[Title 14 CFR ]
[Code of Federal Regulations (annual edition) - January 1, 2017 Edition]
[From the U.S. Government Publishing Office]

[[Page i]]

Title 14

Aeronautics and Space

________________________

Part 1200 to End

Revised as of January 1, 2017

Containing a codification of documents of general
applicability and future effect

As of January 1, 2017
Published by the Office of the Federal Register
National Archives and Records Administration as a
Special Edition of the Federal Register

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U.S. GOVERNMENT OFFICIAL EDITION NOTICE

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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 337
Finding Aids:
Table of CFR Titles and Chapters........................ 353
Alphabetical List of Agencies Appearing in the CFR...... 373
List of CFR Sections Affected........................... 383

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

Cite this Code: CFR
To cite the regulations in
this volume use title,
part and section number.
Thus, 14 CFR 1201.100
refers to title 14, part
1201, section 100.

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

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EXPLANATION

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

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

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

LEGAL STATUS

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

HOW TO USE THE CODE OF FEDERAL REGULATIONS

The Code of Federal Regulations is kept up to date by the individual
issues of the Federal Register. These two publications must be used
together to determine the latest version of any given rule.
To determine whether a Code volume has been amended since its
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Sections Affected (LSA),'' which is issued monthly, and the ``Cumulative
List of Parts Affected,'' which appears in the Reader Aids section of
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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
Register since the last revision of that volume of the Code. Source
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those instances where a regulation published in the Federal Register
states a date certain for expiration, an appropriate note will be
inserted following the text.

OMB CONTROL NUMBERS

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

[[Page vi]]

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.

PAST PROVISIONS OF THE CODE

Provisions of the Code that are no longer in force and effect as of
the revision date stated on the cover of each volume are not carried.
Code users may find the text of provisions in effect on any given date
in the past by using the appropriate List of CFR Sections Affected
(LSA). For the convenience of the reader, a ``List of CFR Sections
Affected'' is published at the end of each CFR volume. For changes to
the Code prior to the LSA listings at the end of the volume, consult
previous annual editions of the LSA. For changes to the Code prior to
2001, consult the List of CFR Sections Affected compilations, published
for 1949-1963, 1964-1972, 1973-1985, and 1986-2000.

``[RESERVED]'' TERMINOLOGY

The term ``[Reserved]'' is used as a place holder within the Code of
Federal Regulations. An agency may add regulatory information at a
``[Reserved]'' location at any time. Occasionally ``[Reserved]'' is used
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not accidentally dropped due to a printing or computer error.

INCORPORATION BY REFERENCE

What is incorporation by reference? Incorporation by reference was
established by statute and allows Federal agencies to meet the
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to materials already published elsewhere. For an incorporation to be
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This material, like any other properly issued regulation, has the force
of law.
What is a proper incorporation by reference? The Director of the
Federal Register will approve an incorporation by reference only when
the requirements of 1 CFR part 51 are met. Some of the elements on which
approval is based are:
(a) The incorporation will substantially reduce the volume of
material published in the Federal Register.
(b) The matter incorporated is in fact available to the extent
necessary to afford fairness and uniformity in the administrative
process.
(c) The incorporating document is drafted and submitted for
publication in accordance with 1 CFR part 51.
What if the material incorporated by reference cannot be found? If
you have any problem locating or obtaining a copy of material listed as
an approved incorporation by reference, please contact the agency that
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CFR INDEXES AND TABULAR GUIDES

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separate volume, revised annually as of January 1, entitled CFR Index
and Finding Aids. This volume contains the Parallel Table of Authorities
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alphabetical list of agencies publishing in the CFR are also included in
this volume.

[[Page vii]]

An index to the text of ``Title 3--The President'' is carried within
that volume.
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available at www.ecfr.gov.

Oliver A. Potts,
Director,
Office of the Federal Register.
January 1, 2017.

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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,
60-109, 110-199, 200-1199, and part 1200-End. The first three volumes
containing parts 1-199 are comprised of chapter I--Federal Aviation
Administration, Department of Transportation (DOT). The fourth volume
containing parts 200-1199 is comprised of chapter II--Office of the
Secretary, DOT (Aviation Proceedings) and chapter III--Commercial Space
Transportation, Federal Aviation Administration, DOT. The fifth volume
containing part 1200-End is comprised of chapter V--National Aeronautics
and Space Administration and chapter VI--Air Transportation System
Stabilization. The contents of these volumes represent all current
regulations codified under this title of the CFR as of January 1, 2017.

For this volume, Michele Bugenhagen was Chief Editor. The Code of
Federal Regulations publication program is under the direction of John
Hyrum Martinez, assisted by Stephen J. Frattini.

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TITLE 14--AERONAUTICS AND SPACE

(This book contains part 1200 to End)

--------------------------------------------------------------------
Part

chapter v--National Aeronautics and Space Administration.... 1201

chapter vi--Air Transportation System Stabilization......... 1300

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CHAPTER V--NATIONAL AERONAUTICS AND SPACE ADMINISTRATION

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

[Reserved]

1201 Statement of organization and general
information............................. 5
1203 Information Security Program................ 6
1203a NASA security areas......................... 21
1203b Security programs; arrest authority and use
of force by NASA security force
personnel............................... 23
1204 Administrative authority and policy......... 26
1205

[Reserved]

1206 Procedures for disclosure of records under
the Freedom of Information Act (FOIA)... 44
1207 Standards of conduct........................ 64
1208 Uniform relocation assistance and real
property acquisition for Federal and
federally assisted programs............. 66
1209 Boards and committees....................... 66
1210-1211

[Reserved]

1212 Privacy Act--NASA regulations............... 69
1213 Release of information to news and
information media....................... 81
1214 Space flight................................ 86
1215 Tracking and Data Relay Satellite System
(TDRSS)................................. 95
1216 Environmental quality....................... 100
1217 Duty-free entry of space articles........... 108
1221 The NASA Seal and other devices, and the
Congressional Space Medal of Honor...... 111
1230 Protection of human subjects................ 122
1232 Care and use of animals in the conduct of
NASA activities......................... 122
1240 Inventions and contributions................ 123
1241

[Reserved]

1245 Patents and other intellectual property
rights.................................. 128
1250 Nondiscrimination in federally-assisted
programs of NASA--effectuation of Title
VI of the Civil Rights Act of 1964...... 140

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1251 Nondiscrimination on basis of disability.... 152
1252 Nondiscrimination on the basis of age in
programs or activities receiving Federal
financial assistance.................... 170
1253 Nondiscrimination on the basis of sex in
education programs or activities
receiving Federal financial assistance.. 177
1259 National Space Grant College and Fellowship
Program................................. 194
1260

[Reserved]

1261 Processing of monetary claims (general)..... 200
1262 Equal Access to Justice Act in agency
proceedings............................. 231
1263 Demand for information or testimony served
on agency employees; procedures......... 238
1264 Implementation of the Program Fraud Civil
Penalties Act of 1986................... 240
1266 Cross-waiver of liability................... 258
1271 New restrictions on lobbying................ 262
1273

[Reserved]

1274 Cooperative agreements with commercial firms 273
1275 Research misconduct......................... 328
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 [Reserved]

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

Authority: 51 U.S.C. 20112(h).

Source: 55 FR 37222, Sept. 10, 1990, unless otherwise noted.

Subpart 1_Introduction

Sec. 1201.100 Creation and authority.

The National Aeronautics and Space Administration was established by
the National Aeronautics and Space Act (51 U.S.C. 20111), as amended
(hereafter called the ``Act'').

[55 FR 37222, Sept. 10, 1990, as amended at 79 FR 18444, Apr. 2, 2014]

Sec. 1201.101 Purpose.

It is the purpose of the National Aeronautics and Space
Administration to carry out aeronautical and space activities of the
United States. Such activities shall be the responsibility of, and shall
be directed by, the National Aeronautics and Space Administration,
except that activities peculiar to or primarily associated with the
development of weapons systems, military operations, or the defense of
the United States shall be the responsibility of, and shall be directed
by, the Department of Defense.

Sec. 1201.102 Functions.

In order to carry out the purpose of the Act, NASA is authorized to
conduct research for the solution of problems of flight within and
outside the Earth's atmosphere; to develop, construct, test, and operate
aeronautical and space vehicles for research purposes; to operate a
space transportation system including the space shuttle, upper stages,
space program, space station, and related equipment; and to perform such
other activities as may be required for the exploration of space. The
term aeronautical and space vehicles means aircraft, missiles,
satellites, and other space vehicles, together with related equipment,
devices, components, and parts. It conducts activities required for the
exploration of space with manned and unmanned vehicles and arranges for
the most effective utilization of the scientific and engineering
resources of the United States with other nations engaged in
aeronautical and space activities for peaceful purposes.

Sec. 1201.103 Administration.

(a) NASA is headed by an Administrator, who is appointed from
civilian life by the President by and with the advice and consent of the
Senate. The Administrator is responsible, under the supervision and
direction of the President, for exercising all powers and discharging
all duties of NASA.
(b) The Deputy Administrator of NASA is also appointed by the
President from civilian life by and with the advice and consent of the
Senate. The Deputy Administrator acts with or for the Administrator
within the full scope of the Administrator's responsibilities. In the
Administrator's absence, the Deputy Administrator serves as Acting
Administrator.

Subpart 2_Organization

Sec. 1201.200 General.

NASA's basic organization consists of the Headquarters, nine field
Centers, the Jet Propulsion Laboratory (a Federally Funded Research and
Development Center), and several component installations which report to
Center Directors. Responsibility for overall

[[Page 6]]

planning, coordination, and control of NASA programs is vested in NASA
Headquarters located in Washington, DC. For additional information,
visit http://www.nasa.gov/about/org_index.html.

[79 FR 18444, Apr. 2, 2014]

Subpart 3_Boards and Committees

Sec. 1201.300 Boards and committees.

(a) NASA's Contract Adjustment Board (CAB) and Inventions and
Contributions Board (ICB) were established as part of the permanent
organization structure of NASA. Charters for both Boards are set forth
in part 1209 of this chapter. Procedures for the CAB are set out in 48
CFR part 1850, and procedures for the ICB are set out in 14 CFR parts
1240 and 1245.
(b) The Armed Services Board of Contract Appeals (ASBCA) is a
neutral, independent forum whose primary function is to hear and decide
post-award contract disputes between government contractors and those
entities with whom the ASBCA has entered into agreement to provide
services (NASA is one of those entities). The ASBCA functions in
accordance with the Contract Disputes Act (41 U.S.C. 7101-7109), its
Charter, or other remedy-granting provisions. Information about the
ASBCA can be obtained by mail at ASBCA, Skyline 6, Suite 700, 5109
Leesburg Pike, Falls Church, Virginia 22041-3208, by phone at 703-681-
8500, or from the Web at www.asbca.mil.

[79 FR 18444, Apr. 2, 2014]

Subpart 4 [Reserved]

PART 1203_INFORMATION SECURITY PROGRAM--Table of Contents

Subpart A_Scope

Sec.
1203.100 Legal basis.
1203.101 Other applicable NASA regulations.

Subpart B_NASA Information Security Program

1203.200 Background and discussion.
1203.201 Information security objectives.
1203.202 Responsibilities.
1203.203 Degree of protection.

Subpart C_Classification Principles and Considerations

1203.300 General.
1203.301 Identification of information requiring protection.
1203.302 Compilation.
1203.303 Distribution controls.
1203.304 Internal effect.
1203.305 Restricted data.

Subpart D_Guides for Original Classification

1203.400 Specific classifying guidance.
1203.401 Effect of open publication.
1203.402 Classifying material other than documentation.
1203.403 [Reserved]
1203.404 Handling of unprocessed data.
1203.405 Proprietary information.
1203.406 Additional classification factors.
1203.407 Duration of classification.
1203.408 Assistance by Information Security Specialist in the Center
Protective Services Office.
1203.410 Limitations.
1203.411 Restrictions.
1203.412 Classification guides.

Subpart E_Derivative Classification

1203.500 Use of derivative classification.
1203.501 Applying derivative classification markings.

Subpart F_Declassification and Downgrading

1203.600 Policy.
1203.601 Responsibilities.
1203.602 Authorization.
1203.603 Systematic review for declassification.
1203.604 Mandatory review for declassification.

Subpart G [Reserved]

Subpart H_Delegation of Authority To Make Determinations in Original
Classification Matters

1203.800 Establishment.
1203.801 Responsibilites
1203.802 Membership.
1203.803 Ad hoc committees.
1203.804 Meetings.

Subpart I_NASA Information Security Program Committee

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

[[Page 7]]

1203.904 Meetings.

Subpart J_Special Access Programs (SAP) and Sensitive Compartmented
Information (SCI) Programs

1203.1000 General.
1203.1001 Membership.
1203.1002 Ad hoc committees.
1203.1003 Meetings.

Authority: E.O. 13526, E.O. 12968, E.O. 13549, E.O. 12829, 32 CFR
part 2001, and 51 U.S.C., 20132, 20133.

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

Subpart A_Scope

Sec. 1203.100 Legal basis.

(a) Executive Order 13526 (hereinafter referred to as ``the
Order''). The responsibilities and authority of the Administrator of
NASA with respect to the original classification of official information
or material requiring protection against unauthorized disclosure in the
interest of national defense or foreign relations of the United States
(hereinafter collectively termed ``national security''), and the
standards for such classification, are established by the ``the Order''
and the Information Security Oversight Office Directive No. 1, as
amended (32 CFR part 2001, ``Classified National Security
Information'');
(b) E.O. 10865. Executive Order 10865 (24 FR 1583) requires the
Administrator to prescribe by regulation such specific requirements,
restrictions and other safeguards as the Administrator may consider
necessary to protect:
(1) Releases of classified information to or within United States
industry that relate to contracts with NASA; and
(2) Other releases of classified information to industry that NASA
has responsibility for safeguarding.
(c) The National Aeronautics and Space Act. (1) The National
Aeronautics and Space Act (51 U.S.C. 20113) (Hereafter referred to as,
``The Space Act''), states:

The Administrator shall establish such security requirements,
restrictions, and safeguards as he deems necessary in the interest of
the national security * * *

(2) Section 303 of the Space Act states:

Information obtained or developed by the Administrator in the
performance of his functions under this Act shall be made available for
public inspection, except (i) information authorized or required by
Federal statute to be withheld, and (ii) information classified to
protect the national security: Provided, That nothing in this Act shall
authorize the withholding of information by the Administrator from the
duly authorized committees of the Congress.

[44 FR 34913, June 18, 1979, as amended at 48 FR 5889, Feb. 9, 1983; 64
FR 72535, Dec. 28, 1999; 78 FR 5117, Jan. 24, 2013]

Sec. 1203.101 Other applicable NASA regulations.

(a) Subpart H of this part, ``Delegation of Authority to Make
Determinations in Original Security Classification Matters.''
(b) Subpart I of this part, ``NASA Information Security Program
Committee.''
(c) NASA Procedural Requirements (NPR) 1600.2, NASA Classified
National Security Information (CNSI).

[44 FR 34913, June 18, 1979, as amended at 78 FR 5117, Jan. 24, 2013]

Subpart B_NASA Information Security Program

Sec. 1203.200 Background and discussion.

(a) In establishing a civilian space program, the Congress required
NASA to ``provide for the widest practicable and appropriate
dissemination of information concerning its activities and the results
thereof,'' and for the withholding from public inspection of that
information that is classified to protect the national security.
(b) The Order was promulgated in recognition of the essential
requirement for an informed public concerning the activities of its
Government, as well as the need to protect certain national security
information from unauthorized disclosure. It delegates to NASA certain
responsibility for matters pertaining to national security and confers
on the Administrator of NASA, or such responsible officers or employees
as the Administrator may designate, the authority for original
classification of official information or material which requires
protection in the interest of national security. It also provides for:

[[Page 8]]

(1) Basic classification, downgrading and declassification
guidelines;
(2) The issuance of directives prescribing the procedures to be
followed in safeguarding classified information or material;
(3) A monitoring system to ensure the effectiveness of the Order;
(4) Appropriate administrative sanctions against officers and
employees of the United States Government who are found to be in
violation of the Order or implementing directive; and
(5) Classification limitations and restrictions as discussed in
Secs. 1203.410 and 1203.411.
(c) The Order requires the timely identification and protection of
that NASA information the disclosure of which would be contrary to the
best interest of national security. Accordingly, the determination in
each case must be based on a judgment as to whether disclosure of
information could reasonably be expected to result in damage to the
national security.

