Education Amendments of 1972, as amended (except sections 904 and 
906 of those Amendments) (20 U.S.C. 1681, 1682, 1683, 1685, 1686, 1687, 
1688), which is designed to eliminate (with certain exceptions) 
discrimination on the basis of sex in any education program or activity 
receiving Federal financial assistance, whether or not such program or 
activity is offered or sponsored by an educational institution as 
defined in these Title IX regulations. The effective date of these Title 
IX regulations shall be September 29, 2000.



Sec. 1253.105  Definitions.

    As used in these Title IX regulations, the term:
    Administratively separate unit means a school, department, or 
college of an educational institution (other than a local educational 
agency) admission to which is independent of admission to any other 
component of such institution.
    Admission means selection for part-time, full-time, special, 
associate, transfer, exchange, or any other enrollment, membership, or 
matriculation in or at an education program or activity operated by a 
recipient.
    Applicant means one who submits an application, request, or plan 
required to be approved by an official of the Federal agency that awards 
Federal financial assistance, or by a recipient, as a condition to 
becoming a recipient.
    Designated agency official means Associate Administrator for Equal 
Opportunity Programs.
    Educational institution means a local educational agency (LEA) as 
defined by 20 U.S.C. 8801(18), a preschool, a private elementary or 
secondary school, or an applicant or recipient that is an institution of 
graduate higher education, an institution of undergraduate higher 
education, an institution of professional education, or an institution 
of vocational education, as defined in this section.

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    Federal financial assistance means any of the following, when 
authorized or extended under a law administered by the Federal agency 
that awards such assistance:
    (1) A grant or loan of Federal financial assistance, including funds 
made available for:
    (i) The acquisition, construction, renovation, restoration, or 
repair of a building or facility or any portion thereof; and
    (ii) Scholarships, loans, grants, wages, or other funds extended to 
any entity for payment to or on behalf of students admitted to that 
entity, or extended directly to such students for payment to that 
entity.
    (2) A grant of Federal real or personal property or any interest 
therein, including surplus property, and the proceeds of the sale or 
transfer of such property, if the Federal share of the fair market value 
of the property is not, upon such sale or transfer, properly accounted 
for to the Federal Government.
    (3) Provision of the services of Federal personnel.
    (4) Sale or lease of Federal property or any interest therein at 
nominal consideration, or at consideration reduced for the purpose of 
assisting the recipient or in recognition of public interest to be 
served thereby, or permission to use Federal property or any interest 
therein without consideration.
    (5) Any other contract, agreement, or arrangement that has as one of 
its purposes the provision of assistance to any education program or 
activity, except a contract of insurance or guaranty.
    Institution of graduate higher education means an institution that:
    (1) Offers academic study beyond the bachelor of arts or bachelor of 
science degree, whether or not leading to a certificate of any higher 
degree in the liberal arts and sciences;
    (2) Awards any degree in a professional field beyond the first 
professional degree (regardless of whether the first professional degree 
in such field is awarded by an institution of undergraduate higher 
education or professional education); or
    (3) Awards no degree and offers no further academic study, but 
operates ordinarily for the purpose of facilitating research by persons 
who have received the highest graduate degree in any field of study.
    Institution of professional education means an institution (except 
any institution of undergraduate higher education) that offers a program 
of academic study that leads to a first professional degree in a field 
for which there is a national specialized accrediting agency recognized 
by the Secretary of Education.
    Institution of undergraduate higher education means:
    (1) An institution offering at least two but less than four years of 
college-level study beyond the high school level, leading to a diploma 
or an associate degree, or wholly or principally creditable toward a 
baccalaureate degree; or
    (2) An institution offering academic study leading to a 
baccalaureate degree; or
    (3) An agency or body that certifies credentials or offers degrees, 
but that may or may not offer academic study.
    Institution of vocational education means a school or institution 
(except an institution of professional or graduate or undergraduate 
higher education) that has as its primary purpose preparation of 
students to pursue a technical, skilled, or semiskilled occupation or 
trade, or to pursue study in a technical field, whether or not the 
school or institution offers certificates, diplomas, or degrees and 
whether or not it offers full-time study.
    Recipient means any State or political subdivision thereof, or any 
instrumentality of a State or political subdivision thereof, any public 
or private agency, institution, or organization, or other entity, or any 
person, to whom Federal financial assistance is extended directly or 
through another recipient and that operates an education program or 
activity that receives such assistance, including any subunit, 
successor, assignee, or transferee thereof.
    Student means a person who has gained admission.
    Title IX means Title IX of the Education Amendments of 1972, Public 
Law 92-318, 86 Stat. 235, 373 (codified as amended at 20 U.S.C. 1681-
1688) (except sections 904 and 906 thereof), as amended by section 3 of 
Public Law 93-568, 88

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Stat. 1855, by section 412 of the Education Amendments of 1976, Public 
Law 94-482, 90 Stat. 2234, and by Section 3 of Public Law 100-259, 102 
Stat. 28, 28-29 (20 U.S.C. 1681, 1682, 1683, 1685, 1686, 1687, 1688).
    Title IX regulations means the provisions set forth at Sec. Sec. 
1253.100 through 1253.605.
    Transition plan means a plan subject to the approval of the 
Secretary of Education pursuant to section 901(a)(2) of the Education 
Amendments of 1972, 20 U.S.C. 1681(a)(2), under which an educational 
institution operates in making the transition from being an educational 
institution that admits only students of one sex to being one that 
admits students of both sexes without discrimination.



