[Title 14 CFR ]
[Code of Federal Regulations (annual edition) - January 1, 2006 Edition]
[From the U.S. Government Printing Office]
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14
Part 1200 to End
Revised as of January 1, 2006
Aeronautics and Space
________________________
Containing a codification of documents of general
applicability and future effect
As of January 1, 2006
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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Table of Contents
Page
Explanation................................................. v
Title 14:
Chapter V--National Aeronautics and Space
Administration 3
Chapter VI--Air Transportation System Stabilization 519
Finding Aids:
Table of CFR Titles and Chapters........................ 535
Alphabetical List of Agencies Appearing in the CFR...... 553
List of CFR Sections Affected........................... 563
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Cite this Code: CFR
To cite the regulations in
this volume use title,
part and section number.
Thus, 14 CFR 1201.100
refers to title 14, part
1201, section 100.
----------------------------
[[Page v]]
EXPLANATION
The Code of Federal Regulations is a codification of the general and
permanent rules published in the Federal Register by the Executive
departments and agencies of the Federal Government. The Code is divided
into 50 titles which represent broad areas subject to Federal
regulation. Each title is divided into chapters which usually bear the
name of the issuing agency. Each chapter is further subdivided into
parts covering specific regulatory areas.
Each volume of the Code is revised at least once each calendar year
and issued on a quarterly basis approximately as follows:
Title 1 through Title 16.................................as of January 1
Title 17 through Title 27..................................as of April 1
Title 28 through Title 41...................................as of July 1
Title 42 through Title 50................................as of October 1
The appropriate revision date is printed on the cover of each
volume.
LEGAL STATUS
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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
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To determine whether a Code volume has been amended since its
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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
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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
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Sections Affected'' is published at the end of each CFR volume.
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A subject index to the Code of Federal Regulations is contained in a
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the revision dates of the 50 CFR titles.
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[[Page vii]]
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Raymond A. Mosley,
Director,
Office of the Federal Register.
January 1, 2006.
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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, 2006.
For this volume, Elmer Barksdale was Chief Editor. The Code of
Federal Regulations publication program is under the direction of
Frances D. McDonald, assisted by Alomha S. Morris.
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TITLE 14--AERONAUTICS AND SPACE
(This book contains part 1200 to End)
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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
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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.............................. 49
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................................. 72
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)................................. 140
1216 Environmental quality....................... 147
1217 Duty-free entry of space articles........... 164
1221 The NASA Seal and other devices, and the
Congressional Space Medal of Honor...... 168
1230 Protection of human subjects................ 178
1232 Care and use of animals in the conduct of
NASA activities......................... 188
1240 Inventions and contributions................ 195
1241 [Reserved]
1245 Patents and other intellectual property
rights.................................. 200
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1250 Nondiscrimination in federally-assisted
programs of NASA--effectuation of Title
VI of the Civil Rights Act of 1964...... 213
1251 Nondiscrimination on basis of handicap...... 224
1252 Nondiscrimination on the basis of age in
programs or activities receiving Federal
financial assistance.................... 239
1253 Nondiscrimination on the basis of sex in
education programs or activities
receiving Federal financial assistance.. 246
1259 National Space Grant College and Fellowship
Program................................. 263
1260 Grants and cooperative agreements........... 269
1261 Processing of monetary claims (general)..... 331
1262 Equal Access to Justice Act in agency
proceedings............................. 362
1263 Demand for information or testimony served
on agency employees; procedures......... 369
1264 Implementation of the Program Fraud Civil
Penalties Act of 1986................... 372
1265 Governmentwide debarment and suspension
(nonprocurement)........................ 389
1266 Cross-waiver of liability................... 411
1267 Governmentwide requirements for drug-free
workplace (financial assistance)........ 416
1271 New restrictions on lobbying................ 421
1273 Uniform administrative requirements for
grants and cooperative agreements to
state and local governments............. 433
1274 Cooperative agreements with commercial firms 460
1275 Research Misconduct......................... 511
1276-1299 [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
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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
[[Page 8]]
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, nonappropriated fund activity purpose with the concurrence of
the NASA Comptroller.
[[Page 36]]
(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;
(B) A nonuse of the easement for a consecutive 2-year period for the
purpose for which granted; or
[[Page 37]]
(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 the authority
stated in paragraph (d) of this section unless:
(1) The Director of the Field Installation concerned determines:
[[Page 38]]
(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]
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
[[Page 39]]
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.
Source: 65 FR 47663, Aug. 3, 2000, unless otherwise noted.
[[Page 40]]
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 80[deg]41[min] west longitude and
28[deg]37[min] north latitude.
(2) Wallops Airport. The aeronautical facility which is part of the
Wallops Flight Facility (WFF), Wallops Island, VA, and is located at
75[deg]28[min] west longitude and 37[deg]56[min] north latitude in the
general vicinity of Chincoteague, Virginia.
(3) Moffett Federal Airfield (MFA). The aeronautical facility which
is part of the Ames Research Center, Moffett Field, California, and is
located at 122[deg]03[min] west longitude and 37[deg]25[min] north
latitude.
(4) Crows Landing Airport. The aeronautical facility which is a part
of the Crows Landing Flight Facility (CLEF) and is located at
121[deg]06[min] west longitude and 37[deg]25[min] north latitude, 45
miles east of the Ames Research Center.
(b) Aircraft not Operated for the Benefit of the Federal Government.
Aircraft which are not owned or leased by the United States Government
or aircraft carrying crew members or passengers who do not have official
business requiring the use of a NASA airfield facility in the particular
circumstance in question.
(c) Official Business. Business, in the interest of the U.S.
Government, which
[[Page 42]]
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 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
[[Page 43]]
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.
(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.
[[Page 44]]
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 NAVAIDS or published approach procedures exist.
(5) Hazards. Crows Landing Airport is located in an agricultural
area. No obstructions exist within or immediately
[[Page 45]]
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:
(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.
[[Page 46]]
(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.
(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.
[[Page 47]]
(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.
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
[[Page 48]]
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;
(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;
[[Page 49]]
(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]
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.
[[Page 50]]
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 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,
[[Page 51]]
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
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
[[Page 52]]
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 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:
[[Page 53]]
(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 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.
[[Page 54]]
(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.
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
[[Page 55]]
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--
(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.
[[Page 56]]
(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.
(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.
[[Page 57]]
(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) [email protected];
(ARC) [email protected]; (DFRC) [email protected]; (GRC)
[email protected]; (GSFC) [email protected]; (JSC)
[email protected]; (KSC) [email protected]; (LaRC)
[email protected]; (MSFC) [email protected] and (SSC)
[email protected]; and for Inspector General records,
[email protected].
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.
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
[[Page 58]]
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.
(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
[[Page 59]]
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.
(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).
[[Page 60]]
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 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
[[Page 61]]
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 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
[[Page 62]]
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
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
[[Page 63]]
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 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
[[Page 64]]
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), 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
[[Page 65]]
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 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:
[[Page 66]]
(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
(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.
[[Page 67]]
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 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.
[[Page 68]]
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 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.
[[Page 69]]
(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.
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:
[[Page 70]]
(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 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.
[[Page 71]]
(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.
(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
[[Page 72]]
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.
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
[[Page 73]]
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 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
[[Page 74]]
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 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
[[Page 75]]
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.
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
[[Page 76]]
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.
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.
[[Page 77]]
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 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
[[Page 78]]
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:
(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.
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(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 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;
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(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.
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.
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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).
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.
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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.