[44 FR 34913, June 18, 1979, as amended at 48 FR 5889, Feb. 9, 1983; 78
FR 5117, Jan. 24, 2013]

Sec. 1203.201 Information security objectives.

The objectives of the NASA Information Security Program are to:
(a) Ensure that information is classified only when a sound basis
exists for such classification and only for such period as is necessary.
(b) Prevent both the unwarranted classification and the
overclassification of NASA information.
(c) Ensure the greatest practicable uniformity within NASA in the
classification of information.
(d) Ensure effective coordination and reasonable uniformity with
other Government departments and agencies, particularly in areas where
there is an exchange or sharing of information, techniques, hardware,
software, or other technologies.
(e) Provide a timely and effective means for downgrading or
declassifying information when the circumstances necessitating the
original classification change or no longer exist.

[44 FR 34913, June 18, 1979, as amended at 78 FR 5117, Jan. 24, 2013]

Sec. 1203.202 Responsibilities.

(a) The Chairperson, NASA Information Security Program Committee
(NISPC) (Subpart I of this part), who is the Assistant Administrator for
Protective Services, or designee, is responsible for:
(1) Directing the NASA Information Security Program (NISP) in
accordance with NASA policies and objectives and applicable laws and
regulations.
(2) Ensuring effective compliance with and implementation of ``the
Order'' and the Information Security Oversight Office Directive No. 1
relating to security classification matters.
(3) Reviewing, in consultation with the NASA Information Security
Program Committee NISPC, questions, suggestions, appeals and compliance
concerning the NISP and making determinations concerning them.
(4) Coordinating NASA security classification matters with NASA
Centers and component facilities and other Government agencies.
(5) Ensuring Security Classification Guides for NASA are developed
for NASA programs and projects.
(6) Developing, maintaining and recommending to the Administrator
guidelines for the systematic review covering all classified information
under NASA's jurisdiction.
(7) Reviewing and coordinating with appropriate offices all appeals
of denials of requests for records under sections 552 and 552a of Title
5, United States Code (Freedom of Information and Privacy Acts) when the
denials are based on the records' continued classification.
(8) Recommending to the Administrator appropriate administrative
action to correct abuse or violations of any provision of the NISP,
including notifications by warning letter, formal reprimand and to the
extent permitted by law, suspension without pay and removal.
(b) All NASA employees are responsible for bringing to the attention
of the Chairperson of the NISPC any information security problems in
need of resolution, any areas of interest wherein information security
guidance is lacking, and any other matters likely to impede achievement
of the objectives prescribed in this section.

[[Page 9]]

(c) Each NASA official to whom the authority for original
classification is delegated shall be accountable for the propriety of
each classification (see subpart H) and is responsible for:
(1) Ensuring that classification determinations are consistent with
the policy and objectives prescribed above, and other applicable
guidelines.
(2) Bringing to the attention of the Chairperson, NISPC, for
resolution, any disagreement with classification determinations made by
other NASA officials.
(3) Ensuring that information and material which no longer requires
its present level of protection is promptly downgraded or declassified
in accordance with applicable guidelines within a reasonable period.
(d) Other supervisors of NASA offices are responsible for:
(1) Ensuring that classified information or material prepared within
their respective offices is appropriately marked.
(2) Ensuring that material proposed for public release is reviewed
to redact classified information contained therein.
(e) Chiefs of Protective Services at NASA Centers are responsible
for:
(1) Developing proposed Security Classification Guides and
submitting the guide to the Office of Protective Services for review and
approval.
(2) Ensuring that classified information or material prepared in
their respective Center is appropriately marked.
(3) Ensuring that material proposed for public release is reviewed
to redact classified information.
(4) Coordinating all security classification actions with the
Center's Protective Services Office.
(f) The Director of the Office of Protective Services, NASA
Headquarters, who serves as a member and Executive Secretary of the
NISPC, is responsible for the NASA-wide coordination of security
classification matters.
(g) The Information Security Program Manager, Office of Protective
Services (OPS), is responsible for establishing procedures for the
safeguarding of classified information or material (e.g.,
accountability, control, access, storage, transmission, and marking) and
for ensuring that such procedures are systematically reviewed; and those
which are duplicative or unnecessary are eliminated.

[44 FR 34913, June 18, 1979, as amended at 45 FR 3888, Jan. 21, 1980; 48
FR 5890, Feb. 9, 1983; 53 FR 41318, Oct. 21, 1988; 64 FR 72535, Dec. 28,
1999; 78 FR 5117, Jan. 24, 2013]

Sec. 1203.203 Degree of protection.

(a) General. Upon determination that information or material must be
classified, the degree of protection commensurate with the sensitivity
of the information must be determined. If there is reasonable doubt
about the need to classify information, it shall be safeguarded as if it
were classified pending a determination by an original classification
authority, who shall make this determination within 30 days. If there is
reasonable doubt about the appropriate level of classification, it shall
be safeguarded at the higher level of classification pending a
determination by an original classification authority, who shall make
this determination within 30 days.
(b) Authorized categories of classification. The three categories of
classification, as authorized and defined in ``the Order,'' are set out
below. No other restrictive markings are authorized to be placed on NASA
classified documents or materials except as expressly provided by
statute or by NASA Directives.
(1) Top Secret. Top Secret is the designation applied to information
or material, the unauthorized disclosure of which could reasonably be
expected to cause exceptionally grave damage to the national security.
(2) Secret. Secret is the designation applied to information or
material, the unauthorized disclosure of which could reasonably be
expected to cause serious damage to the national security.
(3) Confidential. Confidential is the designation applied to that
information or material for which the unauthorized disclosure could
reasonably be expected to cause damage to the national security.

[44 FR 34913, June 18, 1979, as amended at 48 FR 5890, Feb. 9, 1983; 78
FR 5117, Jan. 24, 2013]

[[Page 10]]

Subpart C_Classification Principles and Considerations

Sec. 1203.300 General.

In general, the types of NASA-generated information and material
requiring protection in the interest of national security lie in the
areas of applied research, technology or operations.

Sec. 1203.301 Identification of information requiring protection.

Classifiers shall identify the level of classification of each
classified portion of a document (including subject and titles), and
those portions that are not classified.

Sec. 1203.302 Compilation.

A compilation of items that are individually unclassified may be
classified if the compiled information reveals an additional association
or relationship that meets the standards of classification under the
Order; and is not otherwise revealed in the individual items of
information. As used in the Order, compilations mean an aggregate of
pre-existing unclassified items of information.

[78 FR 5118, Jan. 24, 2013]

Sec. 1203.303 Distribution controls.

NASA shall establish controls over the distribution of classified
information to ensure that it is dispersed only to organizations or
individuals eligible for access to such information and with a need-to-
know the information.

[78 FR 5118, Jan. 24, 2013]

Sec. 1203.304 Internal effect.

The effect of security protection on program progess and cost and on
other functional activities of NASA should be considered. Impeditive
effects and added costs inherent in a security classification must be
assessed and weighed against the detrimental effects on the national
security interests which would result from failure to classify.

[44 FR 34913, June 18, 1979, as amended at 78 FR 5118, Jan. 24, 2013]

Sec. 1203.305 Restricted data.

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

[44 FR 34913, June 18, 1979, as amended at 78 FR 5118, Jan. 24, 2013]

Subpart D_Guides for Original Classification

Sec. 1203.400 Specific classifying guidance.

Technological and operational information and material, and in some
exceptional cases scientific information falling within any one or more
of the following categories, must be classified if its unauthorized
disclosure could reasonably be expected to cause some degree of damage
to the national security. In cases where it is believed that a contrary
course of action would better serve the national interests, the matter
should be referred to the Chairperson, NISPC, for a determination. It is
not intended that this list be exclusive; original classifiers are
responsible for initially classifying any other type of information
which, in their judgment, requires protection under Sec. 1.4 of ``the
Order.''
(a) Military plans, weapons systems, or operations;
(b) Foreign government information;
(c) Intelligence activities (including covert activities),
intelligence sources or methods, or cryptology;
(d) Foreign relations or foreign activities of the United States,
including confidential sources;
(e) Scientific, technological, or economic matters relating to the
national security;
(f) United States Government programs for safeguarding nuclear
materials or facilities;
(g) Vulnerabilities or capabilities of systems, installations,
infrastructures, projects, plans, or protection services relating to the
national security; or

[[Page 11]]

(h) The development, production, or plans relating to the use of
weapons of mass destruction.

[78 FR 5118, Jan. 24, 2013]

Sec. 1203.401 Effect of open publication.

Public disclosure, regardless of source or form, of information
currently classified or being considered for classification does not
preclude initial or continued classification. However, such disclosure
requires an immediate reevaluation to determine whether the information
has been compromised to the extent that downgrading or declassification
is indicated. Similar consideration must be given to related items of
information in all programs, projects, or items incorporating or
pertaining to the compromised items of information. In these cases, if a
release were made or authorized by an official Government source,
classification of clearly identified items may no longer be warranted.
Questions as to the propriety of continued classification should be
referred to the Chairperson, NASA Information Security Program
Committee.

Sec. 1203.402 Classifying material other than documentation.

Items of equipment or other physical objects may be classified only
where classified information may be derived by visual observation of
internal or external appearance, structure, operation, test, application
or use. The overall classification assigned to equipment or objects
shall be at least as high as the highest classification of any of the
items of information which may be revealed by the equipment or objects,
but may be higher if the classifying authority determines that the sum
of classified or unclassified information warrants such higher
classification. In every instance where classification of an item of
equipment or object is determined to be warranted, such determination
must be based on a finding that there is at least one aspect of the item
or object which requires protection. If mere knowledge of the existence
of the equipment or object would compromise or nullify the reason or
justification for its classification, the fact of its existence should
be classified.

Sec. 1203.403 [Reserved]

Sec. 1203.404 Handling of unprocessed data.

It is the usual practice to withhold the release of raw scientific
data received from spacecraft until it can be calibrated, correlated and
properly interpreted by the experimenter under the monitorship of the
cognizant NASA office. During this process, the data are withheld
through administrative measures, and it is not necessary to resort to
security classification to prevent premature release. However, if at any
time during the processing of raw data it becomes apparent that the
results require protection under the criteria set forth in this subpart
D, it is the responsibility of the cognizant NASA office to obtain the
appropriate security classification.

Sec. 1203.405 Proprietary information.

Proprietary information made available to NASA is subject to
examination for classification purposes under the criteria set forth in
this subpart D. Where the information is in the form of a proposal and
accepted by NASA for support, it should be categorized in accordance
with the criteria of Sec. 1203.400. If NASA does not support the
proposal but believes that security classification would be appropriate
under the criteria of Sec. 1203.400 if it were under Government
jurisdiction, the contractor should be advised of the reasons why
safeguarding would be appropriate, unless security considerations
preclude release of the explanation to the contractor. NASA should
identify the Government department, agency or activity whose national
security interests might be involved and the contractor should be
instructed to protect the proposal as though classified pending further
advisory classification opinion by the Government activity whose
interests are involved. If such a Government activity cannot be
identified, the contractor should be advised that the proposal is not
under NASA jurisdiction for classification purposes, and that the
information should be sent, under proper safeguards, to the

[[Page 12]]

Director, Information Security Oversight Office for a determination.

[44 FR 34913, June 18, 1979, as amended at 78 FR 5118, Jan. 24, 2013]

Sec. 1203.406 Additional classification factors.

In determining the appropriate classification category, the
following additional factors should be considered:
(a) Uniformity within government activities. The effect
classification will have on technological programs of other Government
departments and agencies should be considered. Classification of
official information must be reasonably uniform within the Government.
(b) Applicability of classification directives of other Government
agencies. It is necessary to determine whether authoritative
classification guidance exists elsewhere for the information under
consideration which would make it necessary to assign a higher
classification than that indicated by the applicable NASA guidance. The
Office of Protective Services will coordinate with the Information
Security Oversight Office (ISOO) Committee and the National
Declassification Center to determine what classification guides are
current.

[44 FR 34913, June 18, 1979, as amended at 78 FR 5118, Jan. 24, 2013]

Sec. 1203.407 Duration of classification.

(a) At the time of original classification, the original
classification authority shall establish a specific date or event for
declassification based on the duration of the national security
sensitivity of the information. Upon reaching the date or event, the
information shall be automatically declassified. Except for information
that should clearly and demonstrably be expected to reveal the identity
of a confidential human source or a human intelligence source or key
design concepts of weapons of mass destruction, the date or event shall
not exceed the timeframe established in paragraph (b) of this section.
(b) If the original classification authority cannot determine an
earlier specific date or event for declassification, information shall
be marked for declassification 10 years from the date of the original
decision, unless the original classification authority otherwise
determines that the sensitivity of the information requires that it be
marked for declassification for up to 25 years from the date of the
original decision.
(c) An original classification authority may extend the duration of
classification up to 25 years from the date of origin of the document,
change the level of classification, or reclassify specific information
only when the standards and procedures for classifying information under
this Order are followed.
(d) No information may remain classified indefinitely. Information
that is marked for an indefinite duration of classification under
predecessor orders, for example, information marked as ``Originating
Agency's Determination Required,'' or classified information that
contains either incomplete or no declassification instructions, shall
have appropriate declassification information applied in accordance with
part 3 of this order.

[78 FR 5118, Jan. 24, 2013]

Sec. 1203.408 Assistance by Information Security Specialist in the
Center Protective Services Office.

Center Security Classification Officers, as the Center point-of-
contact, will assist Center personnel in:
(a) Interpreting security classification guides and classification
assignments for the Center.
(b) Answering questions and considering suggestions concerning
security classification matters.
(c) Ensuring a continuing review of classified information for the
purpose of declassifying or downgrading in accordance with subpart E of
this part.
(d) Reviewing and approving, as the representative of the
contracting officer, the DD Form 254, Contract Security Classification
Specification, issued to contractors by the Center.
(e) Forwarding all security classification guides to the Office of
Protective Services, NASA Headquarters, for final approval.

[44 FR 34913, June 18, 1979, as amended at 78 FR 5118, Jan. 24, 2013]

[[Page 13]]

Sec. 1203.409 Exceptional cases.

(a) In those cases where a person not authorized to classify
information originates or develops information which is believed to
require classification, that person must contact the Center's or
installation's Information Security Officer in the Protective Services
Office to arrange for proper review and safeguarding. Persons other than
NASA employees should forward the information to the NASA Central
Registry at 300 E Street SW., Washington, DC 20546, Attention: Office of
Protective Services.
(b) Information in which NASA does not have primary interest shall
be returned promptly, under appropriate safeguards, to the sender in
accordance with Sec. 1203.405.
(c) Material received from another agency for a NASA security
classification determination shall be processed within 90 days. If a
classification cannot be determined during that period, the material
shall be sent, under appropriate safeguards, to the Director,
Information Security Oversight Office, for a determination.

[44 FR 34913, June 18, 1979, as amended at 78 FR 5118, Jan. 24, 2013]

Sec. 1203.410 Limitations.