Sec. 1253.110  Remedial and affirmative action and self-evaluation.

    (a) Remedial action. If the designated agency official finds that a 
recipient has discriminated against persons on the basis of sex in an 
education program or activity, such recipient shall take such remedial 
action as the designated agency official deems necessary to overcome the 
effects of such discrimination.
    (b) Affirmative action. In the absence of a finding of 
discrimination on the basis of sex in an education program or activity, 
a recipient may take affirmative action consistent with law to overcome 
the effects of conditions that resulted in limited participation therein 
by persons of a particular sex. Nothing in these Title IX regulations 
shall be interpreted to alter any affirmative action obligations that a 
recipient may have under Executive Order 11246, 3 CFR, 1964-1965 Comp., 
p. 339; as amended by Executive Order 11375, 3 CFR, 1966-1970 Comp., p. 
684; as amended by Executive Order 11478, 3 CFR, 1966-1970 Comp., p. 
803; as amended by Executive Order 12086, 3 CFR, 1978 Comp., p. 230; as 
amended by Executive Order 12107, 3 CFR, 1978 Comp., p. 264.
    (c) Self-evaluation. Each recipient education institution shall, 
within one year of September 29, 2000:
    (1) Evaluate, in terms of the requirements of these Title IX 
regulations, its current policies and practices and the effects thereof 
concerning admission of students, treatment of students, and employment 
of both academic and non-academic personnel working in connection with 
the recipient's education program or activity;
    (2) Modify any of these policies and practices that do not or may 
not meet the requirements of these Title IX regulations; and
    (3) Take appropriate remedial steps to eliminate the effects of any 
discrimination that resulted or may have resulted from adherence to 
these policies and practices.
    (d) Availability of self-evaluation and related materials. 
Recipients shall maintain on file for at least three years following 
completion of the evaluation required under paragraph (c) of this 
section, and shall provide to the designated agency official upon 
request, a description of any modifications made pursuant to paragraph 
(c)(2) of this section and of any remedial steps taken pursuant to 
paragraph (c)(3) of this section.



Sec. 1253.115  Assurance required.

    (a) General. Either at the application stage or the award stage, 
Federal agencies must ensure that applications for Federal financial 
assistance or awards of Federal financial assistance contain, be 
accompanied by, or be covered by a specifically identified assurance 
from the applicant or recipient, satisfactory to the designated agency 
official, that each education program or activity operated by the 
applicant or recipient and to which these Title IX regulations apply 
will be operated in compliance with these Title IX regulations. An 
assurance of compliance with these Title IX regulations shall not be 
satisfactory to the designated agency official if the applicant or 
recipient to whom such assurance applies fails to commit itself to take 
whatever remedial action is necessary in accordance with Sec. 
1253.110(a) to eliminate existing discrimination on the basis of sex or 
to eliminate the effects of past discrimination whether occurring prior 
to or subsequent to the submission to the designated agency official of 
such assurance.
    (b) Duration of obligation. (1) In the case of Federal financial 
assistance extended to provide real property or

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structures thereon, such assurance shall obligate the recipient or, in 
the case of a subsequent transfer, the transferee, for the period during 
which the real property or structures are used to provide an education 
program or activity.
    (2) In the case of Federal financial assistance extended to provide 
personal property, such assurance shall obligate the recipient for the 
period during which it retains ownership or possession of the property.
    (3) In all other cases such assurance shall obligate the recipient 
for the period during which Federal financial assistance is extended.
    (c) Form. (1) The assurances required by paragraph (a) of this 
section, which may be included as part of a document that addresses 
other assurances or obligations, shall include that the applicant or 
recipient will comply with all applicable Federal statutes relating to 
nondiscrimination. These include but are not limited to: Title IX of the 
Education Amendments of 1972, as amended (20 U.S.C. 1681-1683, 1685-
1688).
    (2) The designated agency official will specify the extent to which 
such assurances will be required of the applicant's or recipient's 
subgrantees, contractors, subcontractors, transferees, or successors in 
interest.



Sec. 1253.120  Transfers of property.

    If a recipient sells or otherwise transfers property financed in 
whole or in part with Federal financial assistance to a transferee that 
operates any education program or activity, and the Federal share of the 
fair market value of the property is not upon such sale or transfer 
properly accounted for to the Federal Government, both the transferor 
and the transferee shall be deemed to be recipients, subject to the 
provisions of Sec. Sec. 1253.205 through 1253.235(a).



Sec. 1253.125  Effect of other requirements.

    (a) Effect of other Federal provisions. The obligations imposed by 
these Title IX regulations are independent of, and do not alter, 
obligations not to discriminate on the basis of sex imposed by Executive 
Or