(a) In no case shall information be classified, continue to be
maintained as classified, or fail to be declassified in order to:
(1) Conceal violations of law, inefficiency, or administrative
error;
(2) Prevent embarrassment to a person, organization, or agency;
(3) Restrain competition; or
(4) Prevent or delay the release of information that does not
require protection in the interest of the national security.
(b) Basic scientific research information not clearly related to the
national security may not be classified.
(c) Information may not be reclassified after declassification after
being released to the public under proper authority unless: The
reclassification is based on a document-by-document review by NASA and a
determination that reclassification is required to prevent at least
significant damage to the national security and personally approved in
writing by the Administrator, the Deputy Administrator, or the Assistant
Administrator for Protective Services. All reclassification actions will
be coordinated with the Information Security Oversight Office before
final approval; the information may be reasonably recovered without
bringing undue public attention to the information; the reclassification
action is reported promptly to the Assistant to the President for
National Security Affairs (the National Security Advisor) and the
Director of the Information Security Oversight Office; and for documents
in the physical and legal custody of the National Archives and Records
Administration (National Archives) that have been available for public
use, the Administrator, the Deputy Administrator, or the Assistant
Administrator for Protective Services, after making the determinations
required by this paragraph, shall notify the Archivist of the United
States (hereafter, Archivist), who shall suspend public access pending
approval of the reclassification action by the Director of the
Information Security Oversight Office. Any such decision by the Director
may be appealed by the agency head to the President through the National
Security Advisor. Public access shall remain suspended pending a prompt
decision on the appeal.
(d) Information that has not previously been disclosed to the public
under proper authority may be classified or reclassified after an agency
has received a request for it under the Freedom of Information Act (5
U.S.C. 552), the Presidential Records Act, 44 U.S.C. 2204(c)(1), the
Privacy Act of 1974 (5 U.S.C. 552a), or the mandatory review provisions
of section 3.5 of this Order only if such classification meets the
requirements of this Order and is accomplished by document-by-document
review with the personal participation or under the direction of the
Administrator, the Deputy Administrator, or the Assistant Administrator
for Protective Services. The requirements in this paragraph also apply
to those situations in which information has been declassified in
accordance

[[Page 14]]

with a specific date or event determined by an original classification
authority in accordance with section 1.5 of this Order.
(e) Compilations of items of information that are individually
unclassified may be classified if the compiled information reveals an
additional association or relationship that:
(1) Meets the standards for classification under this Order; and
(2) Is not otherwise revealed in the individual items of
information.

[44 FR 34913, June 18, 1979, as amended at 48 FR 5890, Feb. 9, 1983; 78
FR 5119, Jan. 24, 2013]

Sec. 1203.411 Restrictions.

(a) Except as provided by directives issued by the President through
the National Security Council, classified information originating in one
agency may not be disseminated outside any other agency to which it has
been made available without the consent of the originating agency. For
purposes of this section, the Department of Defense shall be considered
one agency.
(b) Classified information shall not be disseminated outside the
Executive Branch except under conditions that ensure the information
will be given protection equivalent to that afforded within the
Executive Branch.

[48 FR 5890, Feb. 9, 1983]

Sec. 1203.412 Classification guides.

(a) General. A classification guide, based upon classification
determinations made by appropriate program and classification
authorities, shall be issued for each classified system, program or
project. Classification guides shall:
(1) Identify the information elements to be protected, using
categorization and subcategorization to the extent necessary to ensure
that the information involved can be readily and uniformly identified.
(2) State which of the classification designations (i.e., Top
Secret, Secret or Confidential) apply to the identified information
elements.
(3) State the duration of each specified classification in terms of
a period of time or future event. If the original classification
authority cannot determine an earlier specific date or event for
declassification, information shall be marked for declassification 10
years from the date of the original decision, unless the original
classification authority otherwise determines that the sensitivity of
the information requires it be marked for declassification for up to 25
years from the date of the original decision.
(4) Indicate specifically that the designations, time limits,
markings and other requirements of ``the Order'' are to be applied to
information classified pursuant to the guide.
(5) All security classification guides should be forwarded to the
Office of Protective Services for review and final approval. The Office
of Protective Services will maintain a list of all classification guides
in current use.
(b) Review of classification guides. Classification guides shall be
reviewed by the originator for currency and accuracy not less than once
every five years. Changes shall be in strict conformance with the
provisions of this part 1203 and shall be issued promptly. If no changes
are made, the originator shall so annotate the record copy and show the
date of the review.

[44 FR 34913, June 18, 1979, as amended at 48 FR 5891, Feb. 9, 1983; 78
FR 5119, Jan. 24, 2013]

Subpart E_Derivative Classification

Sec. 1203.500 Use of derivative classification.

(a) Persons who reproduce, extract, or summarize classified
information, or who apply classification markings derived from source
material or as directed by a classification guide, need not possess
original classification authority.
(b) Persons who apply derivative classification markings shall:
(1) Be identified by name and position or by personal identifier, in
a manner that is immediately apparent for each derivative classification
action;
(2) Observe and respect original classification decisions; and
(3) Carry forward to any newly created documents the pertinent
classification markings. For information derivatively classified based
on multiple

[[Page 15]]

sources, the derivative classifier shall carry forward:
(i) The date or event for declassification that corresponds to the
longest period of classification among the sources or the marking
established pursuant to section 1.6(a)(4)(D) of the Order; and
(ii) A listing of the source materials.
(c) Derivative classifiers shall, whenever practicable, use a
classified addendum when classified information constitutes a small
portion of an otherwise unclassified document or prepare a product to
allow for dissemination at the lowest level of classification possible
or in unclassified form.
(d) Persons who apply derivative classification markings shall
receive training in the proper application of the derivative
classification principles of the Order, with an emphasis on avoiding
over-classification, at least once every two years. Derivative
classifiers who do not receive such training at least once every two
years shall have their authority to apply derivative classification
markings suspended until they have received such training. A waiver may
be granted by the Administrator, the Deputy Administrator, or the
Assistant Administrator for Protective Services if an individual is
unable to receive such training due to unavoidable circumstances.
Whenever a waiver is granted, the individual shall receive such training
as soon as practicable.

[78 FR 5119, Jan. 24, 2013]

Sec. 1203.501 Applying derivative classification markings.

Persons who apply derivative classification markings shall:
(a) Observe and respect original classification decisions:
(b) Verify the information's current level of classification so far
as practicable before applying the markings; and
(c) Carry forward to newly created documents any assigned authorized
markings. The declassification date or event that provides the longest
period of classification shall be used for documents classified on the
basis of multiple sources.

[44 FR 34913, June 18, 1979, as amended at 48 FR 5891, Feb. 9, 1983]

Subpart F_Declassification and Downgrading

Sec. 1203.600 Policy.

Information shall be declassified or downgraded as soon as national
security considerations permit. NASA reviews of classified information
shall be coordinated with other agencies that have a direct interest in
the subject matter. Information that continues to meet the
classification requirements prescribed by Sec. 1203.400 despite the
passage of time will continue to be protected in accordance with ``the
Order.''

[48 FR 5891, Feb. 9, 1983]

Sec. 1203.601 Responsibilities.

Authorized officials with Declassification Authority (DCA) may
declassify or downgrade information that is subject to the final
classification jurisdiction of NASA and shall take such action in
accordance with the provisions of this subpart F.

[44 FR 34913, June 18, 1979, as amended at 78 FR 5120, Jan. 24, 2013]

Sec. 1203.602 Authorization.

Information shall be declassified or downgraded by an authorized DCA
official. If that official is still serving in the same position, the
originator's successor, a supervisory official of either, or officials
delegated such authority in writing by the Administrator or the
Chairperson, NISPC, may also make a decision to declassify or downgrade
information.

[78 FR 5120, Jan. 24, 2013]

Sec. 1203.603 Systematic review for declassification:

(a) General. (1) NASA must establish and conduct a program for
systematic declassification review of NASA-originated records of
permanent historical value exempted from automatic declassification
under section 3.3 of this Order. The NASA Office of Protective Services
shall prioritize the review of

[[Page 16]]

such records in coordination with the Center Protective Service Offices.
(2) The Archivist shall conduct a systematic declassification review
program for classified records:
(i) Accessioned into the National Archives;
(ii) Transferred to the Archivist pursuant to 44 U.S.C. 2203; and
(iii) For which the National Archives serves as the custodian for an
agency or organization that has gone out of existence.
(3) The Chairperson, NISPC, shall designate experienced personnel to
assist the Archivist in the systematic review of U.S. originated
information and foreign information exempted from automated
declassification. Such personnel shall:
(i) Provide guidance and assistance to the National Archives and
Records Service in identifying and separating documents and specific
categories of information within documents which are deemed to require
continued classification; and
(ii) Develop reports of information or document categories so
separated, with recommendations concerning continued classification.
(iii) Develop, in coordination with NASA organizational elements,
guidelines for the systematic review for declassification of classified
information under NASA's jurisdiction. The guidelines shall state
specific limited categories of information which, because of their
national security sensitivity, should not be declassified automatically,
but should be reviewed to determine whether continued protection beyond
25 years is needed. These guidelines are authorized for use by the
Archivist and the Director of the Information Security Oversight Office,
with the approval of the Senior Agency Official, which is the Assistant
Administrator, Office of Protective Services, for categories listed in
section 3.3 of the Order. These guidelines shall be reviewed at least
every five years and revised as necessary, unless an earlier review for
revision is requested by the Archivist. Copies of the declassification
guidelines promulgated by NASA will be provided to the Information
Security Oversight Office, National Archives and Records Administration
(NARA). All security classified records exempt from automatic
declassification, whether held in storage areas under installation
control or in Federal Records Centers, will be surveyed to identify
those requiring scheduling for future disposition.
(A) Classified information or material over which NASA exercises
exclusive or final original classification authority and which is to be
declassified in accordance with the systematic review guidelines shall
be so marked.
(B) Classified information or material over which NASA exercises
exclusive or final original classification authority and which, in
accordance with the systematic review guidelines is to be kept
protected, shall be listed by category by the responsible custodian and
referred to the Chairperson, NASA Information Security Program
Committee. This listing shall:
(1) Identify the information or material involved.
(2) Recommend classification beyond 25 years to a specific event
scheduled to happen or a specific period of time in accordance with the
Order.
(3) The Administrator shall delegate to the Senior Agency Official
the authority to determine which category shall be kept classified and
the dates or event for declassification.
(4) Declassification by the Director of the Information Security
Oversight Office (DISOO). If the Director determines that NASA
information is classified in violation of the Order, the Director may
require the information to be declassified. Any such decision by the
Director may be appealed through the NASA ISPC to the National Security
Council. The information shall remain classified pending a prompt
decision on the appeal.
(b) [Reserved]

[78 FR 5120, Jan. 24, 2013]

Sec. 1203.604 Mandatory review for declassification.

(a) Information covered. Except as provided in paragraph (b) of this
section, all information classified under the Order or predecessor
orders shall be subject to a review for declassification by the
originating agency if:
(1) The request for a review describes the document or material
containing

[[Page 17]]

the information with sufficient specificity to enable the agency to
locate it in a reasonably timely manner;
(2) The document or material containing the information responsive
to the request is not contained within an operational file exempted from
search and review, publication, and disclosure under 5 U.S.C. 552 in
accordance with law; and
(3) The information is not the subject of pending litigation.
(b) Presidential papers. Information originated by the President or
Vice President; the President's White House Staff, or the Vice
President's Staff; committees, commissions, or boards appointed by the
President; or other entities within the Executive Office of the
President that solely advise and assist the President are exempted from
the provisions of paragraph (a) of this section. However, the Archivist
shall have the authority to review, downgrade, and declassify papers or
records of former Presidents and Vice Presidents under the control of
the Archivist pursuant to 44 U.S.C. 2107, 2111, 2111 note, or 2203.
Procedures developed by the Archivist shall provide for consultation
with agencies having primary subject matter interest and shall be
consistent with the provisions of applicable laws or lawful agreements
that pertain to the respective Presidential papers or records. Agencies
with primary subject matter interest shall be notified promptly of the
Archivist's decision. Any final decision by the Archivist may be
appealed by the requester or an agency to the Panel. The information
shall remain classified pending a decision on the appeal.
(c) Submission of requests for review. Requests for mandatory review
of classified information shall be submitted in accordance with the
following:
(1) Requests originating within NASA shall, in all cases, be
submitted directly to the NASA Office of Protective Services.
(2) For the most expeditious action, requests from other
Governmental agencies or from members of the public should be submitted
directly to the NASA Office of Protective Services only. The requestor
may submit the request to: National Aeronautics and Space Administration
(NASA), Central Registry, 300 E Street SW., Washington DC 20546,
Attention: Office of Protective Services/Information Security Program
Manager. The phrase, ``Mandatory Declassification Review,'' must be
stated in the request.
(d) Requirement for processing. (1) Requests which are submitted
under the Freedom of Information Act cannot be processed under the MDR
process.
(2) The request describes the document or material containing the
information with sufficient specificity, such as accession numbers, box
titles or numbers, date and title of document, in any combination, to
enable NASA to locate it with a reasonable amount of effort, not to
exceed 30 days. If more time is required, NASA will notify the
requester. After review, the information or any portion thereof that no
longer requires protection shall be declassified and released unless
withholding is otherwise warranted under applicable law.
(e) Processing of requests. Requests that meet the requirements of
paragraph (d)(2) of this section will be processed as follows:
(1) The NASA Office of Protective Services review upon receiving the
initial request shall be completed within 365 days.
(2) Receipt of the request shall be acknowledged promptly. The NASA
Office of Protective Services shall determine whether, under the
declassification provisions of this part 1203, the requested information
may be declassified and, if so, shall make such information available to
the requestor, unless withholding is otherwise warranted under
applicable law. If the information may not be released in whole or in
part, the requestor shall be given a brief statement of the reasons for
denial, a notice of the right to appeal the determination to the
Chairperson, NASA Information Security Program Committee, National
Aeronautics and Space Administration, Washington, DC 20546, and a notice
that such an appeal must be filed within 60 days in order to be
considered.
(3) All appeals of denials of requests for declassification shall be
acted upon and determined finally within 120 working days after receipt,
and the requester shall be advised that the appeal

[[Page 18]]

determination is final. If the requester is dissatisfied with NASA's
appeal decision, the requester may initiate an appeal to the Interagency
Security Classification Appeals Panel (ISCAP), within the Information
Security Oversight Office. If continued classification is required under
the provisions of this part 1203, the requester shall be notified of the
reasons thereof.
(4) The declassification and release of foreign government
information that is subjected to mandatory review under this section
shall be determined only in accordance with Sec. 1203.703.
(5) When the NASA Office of Protective Services receives any request
for declassification of information in documents in its custody that was
classified by another Government agency, it shall refer copies of the
request and the requested documents to the originating agency for
processing and may, after consultation with the originating agency,
inform the requester of the referral.
(f) Neutral response. In response to a request for information under
the Freedom of Information Act, the Privacy Act of 1974, or the
mandatory review provisions of ``the Order,'' NASA shall refuse to
confirm or deny the existence or non-existence of requested information
whenever the fact of its existence or non-existence is itself
classifiable under ``the Order.''
(g) Declassification of transferred documents or material--(1)
Material officially transferred. In the case of classified information
or material transferred by or pursuant to statute or Executive Order to
NASA in conjunction with a transfer of functions (not merely for storage
purposes) for NASA's use and as part of its official files or property,
as distinguished from transfers merely for purposes of storage, NASA
shall be deemed to be the original classifying authority over such
material for purposes of downgrading and declassification.
(2) Material not officially transferred. When NASA has in its
possession classified information or material originated by an agency
which has since ceased to exist and that information has not been
officially transferred to another department or agency or when it is
impossible for NASA to identify the originating agency and a review of
the material indicates that it should be downgraded or declassified,
NASA shall be deemed to be the originating agency for the purpose of
declassifying or downgrading such material. NASA will consult with the
Information Security Oversight Office to assist in final disposition of
the information.
(3) Transfer for storage or retirement. (i) Insofar as practicable,
classified documents shall be reviewed to determine whether or not they
can be downgraded or declassified prior to being forwarded to records
centers or to the National Archives for storage. Any downgrading or
declassification determination shall be indicated on each document by
appropriate markings.
(ii) Classified information transferred to the General Services
Administration for accession into the Archives of the United States
shall be downgraded or declassified by the Archivist of the United
States in accordance with ``the Order,'' the directives of the
Information Security Oversight Office, GSA, and NASA guidelines.
(h) Downgrading and declassification actions--(1) Notification of
changes in classification or declassification. When classified material
has been marked with specific dates or events for downgrading or
declassification, it is not necessary to issue notices of such actions
to any holders. However, when such actions are taken earlier than
originally scheduled, or the duration of classification is shortened,
the authority making such changes shall, to the extent practicable,
ensure prompt notification to all addressees to whom the information or
material was originally transmitted. The notification shall specify the
marking action to be taken, the authority therefor, and the effective
date. Upon receipt of notification, recipients shall effect the proper
changes and shall notify addressees to whom they have transmitted the
classified information or material.
(2) Posted notice. If prompt remarking of large quantities would be
unduly burdensome, the custodian may attach declassification,
downgrading, or upgrading notices to the storage unit in lieu of the
remarking action otherwise required. Each notice shall indicate the
change, the authority for the action, the date of the action, and the
storage

[[Page 19]]

units to which it applies. Items withdrawn from such storage units shall
be promptly remarked. However, when information subject to a posted
downgrading or declassification notice is withdrawn from one storage
unit solely for transfer to another, or a storage unit containing such
information is transferred from one place to another, the transfer may
be made without remarking if the notice is attached to or remains with
each shipment.
(i) Foreign Relations Series. In order to permit the State
Department editors of Foreign Relations of the United States to meet
their mandated goal of publishing 20 years after the event, NASA shall
assist these editors by facilitating access to appropriate classified
materials in its custody and by expediting declassification review of
items from its files selected for publication.
(ii) [Reserved]

[44 FR 34913, June 18, 1979, as amended at 45 FR 3888, Jan. 21, 1980; 48
FR 5892, Feb. 9, 1983; 53 FR 41318, Oct. 21, 1988; 78 FR 5120, Jan. 24,
2013]

Editorial Note: At 78 FR 5120, Jan. 24, 2013, Sec. 1203.604 was
amended in part by revising paragraphs (d)(3) and (4); however, the
amendatory instruction could not be incorporated completely because
(d)(3) and (4) did not exist.

Subpart G [Reserved]

Subpart H_Delegation of Authority To Make Determinations in Original
Classification Matters

Source: 62 FR 54380, Oct. 20, 1997, unless otherwise noted.

Sec. 1203.800 Establishment.

Pursuant to Executive Order 13526, ``Classified National Security
Information,'' and The Space Act, in accordance with U.S.C. Title 51,
National and Commercial Space Program Sections 20132 and 20133, there is
established a NASA Information Security Program Committee (as part of
the permanent administrative structure of NASA). The NASA Assistant
Administrator for Protective Services, or designee, shall be the
Chairperson of the Committee. The Information Security Program Manager,
NASA Office of Protective Services, is designated to act as the
Committee Executive Secretary.

[78 FR 5121, Jan. 24, 2013]

Sec. 1203.801 Responsibilities.

(a) The Chairperson reports to the Administrator concerning the
management and direction of the NASA Information Security Program as
provided for in subpart B of this part. In this connection, the
Chairperson is supported and advised by the Committee.
(b) The Committee shall act on all appeals from denials of
declassification requests and on all suggestions and complaints with
respect to administration of the NASA Information Security Program as
provided for in subpart B of this part.
(c) The Executive Secretary of the Committee shall maintain all
records produced by the Committee, its subcommittees, and its ad hoc
panels.
(d) The Office of Protective Services will provide staff assistance
and investigative and support services for the Committee.

[78 FR 5121, Jan. 24, 2013]

Sec. 1203.802 Membership.

The Committee membership will consist of the Chairperson, the
Executive Secretary, and one person nominated by each of the following
NASA officials:
(a) The Associate Administrators for:
(1) Aeronautics.
(2) Science Missions Directorate.
(3) Human Explorations and Operations.
(4) International and Interagency Relations.
(b) The Associate Administrator.
(c) The General Counsel.
(d) The Chief Information Officer.
(e) Other members may be designated upon specific request of the
Chairperson.

[78 FR 5121, Jan. 24, 2013]

Sec. 1203.803 Ad hoc committees.

The Chairperson is authorized to establish such ad hoc panels or
subcommittees as may be necessary in the conduct of the Committee's
work.

[78 FR 5121, Jan. 24, 2013]

[[Page 20]]

Sec. 1203.804 Meetings.

(a) Meetings will be held at the call of the Chairperson.
(b) Records produced by the Committee and the minutes of each
meeting will be maintained by the Executive Secretary.

[78 FR 5121, Jan. 24, 2013]

Subpart I_NASA Information Security Program Committee

Source: 54 FR 6881, Feb. 15, 1989, unless otherwise noted.

Sec. 1203.900 Establishment.

Pursuant to Executive Order 13526, ``Classified National Security
Information,'' and The Space Act, in accordance with U.S.C. Title 51,
National and Commercial Space Program Sections 20132 and 20133, there is
established a NASA Information Security Program Committee (as part of
the permanent administrative structure of NASA. The NASA Assistant
Administrator for Protective Services, or designee, shall be the
Chairperson of the Committee. The Information Security Program Manager,
NASA Office of Protective Services, is designated to act as the
Committee Executive Secretary.

[78 FR 5122, Jan. 24, 2013]

Sec. 1203.901 Responsibilities.

(a) The Chairperson reports to the Administrator concerning the
management and direction of the NASA Information Security Program as
provided for in subpart B of this part. In this connection, the
Chairperson is supported and advised by the Committee.
(b) The Committee shall act on all appeals from denials of
declassification requests and on all suggestions and complaints with
respect to administration of the NASA Information Security Program as
provided for in subpart B of this part.
(c) The Executive Secretary of the Committee shall maintain all
records produced by the Committee, its subcommittees, and its ad hoc
panels.
(d) The Office of Protective Services, will provide staff
assistance, and investigative and support services for the Committee.

[54 FR 6881, Feb. 15, 1989, as amended at 78 FR 5122, Jan. 24, 2013]

Sec. 1203.902 Membership.

The Committee will consist of the Chairperson and Executive
Secretary. In addition, each of the following NASA officials will
nominate one person to Committee membership:
(a) Associate Administrator for:
(1) Aero-Space Technology.
(2) Space Science.
(3) Space Flight.
(4) External Relations.
(5) Life and Microgravity Sciences and Applications.
(b) Associate Deputy Administrator.
(c) General Counsel.
Other members may be designated upon specific request of the
Chairperson.

[54 FR 6881, Feb. 15, 1989, as amended at 64 FR 72535, Dec. 28, 1999]

Sec. 1203.903 Ad hoc committees.

The Chairperson is authorized to establish such ad hoc panels or
subcommittees as may be necessary in the conduct of the Committee's
work.

Sec. 1203.904 Meetings.

(a) Meetings will be held at the call of the Chairperson.
(b) Records produced by the Committee and the minutes of each
meeting will be maintained by the Executive Secretary.

Subpart J_Special Access Programs (SAP) and Sensitive Compartmented
Information (SCI) Programs

Source: 78 FR 5122, Jan. 24, 2013, unless otherwise noted.

Sec. 1203.1000 General.

A SAP or SCI program shall be created within NASA only upon specific
written approval of the Administrator and must be coordinated with the
Assistant Administrator for Protective Services, or designee, to ensure
required security protocols are implemented and maintained.

[[Page 21]]

Sec. 1203.1001 Membership.

Sec. 1203.1002 Ad hoc committees.

The Chairperson is authorized to establish such ad hoc panels or
subcommittees as may be necessary in the conduct of the Committee's
work.

Sec. 1203.1003 Meetings.

(a) Meetings will be held at the call of the Chairperson.
(b) Records produced by the Committee and the minutes of each
meeting will be maintained by the Executive Secretary.

PART 1203a_NASA SECURITY AREAS--Table of Contents

Sec.
1203a.100 Purpose and scope.
1203a.101 Definitions.
1203a.102 Establishment, maintenance, and revocation of security areas.
1203a.103 Access to security areas.
1203a.104 Violation of security areas.
1203a.105 Implementation by field and component installations.

Authority: The National Aeronautics and Space Act of 1958, as
amended, 51 U.S.C. 20101 et seq.

Source: 38 FR 8056, Mar. 28, 1973, unless otherwise noted.

Sec. 1203a.100 Purpose and scope.

(a) To insure the uninterrupted and successful accomplishment of the
NASA mission, certain designated security areas may be established and
maintained by NASA Centers and Component Facilities in order to provide
appropriate and adequate protection for facilities, property, or
classified/proprietary information and material in the possession of
NASA or NASA contractors located at NASA Centers and Component
Facilities.
(b) This part sets forth:
(1) The designation and maintenance of security areas,
(2) The responsibilities and procedures in connection therewith, and
(3) The penalties that may be enforced through court actions against
unauthorized persons entering security areas.

[38 FR 8056, Mar. 28, 1973, as amended at 78 FR 5123, Jan. 24, 2013]

Sec. 1203a.101 Definitions.

For the purpose of this part, the following definitions apply:
(a) Security area. A physically defined area, established for the
protection or security of facilities, property, or classfied/proprietary
information and material in the possession of NASA or a NASA contractor
located at a NASA Center or Component Facility, entry to which is
subject to security measures, procedures, or controls. Security areas
which may be established are:
(1) Controlled area. An area in which security measures are taken to
safeguard and control access to property and hazardous materials or
other sensitive material or to protect operations that are vital to the
accomplishment of the mission assigned to a Center or Component
Facility. The controlled area shall have a clearly defined perimeter,
but permanent physical barriers are not required.
(2) Limited area. An area in which security measures are taken to
safeguard or control access to classified material or unclassified
property warranting special protection or property and hazardous
materials or to protect operations that are vital to the accomplishment
of the mission assigned to a Center or Component Facility. A Limited
Area shall also have a clearly defined perimeter, but differs from a
Controlled Area in that permanent physical barriers and access control
devices, including walls and doors with locks or access devices, are
emplaced to assist the occupants in keeping out unauthorized personnel.
All facilities

[[Page 22]]

designated as NASA Critical Infrastructure or a key resource will be
designated at a minimum as ``Limited'' areas.
(3) Exclusion area. An area that is a permanent facility dedicated
solely to the safeguarding and use of Classified National Security
Information. It is used when vaults are unsuitable or impractical and
where entry to the area alone provides visible or audible access to
classified material. To prevent unauthorized access to an exclusion
area, visitors will be escorted or other internal restrictions
implemented, as determined by the Center Security Office.
(b) Temporary security area. A designated interim security area, the
need for which will not exceed 30 days from date of establishment. A
temporary security area may also be established, pending approval of its
establishment as a permanent security area.
(c) Permanent security area. A designated security area, the need
for which will exceed 30 days from date of establishment.

[38 FR 8056, Mar. 28, 1973, as amended at 78 FR 5123, Jan. 24, 2013]

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

(a) Establishment. (1) Directors of NASA Centers, including
Component Facilities and Technical and Service Support Centers, and the
Executive Director for Headquarters Operations at NASA Headquarters may
establish, maintain, and protect such areas designated as Controlled,
Limited, or Exclusion, depending upon their assessment of the potential
for unauthorized persons either to:
(i) Obtain knowledge of classified information,
(ii) Damage or remove property, or to
(iii) Disrupt NASA or NASA contractor operations.
(2) The concurrence of the Assistant Administrator for Protective
Services NASA Headquarters, shall be obtained prior to the establishment
of a permanent security area.
(3)(i) At a minimum, the following information will be submitted to
the Assistant Administrator for Protective Services 15 workdays prior to
establishment of each permanent security area:
(a) The name and specific location of the NASA Center or Component
Facility, or property to be protected.
(b) A statement that the property is owned by, or leased to, the
United States for use by NASA or is the property of a NASA contractor
located on a NASA Center or Component Facility.
(c) Designation desired: i.e., controlled, limited, or Exclusion.
(d) Specific purpose(s) for the establishment of a security area.
(ii) For those areas currently designated by the Center as
``permanent security areas,'' the information set forth in paragraph
(d)(3)(i) of this section will be furnished to the Assistant
Administrator for Protective Services , NASA Headquarters, within 30
workdays of the effective date of this part.
(b) Maintenance. The security measures which may be utilized to
protect such areas will be determined by the requirements of individual
situations. At a minimum, such security measures will:
(1) Provide for the posting of signs at entrances and at such
intervals along the perimeter of the designated area as to provide
reasonable notice to persons about to enter thereon. The Assistant
Administrator for Protective Services, NASA Headquarters, upon request,
may approve the use of signs that are now being used pursuant to a State
statute.
(2) Regulate authorized personnel entry and movement within the
area.
(3) Deny entry of unauthorized persons or property.
(4) Prevent unauthorized removal of classified information and
material or property from a NASA Center or Component Facility.
(c) Revocation. Once the need for an established permanent security
area no longer exists, the area will be returned immediately to normal
controls and procedures or as soon as practicable. The Assistant
Administrator for Protective Services will be informed of permanent
security area revocations within 15 workdays.

[38 FR 8056, Mar. 28, 1973, as amended at 78 FR 5124, Jan. 24, 2013]

[[Page 23]]

Sec. 1203a.103 Access to security areas.

(a) Only those NASA employees, NASA contractor employees, and
visitors who have a need for such access and who meet the following
criteria may enter a security area:
(1) Controlled area. Be authorized to enter the area alone or be
escorted by or under the supervision of a NASA employee or NASA
contractor employee who is authorized to enter the area.
(2) Limited area. Possess a security clearance equal to the level of
the classified information or material held, discussed, or disseminated
on site or is the holder of a positive national agency check if
classified material or information is not involved. Personnel who do not
meet the requirements for unescorted access may be escorted by a NASA
employee or NASA contractor employee who meets the access requirements
and has been authorized to enter the area.
(3) Exclusion area. Possess a security clearance equal to the
classified information or material involved.
(b) The Center Directors, including Component Facilities and
Technical and Service Support Centers, and the Executive Director for
Headquarters Operations, NASA Headquarters, may rescind previously
granted authorizations to enter a security area when an individual's
access is no longer required, threatens the security of the property, or
is disruptive of Government operations.

[38 FR 8056, Mar. 28, 1973, as amended at 78 FR 5124, Jan. 24, 2013]

Sec. 1203a.104 Violation of security areas.

(a) Removal of unauthorized persons. The Center Directors, including
Component Facilities and Technical and Service Support Centers, and the
Executive Director for Headquarters, NASA Headquarters may order the
removal or eviction of any person whose presence in a designated
security area is in violation of the provisions of this part or any
regulation or order established pursuant to the provisions of this part.
(b) Criminal penalties for violation. Whoever willfully violates,
attempts to violate, or conspires to violate any regulation or order
establishing requirements or procedures for authorized entry into an
area designated controlled, limited, or exclusion pursuant to the
provisions of this part may be subject to prosecution under 18 U.S.C.
799 which provides penalties for a fine of not more than $5,000 or
imprisonment for not more than 1 year, or both.

[38 FR 8056, Mar. 28, 1973, as amended at 78 FR 5124, Jan. 24, 2013]

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

If a Director of a NASA Centers and Component Facilities, finds it
necessary to issue supplemental instructions to any provision of this
part, the instructions must first be published in the Federal Register.
Therefore, the proposed supplemental instructions will be sent to the
Assistant Administrator for Protective Services, NASA Headquarters, in
accordance with NASA Policy Directive 1400.2, Publishing NASA Documents
in the Federal Register and Responding to Regulatory Actions for
processing.

[38 FR 8056, Mar. 28, 1973, as amended at 78 FR 5124, Jan. 24, 2013]

PART 1203b_SECURITY PROGRAMS; ARREST AUTHORITY AND USE OF FORCE BY
NASA SECURITY FORCE PERSONNEL--Table of Contents

Sec.
1203b.100 Purpose.
1203b.101 Scope.
1203b.102 Definitions.
1203b.103 Arrest authority.
1203b.104 Exercise of arrest authority--general guidelines.
1203b.105 Use of non-deadly physical force when making an arrest.
1203b.106 Use of deadly force.
1203b.107 Use of firearms.
1203b.108 Management oversight.
1203b.109 Disclaimer.

Authority: The National and Commercial Space Program (51 U.S.C.).
Sections 20132 and 20133 et seq.

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

Sec. 1203b.100 Purpose.

This regulation implements 51 U.S.C. National and Commercial Space
Programs, sections 20133 and 20134, by establishing guidelines for the
exercise of

[[Page 24]]

arrest authority and for the exercise of physical force, including
deadly force, in conjunction with such authority.

[57 FR 4926, Feb. 11, 1992, as amended at 78 FR 5124, Jan. 24, 2013]

Sec. 1203b.101 Scope.

This part applies to only those NASA and NASA contractor security
force personnel who are authorized to exercise arrest authority in
accordance with 51 U.S.C. 20134 and this regulation.

[57 FR 4926, Feb. 11, 1992, as amended at 78 FR 5124, Jan. 24, 2013]

Sec. 1203b.102 Definitions.

Accredited Course of Training. A course of instruction offered by
the NASA Protective Services Training Academy, or an equivalent course
of instruction offered by another Federal agency. See
Sec. 1203b.103(a)(1).
Arrest. An act, resulting in the restriction of a person's movement,
other than a brief detention for purposes of questioning concerning a
person's identity and requesting identification, accomplished by means
of force or show of authority under circumstances that would lead a
reasonable person to believe that he/she was not free to leave the
presence of the officer.
Contractor. NASA contractors and subcontractors at all levels.

[57 FR 4926, Feb. 11, 1992, as amended at 78 FR 5125, Jan. 24, 2013]

Sec. 1203b.103 Arrest authority.

(a) NASA security force personnel may exercise arrest authority,
provided that:
(1) They have graduated from an accredited training course (see
Sec. 1203b.102(a)); and
(2) They have been certified in writing by the Assistant
Administrator for Protective Services, or designee, as specifically
authorized to exercise arrest authority.
(b) The authority of NASA security force personnel to make a
warrantless arrest is subject to the following conditions:
(1) The arresting officer must be guarding and protecting property
owned or leased by, or under the control of, the United States under the
administration and control of NASA or one of its contractors or
subcontractors, at facilities owned by or contracted to NASA; and
(2) The person to be arrested has committed in the arresting
officer's presence an offense against the United States Government,
NASA, or a NASA contractor; or
(3) The arresting officer has reasonable grounds to believe that the
person to be arrested has committed or is committing any felony
cognizable under the laws of the United States.
(c) The Office of the General Counsel, NASA Headquarters, or the
Center Chief Counsel's Office, as appropriate, shall provide guidance as
to the applicability of these regulations.

[57 FR 4926, Feb. 11, 1992, as amended at 78 FR 5125, Jan. 24, 2013]

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

(a) In making an arrest, the security force personnel should
announce their authority and that the person is under arrest prior to
taking the person into custody. If the circumstances are such that
making such an announcement would be useless or dangerous to the
security force personnel or others, the security force personnel may
dispense with these announcements, but must subsequently identify
themselves and their arrest authority to the arrested person(s) as soon
as reasonably possible.
(b) The security force personnel at the time and place of arrest may
search the arrested person and the area immediately surrounding the
arrested person for weapons and criminal evidence. This is to protect
the arresting officer and to prevent the destruction of evidence.
(c) Custody of the person arrested should be transferred to other
Federal law enforcement personnel (e.g., United States Marshals or FBI
agents) or to local law enforcement agency personnel, as appropriate, as
soon as possible, in order to ensure the person is brought before a
magistrate without unnecessary delay.

[57 FR 4926, Feb. 11, 1992, as amended at 78 FR 5125, Jan. 24, 2013]

[[Page 25]]

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

When a security force personnel has the right to make an arrest, as
discussed in Sec. 1203b.103, the officer may use only that non-deadly
physical force which is reasonable and necessary to apprehend and arrest
the offender; to prevent the escape of the offender; or to defend
himself/herself or a third person from what the security force officer
reasonably believes to be the use or threat of imminent use of non-
deadly physical force by the offender. Verbal abuse alone by the
offender cannot be the basis under any circumstances for use of non-
deadly physical force by a security force officer.

[57 FR 4926, Feb. 11, 1992, as amended at 78 FR 5125, Jan. 24, 2013]

Sec. 1203b.106 Use of deadly force.

NASA security force personnel may use deadly force only when
necessary, that is, when the officer has a reasonable belief that the
subject of such force poses an imminent danger of death or serious
physical injury to the officer or to another person.
(a) Deadly force may not be used solely to prevent the escape of a
fleeing suspect.
(b) Firearms may not be fired solely to disable moving vehicles.
(c) If feasible and if to do so would not increase the danger to the
officer or others, a verbal warning to submit to the authority of the
officer shall be given prior to the use of deadly force.
(d) Warning shots are not permitted outside of the prison context.
(e) Officers will be trained in alternative methods and tactics for
handling resisting subjects which must be used when the use of deadly
force is not authorized by this policy.

[78 FR 5125, Jan. 24, 2013]

Sec. 1203b.107 Use of firearms.

(a) If it becomes necessary to use a firearm in any of the
circumstances described in Sec. 1203b.106, NASA security force personnel
shall comply with the following precautions whenever possible:
(1) Give an order to halt or desist before firing.
(2) Do not fire if shots are likely to harm innocent bystanders.
(3) Shoot to stop.
(b) Warning shots are not authorized.
(c) In the event that a security force personnel discharges a weapon
while in a duty status:
(1) The incident shall be reported to the Center Chief of Security
who, in turn, will report it to the NASA Assistant Administrator for
Protective Services as expeditiously as possible, with as many details
supplied as are available.
(2) The officer shall be promptly suspended from duty with pay or
reassigned to other duties not involving the use of a firearm, as the
Center Director or the Assistant Administrator for Protective Services
deems appropriate, pending investigation of the incident.
(3) The cognizant Center Director, or for incidents occurring at
NASA Headquarters, the Executive Director for Headquarters Operations,
shall appoint an investigating officer to conduct a thorough
investigation of the incident. Additional personnel may also be
appointed, as needed to assist the investigating officer. Upon
conclusion of the investigation, the investigating officer shall submit
a written report of findings and recommendations to the appropriate
Installation Director or the Assistant Administrator for Protective
Services.
(4) Upon conclusion of the investigation, the Center Director or the
Assistant Administrator for Protective Services, with the advice of
Counsel, shall determine the disposition appropriate to the case.
(d) Firearms will be periodically inspected and kept in good working
order by a qualified gunsmith. Ammunition, holsters, and related
equipment will be periodically inspected for deterioration and kept in
good working order. Firearms and ammunition will be securely stored
separately in locked containers. Firearms will not be stored in a loaded
condition. Neither firearms nor ammunition will be stored in the same
containers as money, drugs, precious materials, or classified
information. NASA Headquarters and each Installation shall adopt
procedures for the maintenance of records with respect to

[[Page 26]]

the issuance of firearms and ammunition.

[57 FR 4926, Feb. 11, 1992, as amended at 58 FR 5263, Jan. 21, 1993; 78
FR 5125, Jan. 24, 2013]

Sec. 1203b.108 Management oversight.

(a) The Administrator shall establish a committee to exercise
management oversight over the implementation of arrest authority.
(b) The Administrator shall establish a reporting requirement for
NASA Headquarters and NASA Centers.
(c) The Assistant Administrator for Protective Services, or
designee, will ensure that all persons who are authorized to exercise
arrest authority will, before performing these duties:
(1) Receive instructions on regulations regarding the use of force,
including deadly force; and
(2) Demonstrate requisite knowledge and skill in the use of unarmed
defense techniques and their assigned firearms.
(d) The Associate Assistant Administrator for Protective Services,
or designee, will also:
(1) Ensure periodic refresher training to maintain continued
proficiency and current knowledge of unarmed defense techniques;
(2) Require security force personnel exercising arrest authority to
requalify semiannually with their assigned firearms; and
(3) Require periodic refresher training to ensure continued
familiarity with regulations.
(e) The Executive Director for Headquarters Operations, and Center
Directors shall issue local policies and procedural requirements,
subject to prior NASA Headquarters approval, which will supplement this
regulation for NASA Headquarters or NASA Center-specific concerns.

[57 FR 4926, Feb. 11, 1992, as amended at 58 FR 5263, Jan. 21, 1993; 78
FR 5125, Jan. 24, 2013]

Sec. 1203b.109 Disclaimer.

These regulations are set forth solely for the purpose of internal
National Aeronautics and Space Administration guidance. They are not
intended to, and may not be relied upon to create any rights,
substantive or procedural, enforceable at law by any party in any
matter, civil or criminal, and they do not place any limitations on
otherwise lawful activities of security force personnel or the National
Aeronautics and Space Administration.

[57 FR 4926, Feb. 11, 1992, as amended at 58 FR 5263, Jan. 21, 1993; 78
FR 5125, Jan. 24, 2013]

PART 1204_ADMINISTRATIVE AUTHORITY AND POLICY--Table of Contents

Subparts 1-3 [Reserved]

Subpart 4_Small Business Policy

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

Subpart 5_Delegations and Designations

1204.500 Scope of subpart.
1204.501 Delegation of authority--to take actions in real estate and
related matters.
1204.502 [Reserved]
1204.503 Delegation of authority to grant easements.
1204.504 Delegation of authority to grant leaseholds, permits, and
licenses in real property.
1204.505 Delegation of authority to execute certificates of full faith
and credit.
1204.506-1204.507 [Reserved]
1204.508 Delegation of authority of certain civil rights functions to
Department of Education.
1204.509 Delegation of authority to take action regarding ``liquidated
damage'' assessments under the Contract Work Hours and Safety
Standards Act, and associated labor statutes.

Subparts 6-9 [Reserved]

Subpart 10_Inspection of Persons and Personal Effects at NASA
Installations or on NASA Property; Trespass or Unauthorized Introduction
of Weapons or Dangerous Materials

1204.1000 Scope of subpart.
1204.1001 Policy.
1204.1002 Responsibility.
1204.1003 Procedures.
1204.1004 Trespass.
1204.1005 Unauthorized introduction of firearms or weapons, explosives,
or other dangerous materials.
1204.1006 Violations.

[[Page 27]]

Subpart 11_Enforcing Traffic Laws at NASA Centers and Component
Facilities

1204.1100 Scope of subpart.
1204.1101 Policy.
1204.1102 Responsibilities.
1204.1103 Procedures.
1204.1104 Violations.

Subparts 12-13 [Reserved]

Subpart 14_Use of NASA Airfield Facilities by Aircraft Not Operated for
the Benefit of the Federal Government

1204.1400 Scope.
1204.1401 Definitions.
1204.1402 Policy.
1204.1403 Available airport facilities.
1204.1404 Requests for use of NASA airfield facilities.
1204.1405 Approving authority.
1204.1406 Procedures in the event of a declared in-flight emergency.
1204.1407 Procedure in the event of an unauthorized use.

Subpart 15_Intergovernmental Review of National Aeronautics and Space
Administration Programs and Activities

1204.1501 Purpose.
1204.1502 Definitions.
1204.1503 Programs and activities subject to these regulations.
1204.1504 [Reserved]
1204.1505 Federal interagency coordination.
1204.1506 Procedures for selecting programs and activities under these
regulations.
1204.1507 Communicating with State and local officials concerning the
Agency's programs and activities.
1204.1508 Time limitations for receiving comments on proposed direct
Federal development.
1204.1509 Receiving and responding to comments.
1204.1510 Efforts to accommodate intergovernmental concerns.
1204.1511 Coordination in interstate situations.
1204.1512 [Reserved]
1204.1513 Waivers of provisions of these regulations.

Subpart 16_Temporary Duty Travel_Issuance of Motor Vehicle for Home-to-
Work Transportation

1204.1600 Issuance of motor vehicle for home-to-work.

Appendix A to Part 1204--Items To Cover in Memoranda of Agreement

Subparts 1-3 [Reserved]

Subpart 4_Small Business Policy

Authority: 42 U.S.C. 2473(c)(5); 42 U.S.C. 2473b; Public Law 101-
507, the VA/HUD/Indep. Agencies Appropriation Act for FY 1991, at 104
Stat. 1380 (Nov. 5, 1990); and 15 U.S.C. 631-650.

Source: 58 FR 43554, Aug. 17, 1993, unless otherwise noted.

Sec. 1204.400 Scope of subpart.

This subpart establishes NASA's small business policy and outlines
the delegation of authority in implementing this policy as required by
Federal law.

Sec. 1204.401 Policy.

(a) It is NASA's policy to enable small businesses (including small
disadvantaged businesses, small women-owned businesses, HUBZone small
businesses, veteran-owned small businesses and service disabled veteran-
owned small businesses), historically black colleges and universities,
and other minority educational institutions the opportunity to
participate equitably and proportionately in its total purchases and
contracts that are consistent with the Agency's needs to execute its
mission.
(b) In carrying out the NASA procurement program, the primary
consideration shall be that of securing contract performance, including
obtaining deliveries of required items or services at the time, in the
quantity and of the quality prescribed. In the area of research and
development (R&D) contracts, the general policy of NASA is to award such
contracts to those organizations determined by responsible personnel to
have a high degree of competence in the specific branch of science or
technology required for the successful conduct of the work. It is in the
interest of the civilian space program that the number of firms engaged
inR&D, work for NASA be expanded and that there be an increase in the
extent of participation in such work by competent small business firms.

[58 FR 43554, Aug. 17, 1993, as amended at 78 FR 77353, Dec. 23, 2013]

[[Page 28]]

Sec. 1204.402 Responsibilities.

(a) Office of Small Business Programs (OSBP). The Associate
Administrator for Small Business Programs, NASA Headquarters, is
responsible for the activities described in NASA Policy Directive
1000.3, The NASA Organization. The Associate Administrator is also
responsible for representing NASA before other Government agencies on
matters primarily affecting small businesses.
(b) NASA Headquarters and NASA Centers. Center Directors (including
the Executive Director for the NASA Shared Services Center and the
Director for the NASA Management Office, but excluding the Director for
the Jet Propulsion Laboratory) along with the Associate Administrator
for the Office of Small Business Programs shall nominate a qualified
individual in their contracting office as a small business specialist to
provide a central point of contact to which small business concerns may
direct inquiries concerning small business matters and participation in
NASA acquisitions. When a Center Director determines that the volume of
acquisitions or the functions relating to acquisitions at the Center do
not warrant a full-time small business specialist, these duties may be
assigned to procurement personnel on a part-time basis, with the
concurrence of the Associate Administrator for the Office of Small
Business Programs. NASA Centers shall establish and maintain liaison
with the Small Business Administration (SBA) Procurement Center
Representative (PCR) or the appropriate SBA Regional Office in matters
relating to NASA Center procurement activities. Small Business
Specialists shall perform the duties delineated in NASA FAR Supplement
1819.201(e)(ii). The Associate Administrator for Small Business Programs
shall assign a Small Business Technical Advisor to each contracting
activity within the Agency to which the SBA has assigned a PCR, pursuant
to FAR 19.201(d)(8).

[78 FR 77353, Dec. 23, 2013]

Sec. 1204.403 General policy.

NASA's general policy for small business programs is described in 48
CFR part 1819, Small Business Programs; 48 CFR part 1852, Solicitation
Provisions and Contract; and NASA Policy Directive 5000.2C, Small
Business Subcontracting Goals (http://nodis3.gsfc.nasa.gov/
displayDir.cfm?t=NPD&c=5000&s=2).

[78 FR 77353, Dec. 23, 2013]

Subpart 5_Delegations and Designations

Authority: 51 U.S.C. 20113.

Sec. 1204.500 Scope of subpart.

This subpart establishes various delegations of authority to, and
designations of, National Aeronautics and Space Administration officials
and other Government officials acting on behalf of the agency to carry
out prescribed functions of the National Aeronautics and Space
Administration.

[30 FR 3378, Mar. 13, 1965]

Sec. 1204.501 Delegation of authority--to take actions in real estate
and related matters.

(a) Delegation of authority. The Assistant Administrator for
Strategic Infrastructure and the Director, Integrated Asset Management
Division, are delegated authority, in accordance with applicable laws
and regulations, and subject to conditions imposed by immediate
superiors, to:
(1) Prescribe agency real estate policies, procedures, and
regulations;
(2) Enter into and take other actions including, but not limited to,
the following;
(i) Acquire (by purchase, lease, condemnation, or otherwise) fee and
lesser interests in real property and, in the case of acquisition by
condemnation, to sign declarations of taking.
(ii) Use, with their consent, the facilities of Federal and other
agencies with or without reimbursement.
(iii) Determine entitlement to and quantum of, financial
compensation under, and otherwise exercise the authority contained in
the Uniform Relocation Assistance and Real Property Acquisition Policies
Act of 1970, as amended (42 U.S.C. 4601), and regulations in
implementation thereof.
(iv) Grant easements, leaseholds, licenses, permits, or other
interests

[[Page 29]]

(wherever located) controlled by NASA.
(v) Grant the use of NASA-controlled real property and approve the
acquisition and use of nongovernment owned real property for any NASA-
related, nonappropriated fund activity purpose with the concurrence of
the NASA Comptroller.
(vi) Sell and otherwise dispose of real property in accordance with
the provisions of the Federal Property and Administrative Services Act
of 1949, as amended (40 U.S.C. 471, et seq).
(vii) Exercise control over the acquisition, utilization, and
disposal of movable/relocatable structures including prefabricated
buildings, commercial packaged accommodations, trailers, and other like
items used as facility substitutes.
(viii) Request other government agencies to act as real estate agent
for NASA.
(ix) Authorize other NASA officials to take specific implementing
action with regard to any real property transaction included in the
scope of authority delegated in paragraph (a)(2) of this section.
(b) Redelegation. (1) The authority delegated in paragraph (a)(1) of
this section may not be redelegated.
(2) The authority delegated in paragraph (a)(2) of this section may
be redelegated with power of further redelegation.
(c) Reporting. The officials to whom authority is delegated in this
section shall ensure that feedback is provided to keep the Administrator
fully and currently informed of significant actions, problems, or other
matters of substance related to the exercise of the authority delegated
hereunder.

[51 FR 26862, July 28, 1986, as amended at 56 FR 57592, Nov. 13, 1991;
79 FR 11319, Feb. 28, 2014]

Sec. 1204.502 [Reserved]

Sec. 1204.503 Delegation of authority to grant easements.

(a) Scope. 40 U.S.C. 319 to 319C authorizes executive agencies to
grant, under certain conditions, the easements as the head of the agency
determines will not be adverse to the interests of the United States and
subject to the provisions as the head of the agency deems necessary to
protect the interests of the United States.
(b) Delegation of authority. The Assistant Administrator for
Strategic Infrastructure and the Director, Integrated Asset Management
Division, are delegated authority to take actions in connection with the
granting of easements.
(c) Definitions. The following definitions will apply:
(1) State means the States of the Union, the District of Columbia,
the Commonwealth of Puerto Rico, and the possessions of the United
States.
(2) Person includes any corporation, partnership, firm, association,
trust, estate, or other entity.
(d) Determination. It is hereby determined that grants of easements
made in accordance with the provisions of this section will not be
adverse to the interests of the United States.
(e) Redelegation. (1) NASA Center Directors with respect to real
property under their supervision and management may, subject to the
restrictions in paragraph (f) of this section, exercise the authority of
the National Aeronautics and Space Act of 1958, as amended, and 40
U.S.C. 319 to 319C to authorize or grant easements in, over, or upon
real property of the United States controlled by NASA as will not be
adverse to the interests of the United States.
(2) NASA Center Directors may redelegate this authority to only two
senior management officials of the appropriate Center.
(f) Restrictions. Except as otherwise specifically provided, no such
easement shall be authorized or granted under the authority stated in
paragraph (e) of this section unless:
(1) The appropriate Center Director determines:
(i) That the interest in real property to be conveyed is not
required for a NASA program.
(ii) That the grantee's exercise of rights under the easement will
not interfere with NASA operations.
(2) Monetary or other benefit, including any interest in real
property, is received by the government as consideration for the
granting of the easement.

[[Page 30]]

(3) The instrument granting the easement provides:
(i) For the termination of the easement, in whole or in part, and
without cost to the government, if there has been:
(A) A failure to comply with any term or condition of the grant;
(B) A nonuse of the easement for a consecutive 2-year period for the
purpose for which granted; or
(C) An abandonment of the easement; or
(D) A determination by the Assistant Administrator for Strategic
Infrastructure, the Director, Integrated Asset Management Division, or
the appropriate Center Director that the interests of the national space
program, the national defense, or the public welfare require the
termination of the easement; and a 30-day notice, in writing, to the
grantee that the determination has been made.
(ii) That written notice of the termination shall be given to the
grantee, or its successors or assigns, by the Assistant Administrator
for Strategic Infrastructure , the Director, Integrated Asset Management
Division, or the appropriate Center Director, and that termination shall
be effective as of the date of the notice.
(iii) For any other reservations, exceptions, limitations, benefits,
burdens, terms, or conditions necessary to protect the interests of the
United States.
(g) Waivers. If, in connection with a proposed granting of an
easement, the Center Director determines that a waiver from any of the
restrictions in paragraph (f) of this section is appropriate, authority
for the waiver may be requested from the Assistant Administrator for
Strategic Infrastructure or the Director, Integrated Asset Management
Division.
(h) Services of the Corps of Engineers. In exercising the authority
herein granted, the Center Directors, under the applicable provisions of
any cooperative agreement between NASA and the Corps of Engineers (in
effect at that time), may:
(1) Utilize the services of the Corps of Engineers, U.S. Army.
(2) Delegate authority to the Corps of Engineers to execute, on
behalf of NASA, grants of easements in real property, as authorized in
this section, provided that the conditions set forth in paragraphs (f)
and (g) of this section are complied with.
(i) Distribution of documents. One copy of each document granting an
easement interest under this authority, including instruments executed
by the Corps of Engineers, will be forwarded for filing in the Central
Depository for Real Property Documents to: National Aeronautics and
Space Administration, Office of Strategic Infrastructure, Integrated
Asset Management Division, Washington, DC 20546.

[51 FR 26860, July 28, 1986, as amended at 56 FR 57592, Nov. 13, 1991;
79 FR 11319, Feb. 28, 2014]

Sec. 1204.504 Delegation of authority to grant leaseholds, permits,
and licenses in real property.

(a) Delegation of authority. The National Aeronautics and Space Act
of 1958, as amended, authorizes NASA to grant leaseholds, permits, and
licenses in real property. This authority is delegated to the Assistant
Administrator for Strategic Infrastructure and the Director, Facilities
Engineering and Real Property Division.
(b) Definition. Real Property means land, buildings, other
structures and improvements, appurtenances, and fixtures located
thereon.
(c) Determination. It is hereby determined that grants of
leaseholds, permits, or licenses made in accordance with the provisions
of this section will not be adverse to the interests of the United
States.
(d) Redelegation. (1) Center Directors with respect to real property
under their supervision and management may, subject to the restrictions
in paragraph (e) of this section, grant a leasehold, permit, or license
to any person or organization, including other Government agencies, a
State, or political subdivision or agency thereof. This authority may
not be exercised with respect to real property which is proposed for use
by a NASA exchange and subject to the provisions of NASA Policy
Directive 9050.6, NASA Exchange and Morale Support Activities.

[[Page 31]]

(2) Center Directors may redelegate this authority to only two
senior management officials of the NASA Center concerned.
(e) Restrictions. Except as otherwise specifically provided, no
leasehold, permit, or license shall be granted under the authority
stated in paragraph (d) of this section unless:
(1) The Director of the Center Director concerned determines:
(i) That the interest to be granted is not required for a NASA
program.
(ii) That the grantee's exercise of rights granted will not
interfere with NASA operations.
(2) Fair value in money is received by NASA on behalf of the
Government as consideration.
(3) The instrument provides:
(i) For a term not to exceed 5 years.
(ii) For the termination thereof, in whole or in part, and without
cost to the Government if there has been:
(A) A failure to comply with any term or condition of the grant; or
(B) A determination by the Assistant Administrator for Strategic
Infrastructure, the Director, Integrated Asset Management Division, or
the Center Director concerned that the interests of the national space
program, the national defense, or the public welfare require the
termination of the interest granted; and a 30-day notice, in writing, to
the grantee that such determination has been made.
(iii) That written notice of termination shall be given to the
grantee, or its successors or assigns, by the Assistant Administrator
for Strategic Infrastructure, the Director, Integrated Asset Management
Division, or the Center Director concerned, and that termination shall
be effective as of the date specified by such notice.
(iv) For any other reservations, exceptions, limitations, benefits,
burdens, terms, or conditions necessary to protect the interests of the
United States.
(f) Waivers. If, in connection with a proposed grant, the Center
Director determines that a waiver from any of the restrictions set forth
in paragraph (e) of this section is appropriate, a request may be
submitted to the Associate Administrator for Strategic Infrastructure or
the Director, Integrated Asset Management Division.
(g) Services of the Corps of Engineers. In exercising the authority
herein granted, NASA Center Directors, pursuant to the applicable
provisions of any cooperative agreement between NASA and the Corps of
Engineers (in effect at the time), may:
(1) Utilize the services of the Corps of Engineers, U.S. Army.
(2) Delegate authority to the Corps of Engineers to execute, on
behalf of NASA, any grants of interests in real property as authorized
in this section provided that the conditions set forth in paragraphs (e)
and (f) of this section are complied with.
(h) Distribution of Documents. One copy of each document granting an
interest in real property, including instruments executed by the Corps
of Engineers, will be forwarded for filing in the Central Depository for
Real Property Documents to: National Aeronautics and Space
Administration, Office of Strategic Infrastructure, Washington, DC
20546.

[51 FR 27528, Aug. 1, 1986, as amended at 56 FR 57592, Nov. 13, 1991; 79
FR 11319, Feb. 28, 2014]

Sec. 1204.505 Delegation of authority to execute certificates of full
faith and credit.

(a) Scope. This section designates NASA officials authorized to
certify NASA documents to be submitted in evidence in Federal Courts.
(b) Delegation of authority. The following NASA Headquarters
officials are delegated authority to execute certificates of full faith
and credit certifying the signatures and authority of employees of the
National Aeronautics and Space Administration, whenever such
certification is required to authenticate copies of official records for
possible admission in evidence in judicial proceedings pursuant to 28
U.S.C. 1733 or any other statute:
(1) General Counsel;
(2) Deputy General Counsel;
(3) [Reserved]
(4) Assistant General Counsels.

[29 FR 6319, May 14, 1964, as amended at 39 FR 25229, July 9, 1974; 43
FR 34122, Aug. 3, 1978; 79 FR 11320, Feb. 28, 2014]

[[Page 32]]

Secs. 1204.506-1204.507 [Reserved]

Sec. 1204.508 Delegation of authority of certain civil rights functions
to Department of Education.

It is the National Aeronautics and Space Administration's (NASA)
policy to comply with the Civil Rights Act of 1964 (Pub. L. 88-352) that
prohibits discrimination in a host of areas, including employment and
Federally-assisted programs and activities. To implement the provisions
of this Act, NASA promulgated the following internal policies and
requirements, and entered into a memorandum of understanding (MOU) with
the Department of Education to ensure compliance:
(a) NASA Policy Directive (NPD) 2081.1, Nondiscrimination in
Federally Assisted and Conducted Programs of NASA, describes the
Agency's policy to ensure nondiscrimination in Federally-assisted and
conducted programs of NASA, nondiscrimination in Federally-conducted
education and training programs, and access for individuals with
disabilities to Federal electronic and information technology. NPD
2081.1 is accessible at http://nodis3.gsfc.nasa.gov/;
(b) NASA Procedural Requirements (NPR) 2081.1, Nondiscrimination in
Federally Assisted and Conducted Programs, describes the requirements
for processing complaints of discrimination, conducting civil rights
compliance reviews, and internal functional equal opportunity reviews.
NPR 2081.1 is accessible at http://nodis3.gsfc.nasa.gov/; and
(c) Memorandum of Understanding between NASA and the Department of
Education delegates both the agencies as responsible for specific civil
rights compliance duties with respect to elementary and secondary
schools, and institutions of higher education. The MOU can be accessed
at http://odeo.hq.nasa.gov/documents/DOEd-NASA_MOU.pdf.

[78 FR 76058, Dec. 16, 2013]

Sec. 1204.509 Delegation of authority to take action regarding
``liquidated damage'' assessments under the Contract Work Hours and
Safety Standards Act, and associated labor statutes.

(a) Delegation of authority. The Assistant Administrator, Office of
Strategic Infrastructure, is hereby delegated the authority to act for
the Administrator in all matters where the ``Agency Head'' is authorized
to act under 29 CFR part 5, labor standards provisions applicable to
contracts covering federally financed and assisted construction and
labor standards provisions applicable to nonconstruction contracts as
they are subject to the Contract Work Hours and Safety Standards Act, in
regards to the assessment of liquidated damages.
(b) Redelegation. None authorized except by virtue of succession.
(c) Reporting. The official to whom authority is delegated in this
regulation will assure that feedback is provided to keep the
Administrator informed of significant actions, problems, or other
matters of substance related to the exercise of the authority delegated
hereunder.

[52 FR 35538, Sept. 22, 1987, as amended at 79 FR 11320, Feb. 28, 2014]

Subparts 6-9 [Reserved]

Subpart 10_Inspection of Persons and Personal Effects at NASA
Installations or on NASA Property; Trespass or Unauthorized Introduction
of Weapons or Dangerous Materials

Authority: The National and Commercial Space Program (51 U.S.C.).
Sections 20132 and 20133 et seq.

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

Sec. 1204.1000 Scope of subpart.

This subpart establishes NASA policy and prescribes baseline,
procedures concerning the inspection of persons and property in their
possession while entering, or on, or exiting NASA real property or
facilities (including NASA

[[Page 33]]

Headquarters, NASA Centers, or Component Facilities). In addition, it
proscribes unauthorized entry or the unauthorized introduction of
weapons or other dangerous instruments or materials at any NASA
facility.

[65 FR 47663, Aug. 3, 2000, as amended at 78 FR 5125, Jan. 24, 2013]

Sec. 1204.1001 Policy.

(a) In the interest of national security, NASA will provide
appropriate and adequate protection or security for personnel, property,
facilities (including NASA Headquarters, NASA Centers, and Component
Facilities), and information in its possession or custody. In
furtherance of this policy, NASA reserves the right to conduct an
inspection of any person, including any property in the person's
possession or control, as a condition of admission to, continued
presence on, or exiting any NASA facility.
(b) This policy is intended to comply with the heightened security
measures for facilities owned or occupied by Federal agencies (in this
case NASA), to mitigate threats to such facilities and to better protect
the persons and property thereon.

[65 FR 47663, Aug. 3, 2000, as amended at 78 FR 5126, Jan. 24, 2013]

Sec. 1204.1002 Responsibility.

The NASA Center Directors and the Executive Director for
Headquarters Operations are responsible for implementing the provisions
of this subpart. In implementing this subpart, these officials will
coordinate their action with appropriate officials of other affected
agencies.

[65 FR 47663, Aug. 3, 2000, as amended at 78 FR 5126, Jan. 24, 2013]

Sec. 1204.1003 Procedures.

(a) All entrances to NASA real property or facilities (including
NASA Headquarters, NASA Centers, or Component Facilities) will be
conspicuously posted with the following notices:
(1) CONSENT TO INSPECTION: YOUR ENTRY INTO, CONTINUED PRESENCE ON,
OR EXIT FROM THIS FACILITY IS CONTINGENT UPON YOUR CONSENT TO INSPECTION
OF PERSON AND PROPERTY.
(2) UNAUTHORIZED INTRODUCTION OF WEAPONS OR DANGEROUS MATERIALS IS
PROHIBITED UNLESS SPECIFICALLY AUTHORIZED BY NASA. YOU MAY NOT CARRY,
TRANSPORT, INTRODUCE, STORE, OR USE FIREARMS OR OTHER DANGEROUS WEAPONS,
EXPLOSIVES OR OTHER INCENDIARY DEVICES, OR OTHER DANGEROUS INSTRUMENT OR
MATERIAL LIKELY TO PRODUCE SUBSTANTIAL INJURY OR DAMAGE TO PERSONS OR
PROPERTY UNLESS AUTHORIZED BY NASA.
(b) Only NASA security personnel or members of the facility's
uniformed security force will conduct inspections pursuant to this
subpart. Such inspections will be conducted in accordance with
guidelines established by the Assistant Administrator for Protective
Services , NASA Headquarters.
(c) If an individual does not consent to an inspection, it will not
be conducted, but the individual will be denied entry to, or be escorted
off the facililty.
(d) If, during an inspection, an individual is found to be in
unauthorized possession of items believed to represent a threat to the
safety or security of the facility, the individual will be denied entry
to or be escorted off the facility, and appropriate law enforcement
authorities will be notified immediately.
(e) If, during an inspection conducted pursuant to this subpart, an
individual is in possession of U.S. Government property without proper
authorization, that person will be required to relinquish the property
to the security representative pending proper authorization for the
possession of the property or its removal from the facility. The
individual relinquishing the property will be provided with a receipt
for the property.

[65 FR 47663, Aug. 3, 2000, as amended at 78 FR 5126, Jan. 24, 2013]

Sec. 1204.1004 Trespass.

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

[65 FR 47663, Aug. 3, 2000, as amended at 78 FR 5126, Jan. 24, 2013]

[[Page 34]]

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

(a) Refer to the notice in Sec. 1204.1003, paragraph (a)(2), for a
description of the consequences for unauthorized introduction of
firearms or weapons, explosives, or other dangerous materials.
(b)Sec. 1204.1003, paragraph (a)(2) shall not apply to:
(1) The lawful performance of official duties by an officer, agent,
or employee of the United States, a State, or a political subdivision
thereof, or NASA contractor, who is authorized to carry firearms or
other material covered by paragraph (a) of this section.
(2) The lawful carrying of firearms or other dangerous weapons at or
on a NASA facility after written prior approval has been obtained from
the facility Security Office in connection with sanctioned hunting,
range practice, or other lawful purpose.

[65 FR 47663, Aug. 3, 2000, as amended at 78 FR 5126, Jan. 24, 2013]

Sec. 1204.1006 Violations.

Anyone violating these regulations may be cited for violating Title
18 of the United States Code (U.S.C.) Section 799, which states that
whoever willfully shall violate, attempt to violate, or conspire to
violate any regulation or order promulgated by the Administrator of the
National Aeronautics and Space Administration for the protection or
security of any laboratory, station, base or other facility, or part
thereof, or any aircraft, missile, spacecraft, or similar vehicle, or
part thereof, or other property or equipment in the custody of the
Administration [NASA], or any real or personal property or equipment in
the custody of any contractor under any contract with the Administration
or any subcontractor of any such contractor, shall be fined under this
title [Title 18], or imprisoned not more than one year, or both.

[65 FR 47663, Aug. 3, 2000, as amended at 78 FR 5126, Jan. 24, 2013]

Subpart 11_Enforcing Traffic Laws at NASA Centers and Component
Facilities

Authority: The National and Commercial Space Program, 51 U.S.C.
20132 and 20133; 5 U.S.C. 301, and 18 U.S.C. 799.

Source: 79 FR 54903, Sept. 15, 2014, unless otherwise noted.

Sec. 1204.1100 Scope of subpart.

This subpart establishes policies pursuant to the requirements of
National and Commercial Space Programs (51 U.S.C.) authorizing the NASA
Administrator to establish such security requirements, restrictions, and
safeguards as he deems necessary in the interest of national security,
under 5 U.S.C. 301, and 18 U.S.C. 799, providing for the imposition of
fines and imprisonment for violating NASA regulations for the protection
and security of NASA assets or assets that are in NASA's custody. The
provisions of this subpart apply to all NASA installations, including
NASA Headquarters, NASA Centers, and component facilities. NASA
installations refers to all NASA-owned, controlled, or leased property,
with exclusive or concurrent Federal jurisdiction, including non-
contiguous or unfenced areas and including areas otherwise open to the
public at large. These provisions are also applicable to all persons who
are in or on a NASA installation over which the United States exercises
exclusive or concurrent legislative jurisdiction.

[80 FR 70152, Nov .13, 2015]

Sec. 1204.1101 Policy.

(a) It is NASA policy that an effective, standardized, and
comprehensive traffic safety program be established and maintained at
all NASA Centers, and component facilities, as prescribed in NASA
Procedural Requirement (NPR) 8715.C, NASA General Safety Program
Requirements. A traffic safety program is essential for the protection
and security of NASA laboratories, stations, bases, or other facilities
of NASA's aircraft, missiles, spacecraft, or similar vehicles or part
thereof and of NASA's real and personal property, including property in
the

[[Page 35]]

custody of NASA contractors and subcontractors.
(b) To ensure a safe and secure workplace and to provide better for
preservation of life and property, all persons on or in a NASA
installation or component facility shall comply with the vehicular and
pedestrian traffic requirements of the installation per this Subpart.
(c) Vehicular and pedestrian traffic. The following requirements
apply to the drivers or all vehicles on or in NASA-owned, controlled, or
leased property:
(1) A driver shall be in possession of a current and valid state- or
territory-issued driver's license and vehicle registration, and the
vehicle shall display all current and valid tags and licenses required
by the jurisdiction in which it is registered.
(2) A driver who has had his or her privilege or license to drive
suspended or revoked by any state or territory shall not drive any
vehicle in or on such property during such period of suspension or
revocation.
(3) Drivers shall drive in a careful and safe manner at all times
and shall comply with the signals and directions of security personnel
and other authorized individuals; all posted traffic signs, including
speed limits; and all rules implemented under section 1204.1102.
(4) Drivers shall not block entrances, driveways, walks, loading
platforms, or fire hydrants.
(5) Drivers shall not park without authority, park in unauthorized
locations or in locations reserved for other persons, park continuously
in excess of 18 hours without permission, or park in any manner contrary
to the direction of posted signs.
(d) A copy of this subpart shall be posted in an appropriate place
at each NASA Center or component facility.

[80 FR 70152, Nov. 13, 2015]

Sec. 1204.1102 Responsibilities.

(a) Consistent with this subpart and applicable statutes, Center
Directors of NASA installations and the Executive Director for
Headquarters Operations, over which the United States has exclusive or
concurrent legislative jurisdiction, are delegated the authority to
establish specific vehicular and pedestrian traffic rules and
regulations for their installations; to specify maximum punishments for
violating such rules and regulations; and to issue citations, including
District Court Violation Notices to persons who violate such rules and
regulations.
(b) All persons on a NASA Center or component facility are
responsible for compliance with locally established vehicular and
pedestrian traffic rules and regulations.

[79 FR 54903, Sept. 15, 2014, as amended at 80 FR 70152, Nov. 13, 2015]

Sec. 1204.1103 Procedures.

The Center Directors and the Executive Director for Headquarters
Operations shall issue local policies and procedural requirements, which
will implement this regulation for their respective NASA Centers and
component facilities.

[80 FR 70152, Nov. 13, 2015]

Sec. 1204.1104 Violations.

As authorized by and consistent with 18 U.S.C. 799, local policies
and procedural requirements issued under section 1204.1103 may provide
for punishments for offenses, which shall be classified in accordance
with 18 U.S.C. 3559(a)(6)-(9). A person found in violation, in or on a
NASA installation, of any vehicular or pedestrian traffic law, or local
installation vehicular or pedestrian traffic rule or regulation made
applicable to the installation under the provisions of this subpart, is
subject to punishment as provided for by the applicable local policies
and procedural requirements that a Center Director or the Executive
Director for Headquarters Operations has issued under section 1204.1102
and in accordance with section 1204.1103.

[80 FR 70152, Nov. 13, 2015]

Subparts 12-13 [Reserved]

Subpart 14_Use of NASA Airfield Facilities by Aircraft Not Operated for
the Benefit of the Federal Government

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

[[Page 36]]

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

Sec. 1204.1400 Scope.

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

Sec. 1204.1401 Definitions.

For the purpose of this subpart, the following definitions apply:
(a) NASA Airfield Facility. Those aeronautical facilities owned and
operated by NASA that consist of the following:
(1) 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 west longitude and 28 deg.37
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 west longitude and 37 deg.56 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 west longitude and 37 deg.25 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 west longitude and 37 deg.25 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 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.

[[Page 37]]

(c) Any use of a NASA airfield facility by aircraft not operated for
the benefit of the Federal Government shall be free of charge and no
consideration (monetary or otherwise) shall be exacted or received by
NASA for such use. However, each user, as a condition of receiving
permission to use such airfield facility, shall agree to become familiar
with the physical condition of the airfield; abide by the conditions
placed upon such use; subject the aircraft, the user, and those
accompanying the user to any requirements imposed by NASA in the
interest of security and safety while the aircraft or persons are on a
NASA facility; use the facilities entirely at the user's own risk; hold
the Federal Government harmless with respect to any and all liabilities
which may arise as a result of the use of the facilities; and carry
insurance covering liability to others in amounts not less than those
listed in the Hold Harmless Agreement.
(d) Permission to use a NASA airfield facility will be granted only
in accordance with the limitations and procedures established by an
approving authority and then only when such use will not compete with
another airport in the vicinity which imposes landing fees or other user
charges.
(e) In no event, except for an in-flight emergency (see
Sec. 1204.1406), will permission to use NASA airfield facilities be
granted to an aircraft arriving directly from, or destined for, any
location outside the continental United States unless previously
arranged and approved by the authorized approving official.
(f) Permission to use NASA airfields may be granted only to those
users having the legal capacity to contract and whose aircraft are in
full compliance with applicable Federal Aviation Administration (FAA) or
other cognizant regulatory agency requirements.
(g) Permission to use NASA airfields, except in connection with a
declared in-flight emergency, will consist only of the right to land,
park an aircraft, and subsequently take off. NASA is not equipped to
provide any other services such as maintenance or fuel and such services
will not be provided except following an in-flight emergency.

Sec. 1204.1403 Available airport facilities.

The facilities available vary at each NASA Installation having an
airfield. The airport facilities available are:
(a) 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,

[[Page 38]]

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. 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

[[Page 39]]

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 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

[[Page 40]]

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.
(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,

[[Page 41]]

at the discretion of the approving authority, to pay a user fee of not
less than $100. Before the aircraft is permitted to depart, the
approving authority will require full compliance with this subpart
1204.14, including the filing of a complete report explaining the
reasons for the unauthorized landing. Violators could also be subject to
legal liability for unauthorized use. When it appears that the violation
of this subpart was deliberate or is a repeated violation, the matter
will be referred to the Aircraft Management Office, NASA Headquarters,
which will then grant any departure authorization.

Subpart 15_Intergovernmental Review of National Aeronautics and Space
Administration Programs and Activities

Authority: E.O. 12372, July 14, 1982, 47 FR 30959, as amended April
8, 1983, 48 FR 15887; sec. 401 of the Intergovernmental Cooperation Act
of 1968, as amended (31 U.S.C. 6506).

Source: 48 FR 29340, June 24, 1983, unless otherwise noted.

Sec. 1204.1501 Purpose.

(a) The regulations in this part implement Executive Order 12372,
``Intergovernmental Review of Federal Programs,'' issued July 14, 1982,
and amended on April 8, 1983. These regulations also implement
applicable provisions of section 401 of the Intergovernmental
Cooperation Act of 1968, as amended.
(b) These regulations are intended to foster an intergovernmental
partnership and a strengthened federalism by relying on state processes
and on state, areawide, regional and local coordination for review of
proposed direct Federal development.
(c) These regulations are intended to aid the internal management of
the Agency, and are not intended to create any right or benefit
enforceable at law by a party against the agency or its officers.

Sec. 1204.1502 Definitions.

Administrator means the Administrator of the U.S. National
Aeronautics and Space Administration or an official or employee of the
Agency acting for the Administrator under a delegation of authority.
Agency means the U.S. National Aeronautics and Space Administration.
Order means Executive Order 12372, issued July 14, 1982, and amended
April 8, 1983, and titled ``Intergovernmental Review of Federal
Programs.''
State means any of the 50 states, the District of Columbia, the
Commonwealth of Puerto Rico, the Commonwealth of the Northern Mariana
Islands, Guam, American Samoa, the U.S. Virgin Islands, or the Trust
Territory of the Pacific Islands.

Sec. 1204.1503 Programs and activities subject to these regulations.

The Administrator publishes in the Federal Register a description of
the Agency's programs and activities that are subject to these
regulations.

Sec. 1204.1504 [Reserved]

Sec. 1204.1505 Federal interagency coordination.

The Administrator to the extent practicable, consults with and seeks
advice from all other substantially affected federal departments and
agencies in an effort to assure full coordination between such agencies
and the Agency regarding programs and activities covered under these
regulations.

Sec. 1204.1506 Procedures for selecting programs and activities under
these regulations.

(a) A state may select any program or activity published in the
Federal Register in accordance with Sec. 1204.1503 of this part for
intergovernmental review under these regulations. Each state, before
selecting programs and activities shall consult with local elected
officials.
(b) Each state that adopts a process shall notify the Administrator
of the Agency's programs and activities selected for that process.
(c) A state may notify the Administrator of changes in its
selections at any time. For each change, the state shall submit to the
Administrator an assurance that the state has consulted with local
elected officials regarding the change. The Agency may establish

[[Page 42]]

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 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

[[Page 43]]

(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;
(4) Responding pursuant to Sec. 1204.1510 of this part if the
Administrator receives a recommendation from a designated areawide
agency transmitted by a single point of contact, in cases in which the
review, coordination, and communication with the Agency have been
delegated.
(b) The Administrator uses the procedures in Sec. 1204.1510 if a
state process provides a state process recommendation to the Agency
through a single point of contact.

Sec. 1204.1512 [Reserved]

Sec. 1204.1513 Waivers of provisions of these regulations.

In an emergency, the Administrator may waive any provision of these
regulations.

Subpart 16_Temporary Duty Travel_Issuance of Motor Vehicle for Home-to-
Work Transportation

Authority: 31 U.S.C. 1344 note, 40 U.S.C. 486(c).

Sec. 1204.1600 Issuance of motor vehicle for home-to-work.

When a NASA employee on temporary duty travel is authorized to
travel by Government motor vehicle and the official authorizing the
travel determines that there will be a significant savings in time, a
Government motor vehicle may be issued at the close of the preceding
working day and taken to the employee's residence prior to the
commencement of official travel. Similarly, when a NASA employee is
scheduled to return from temporary duty travel after the close of
working hours and the official authorizing the travel determines that
there will be a significant savings in time, the motor vehicle may be
taken to the employee's residence and returned the next regular working
day.

[68 FR 60847, Oct. 24, 2003]

Sec. Appendix A to Part 1204--Items To Cover in Memoranda of Agreement

The items to be covered in Memoranda of Agreement between NASA
Installations and state and areawide OMB Circular A-95 clearinghouses
for coordinating NASA and civilian planning:
1. Clearinghouses will be contacted at the earliest practicable
point in project planning. Generally, this will be during the
preparation of Preliminary Engineering Reports, or possibly earlier if
meaningful information is available that could practically serve as an
input in the decision-making process. It should be noted that
clearinghouses are generally comprehensive planning agencies. As such,
they are often the best repositories of

[[Page 44]]

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_PROCEDURES FOR DISCLOSURE OF RECORDS UNDER THE FREEDOM OF
INFORMATION ACT (FOIA)--Table of Contents

Subpart A_Basic Policy

Sec.
1206.100 Scope of part.
1206.101 General policy.

Subpart B_Types of Records To Be Made Available

1206.200 Publishing of records.
1206.201 Proactive disclosure of Agency records.
1206.202 Records that have been published.
1206.203 Incorporation by reference.

Subpart C_Procedures

1206.300 How to make a request for Agency records.
1206.301 Describing records sought.
1206.302 Fee agreements.
1206.303 Format of records disclosed.
1206.304 Expedited processing.
1206.305 Responding to requests.
1206.306 Granting a request.
1206.307 Denying a request.
1206.308 Referrals and consultations within NASA or other Federal
agencies.

Subpart D_Procedures and Time Limits for Responding to Requests

1206.400 Procedures for processing queues and expedited processing.
1206.401 Procedures and time limits for acknowledgement letters and
initial determinations.
1206.402 Suspending the basic time limit.
1206.403 Time extensions.

Subpart E_Fees Associated With Processing Requests

1206.500 Search.
1206.501 Review.
1206.502 Duplication.
1206.503 Restrictions on charging fees.
1206.504 Charging fees.
1206.505 Advance payments.
1206.506 Requirements for a waiver or reduction of fees.
1206.507 Categories of requesters.
1206.508 Aggregation of requests.
1206.509 Form of payment.
1206.510 Nonpayment of fees.
1206.511 Other rights and services.

Subpart F_Commercial Information

1206.600 General policy.
1206.601 Notice to submitters.
1206.602 Opportunity to object to disclosure.
1206.603 Notice of intent to disclose.

Subpart G_Appeals

1206.700 How to submit an appeal.
1206.701 Actions on appeals.
1206.702 Litigation.

Subpart H_Responsibilities

1206.800 Delegation of authority.
1206.801 Chief FOIA Officer.
1206.802 General Counsel.
1206.803 NASA Headquarters.
1206.804 NASA Centers and Components.
1206.805 Inspector General.

Subpart I_Location for Inspection and Request of Agency Records

1206.900 FOIA offices and electronic libraries.

Authority: 5 U.S.C. 552, 552a; 51 U.S.C. 20113(a)

Source: 79 FR 46678, Aug. 11, 2014, unless otherwise noted.

[[Page 45]]

Subpart A_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, and NASA
Centers, including Component Facilities and Technical and Service
Support Centers, herein NASA Headquarters and Centers, as defined in
this part.

Sec. 1206.101 General policy.

(a) In compliance with the Freedom of Information Act (FOIA), as
amended 5 U.S.C. 552, a positive and continuing obligation exists for
NASA, herein Agency, to make available to the fullest extent practicable
upon request by members of the public, all Agency records under its
jurisdiction, as described in this regulation.
(b) Part 1206 does not entitle any person to any service or to the
disclosure of any record that is not required under the FOIA.

Subpart B_Types of Records To Be Made Available

Sec. 1206.200 Publishing of records.

(a) Records required to be published in the Federal Register. The
following records are required to be published in the Federal Register,
for codification in Title 14, Chapter V, of the CFR.
(1) Description of NASA Headquarters and NASA Centers and the
established places at which, the employees from whom, and the methods
whereby, the public may secure information, make submittals or requests,
or obtain decisions;
(2) Statements of the general course and method by which NASA's
functions are channeled and determined, including the nature and
requirements of all formal and informal procedures available;
(3) Rules of procedure, descriptions of forms available or the
places at which forms may be obtained, and instructions regarding the
scope and contents of all papers, reports, or examinations;
(4) Substantive rules of general applicability adopted as authorized
by law, and statements of general policy or interpretations of general
applicability formulated and adopted by NASA;
(5) Each amendment, revision, or repeal of the foregoing.
(b) Agency opinions, orders, statements, and manuals. (1) Unless
they are exempt from disclosure in accordance with the FOIA, or unless
they are promptly published and copies offered for sale, NASA shall make
available the following records for public inspection 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, that have
been released to any person under Subpart C 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 (frequently requested documents).
(2) A general index of records referred to under paragraph
(b)(1)(iv) of this section.
(i) For records created after November 1, 1997, which are covered by
paragraph (b)(l)(i) through (b)(l)(iv) of this section, such records
shall be available electronically, through an electronic library and in
electronic forms or formats.
(ii) In connection with all records required to be made available or
published under this paragraph (b), identifying details shall be deleted
to the extent required to prevent a clearly unwarranted invasion of
personal privacy. However, in each case, the justification for the
deletion shall be explained fully in writing. The extent of such
deletion shall be indicated on the portion of the

[[Page 46]]

record which is made available or published, unless including that
indication would harm an interest protected by an exemption in the FOIA.
If technically feasible, the extent of the deletion shall be indicated
at the place in the record where the deletion is made.
(c) Other Agency records. (1) In addition to the records made
available or published under paragraphs (a) and (b) of this section,
NASA shall, upon request for other records made in accordance with this
part, make such records promptly available to any person, unless they
are exempt from disclosure, or unless they may be purchased by the
public from other readily available sources, i.e., books.
(2) Furthermore, at a minimum, NASA will maintain records in its
electronic library that were created after November 1, 1997, under
paragraphs (b)(1)(iv) and a guide for requesting records or information
from NASA.

Sec. 1206.201 Proactive disclosure of Agency records.

Records that are required by the FOIA to be made available for
public inspection and copying are accessible on the Agency's Web site,
http://www.nasa.gov. Each Center is responsible for determining which of
its records are required to be made publicly available, as well as
identifying additional records of interest to the public that are
appropriate for public disclosure, and for posting such records. Each
Center has a FOIA Public Liaison who can assist individuals in locating
records particular to a Center. A list of the Agency's FOIA Public
Liaisons is available at http://www.hq.nasa.gov/office/pao/FOIA/agency/.

Sec. 1206.202 Records that have been published.

Publication in the Federal Register is a means of making certain
Agency records are available to the public in accordance with 5
U.S.C.552(a)(2) without requiring the filing of a FOIA request. NASA has
a FOIA Electronic Library Web site at NASA Headquarters and each of its
Centers. The FedBizOpps (FBO) (formerly Commerce Business Daily), is
also a source of information concerning Agency records or actions.
Various other NASA publications and documents, and indexes thereto, are
available from other sources, such as the U.S. Superintendent of
Documents and the Earth Resources Observation and Science Center
(Department of the Interior). Such publications and documents are not
required to be made available or reproduced in response to a request
unless they cannot be purchased readily from available sources.

Sec. 1206.203 Incorporation by reference.

Records reasonably available to the members of the public affected
thereby shall be deemed published in the Federal Register when
incorporated by reference in material published in the Federal Register
(pursuant to the Federal Register regulation on incorporation by
reference, 1 CFR Part 51).

Subpart C_Procedures

Sec. 1206.300 How to make a request for Agency records.

(a) A requester submitting a request for records must include his/
her name and mailing address, a description of the record(s) sought (see
Sec. 1206.301), and must address fees or provide justification for a fee
waiver (see Sec. 1206.302) as well as address the fee category in
accordance with Sec. 1206.507. It is also helpful to provide a telephone
number and email address in case the FOIA office needs to contact you
regarding your request; however, this information is optional when
submitting a written request. If a requester chooses to submit a request
online via the NASA FOIA Web site, the required information must be
completed. Do not include a social security number on any correspondence
with the FOIA office.
(b) NASA does not have a central location for submitting FOIA
requests and it does not maintain a central index or database of records
in its possession. Instead, Agency records are decentralized and
maintained by various Centers and offices throughout the country.
(c) NASA has not yet implemented a records management application
for automated capture and control of e-records; therefore, official
files are primarily paper files.

[[Page 47]]

(d) A member of the public may request an Agency record by mail,
facsimile (FAX), electronic-mail (email), or by submitting a written
request in person to the FOIA office having responsibility over the
record requested or to the NASA Headquarters (HQ) FOIA Office.
(e) When a requester is unable to determine the proper NASA FOIA
Office to direct a request to, the requester may send the request to the
NASA HQ FOIA Office, 300 E. Street SW., Washington, DC 20546-0001. The
HQ FOIA Office will forward the request to the Center(s) that it
determines to be most likely to maintain the records that are sought.
(1) It is in the interest of the requester to send the request to
the Center FOIA Office they believe has responsibility over the records
being sought. (See Appendix A for www.nasa.gov/foia for NASA FOIA Office
locations and addresses.)
(2) A misdirected request may take up to ten (10) additional working
(meaning all days except Saturdays, Sundays and all Federal legal
holidays) days to reroute to the proper FOIA office.
(f) A requester who is making a request for records about himself or
herself (a Privacy Act request) must comply with the verification of
identity provisions set forth in 14 CFR 1212.202.
(g) Where a request pertains to a third party, a requester may
receive greater access by submitting either a notarized authorization
signed by the individual who is the subject of the record requested, or
a declaration by that individual made in compliance with the
requirements set forth in 28 U.S.C. 1746, authorizing disclosure of the
records to the requester, or submit proof that the individual is
deceased (e.g., a copy of a death certificate or a verifiable obituary).
(h) As an exercise of its administrative discretion, each Center
FOIA office may require a requester to supply additional information if
necessary, i.e., a notarized statement from the subject of the file, in
order to verify that a particular individual has consented to a third
party disclosure. Information will only be released on a case-by-case
basis to third party requesters if they have independently provided
authorization from the individual who is the subject of the request.

Sec. 1206.301 Describing records sought.

In view of the time limits under 5 U.S.C. 552(a)(6) for an initial
determination on a request for an Agency record, a request must meet the
following requirements:
(a) The request must be addressed to an appropriate FOIA office or
otherwise be clearly identified in the letter as a request for an Agency
record under the ``Freedom of Information Act.''
(b) Requesters must describe the records sought in sufficient detail
to enable Agency personnel who are familiar with the subject area of the
request to identify and locate the record with a reasonable amount of
effort. To the extent possible, requesters should include specific
information that may assist a FOIA office in identifying the requested
records, such as the date, title or name, author, recipient, subject
matter of the record, case number, file designation, or reference
number. In general, requesters should include as much detail as possible
about the specific records or the types of records sought.
(c) If the requester fails to reasonably describe the records
sought, the FOIA office shall inform the requester of what additional
information is needed or why the request is deficient. The FOIA office
will also notify the requester that it will not be able to comply with
the FOIA request unless the additional information requested is provided
within 20 working days from the date of the letter. If the additional
information is not provided within that timeframe, the request will be
closed without further notification.
(d) If after being asked to clarify a request, the requester
provides additional information to the FOIA office but fails to provide
sufficient details or information to allow the FOIA office to ascertain
exactly what records are being requested and locate them, or in general
to process the request, the FOIA office will notify the requester that
the request has not been properly made and the request will be closed.

[[Page 48]]

The FOIA office will advise him/her that they may submit a new request
for the information; however, the requester will need to provide more
detailed information to allow processing of the request.
(e) NASA need not comply with a blanket or categorical request (such
as ``all matters relating to'' a general subject) where it is not
reasonably feasible to determine what record is sought.
(f) NASA will in good faith attempt to identify and locate the
record(s) sought and will consult with the requester when necessary and
appropriate for that purpose in accordance with these regulations.
(g) NASA is not required to create or compile records in response to
a FOIA request.

Sec. 1206.302 Fee agreements.

(a) A request must explicitly state a willingness to pay all fees
associated with processing the request, fees up to a specified amount,
or a request for a fee waiver, if processing fees will likely exceed the
statutory entitlements as defined in Sec. 1206.507(b) and (c).
(b) If the FOIA office determines that fees for processing the
request will exceed the agreed upon amount or the statutory
entitlements, the FOIA office will notify the requester that:
(1) He/she must provide assurance of payment for all anticipated
fees or provide an advance payment if estimated fees are expected to
exceed $250.00, or
(2) The FOIA office will not be able to fully comply with the FOIA
request unless an assurance or advance payment as requested has been
provided.
(3) He/she may wish to limit the scope of the request to reduce the
processing fees.
(c) If the FOIA office does not receive a written response within 20
working days after requesting the information, it will presume the
requester is no longer interested in the records requested and will
close the file on the request without further notification.
(d) A commercial-use requester (as defined inSec. 1206.507(c)(1))
must:
(1) State a willingness to pay all fess associated with processing a
request; or
(2) State a willingness to pay fees to cover the costs of conducting
an initial search for responsive records to determine a fee estimate.
(e) If a requester is only willing to pay a limited amount for
processing a request and it is for more than one document, the requester
must state the order in which he/she would like the request for records
to be processed.
(f) If a requester is seeking a fee waiver, the request must include
sufficient justification to substantiate a waiver. (See subpart E of
this part for information on fee waivers.) Failure to provide sufficient
justification will result in a denial of the fee waiver request.
(g) If a requester is seeking a fee waiver, he/she may also choose
to state a willingness to pay fees in case the fee waiver request is
denied in order to allow the FOIA office to begin processing the request
while considering the fee waiver.
(h) If a fee is chargeable for search, review, duplication, or other
costs incurred in connection with a request for an Agency record, the
requester will be billed prior to releasing Agency documents. If the
total amount of processing fees is under $50.00, the Agency will release
the records when final processing is complete.
(1) If the exact amount of the fee chargeable is not known at the
time of the request, the requester will be notified in the initial
determination (or in a final determination in the case of an appeal) of
the amount of fees chargeable.
(2) For circumstances in which advance payment of fees is required,
the requester will be notified after the FOIA office has obtained an
estimate of associated fees.
(i) The FOIA office will begin processing a request only after the
request has been properly described in accordance with these regulations
and fees have been resolved.
(j) If the requester is required to pay a fee and it is later
determined on appeal that he/she was entitled to a full or partial fee
waiver, a refund will be sent as appropriate.
(k) NASA may refuse to consider a waiver or reduction of fees for
requesters (persons or organizations) from whom unpaid fees remain owed
to the

[[Page 49]]

Agency for another information access request.

Sec. 1206.303 Format of records disclosed.

(a) The FOIA office will provide the records in the requested format
if the records can readily be reproduced from the original file to that
specific format.
(b) The FOIA office may charge direct costs associated with
converting the records or files into the requested format if they are
not maintained in that format. If the costs to convert the records
exceed the amount the requester has agreed to pay, the FOIA office will
notify the requester in writing. If the requester does not agree to pay
the additional fees for converting the records, the records may not be
provided in the requested format.

Sec. 1206.304 Expedited processing.

A requester may ask for expedited processing of a request. However,
information to substantiate the request must be included in accordance
with Sec. 1206.400, Criteria for Expedited Processing; otherwise, the
request for expedited processing will be denied and processed in the
simple or complex queue.

Sec. 1206.305 Responding to requests.

(a) Except in the instances described in paragraphs (e) and (f) of
this section, the FOIA office that first receives a request for a record
and maintains that record is the FOIA office responsible for responding
to the request.
(b) In determining what records are responsive to a request, a FOIA
office ordinarily will include only records in its possession as of the
date that it begins its search. If any other date is used, the FOIA
office shall inform the requester of that date.
(c) A record that is excluded from the requirements of the FOIA
pursuant to 5 U.S.C. 552(c)(1)-(3), shall not be considered responsive
to a request.
(d) The Head of a Center, or designee, is authorized to grant or to
deny any requests for records that are maintained by that Center.
(e) The FOIA office may refer a request to or consult with another
Center FOIA office or Federal agency in accordance with Sec. 1206.308,
if the FOIA office receives a request for records that are in its
possession that were not created at that Center. If another Center
within NASA or another Federal agency has substantial interest in or
created the records, the request will either be referred or they will
consult with that FOIA office/agency.
(f) If a request for an Agency record is received by a FOIA office
not having responsibility of the record (for example, when a request is
submitted to one NASA Center or Headquarters and another NASA Center has
responsibility of the record), the FOIA office receiving the request
shall promptly forward it to that FOIA office within 10 working days
from the date of receipt. The receiving FOIA office shall acknowledge
the request and provide the requester with a tracking number.

Sec. 1206.306 Granting a request.

(a) The FOIA office will not begin processing a request until all
issues regarding scope and fees have been resolved.
(b) If fees are not expected to exceed the minimum threshold of
$50.00, and the scope of the request is in accordance with
Sec. 1206.301, the FOIA office will begin processing the request.
(c) If the FOIA office contacts the requester regarding fees or
clarification and the requester has provided a response, the FOIA office
will notify the requester in writing of the decision to either grant or
deny the request.

Sec. 1206.307 Denying a request.

(a) If the FOIA office denies records in response to a request
either in full or in part, it will advise the requester in writing that:
(1) The requested record(s) is exempt in full or in part; or
(2) Records do not exist, cannot be located, or are not in the
Agency's possession; or
(3) A record is not readily reproducible in the form or format
requested; or
(4) Denial is based on a procedural issue only and not access to the
underlying records when it makes a decision that:
(i) A fee waiver or another fee-related issue will not be granted;
or
(ii) Expedited processing will not be provided.

[[Page 50]]

(b) The denial notification must include:
(1) The name, title, or position of the person(s) responsible for
the denial;
(2) A brief statement of the reasons for the denial, including a
reference to any FOIA exemption(s) applied by the FOIA office to
withhold records in full or in part;
(3) An estimate of the volume of any records or information
withheld, i.e., the number of pages or a reasonable form of estimation,
unless such an estimate would harm an interest protected by the
exemption(s) used to withhold the records or information;
(4) A statement that the denial may be appealed under Subpart G of
this part and a description of the requirements set forth therein.
(c) If the requested records contain both exempt and non-exempt
material, the FOIA office will:
(1) Segregate and release the non-exempt material unless the non-
exempt material is so intertwined with the exempt material that
disclosure of it would leave only meaningless words and phrases;
(2) Indicate on the released portion(s) of the records the amount of
information redacted and the FOIA exemption(s) under which the redaction
was made, unless doing so would harm an interest protected by the FOIA
exemption used to withhold the information; and
(3) If technically feasible, place the exemption at the place of
excision.

Sec. 1206.308 Referrals and consultations within NASA or other Federal
Agencies.

(a) Referrals and consultations can occur within the Agency or
outside the Agency.
(b) If a FOIA office (other than the Office of Inspector General)
receives a request for records in its possession that another NASA FOIA
office has responsibility over or is substantially concerned with, it
will either:
(1) Consult with the other FOIA office before deciding whether to
release or withhold the records; or
(2) Refer the request, along with the records, to that FOIA office
for direct response.
(c) If the FOIA office that originally received the request refers
all or part of the request to another FOIA office within the Agency for
further processing, they will notify the requester of the partial
referral and provide that FOIA contact information.
(d) If while responding to a request, the FOIA office locates
records that originated with another Federal agency, it will generally
refer the request and any responsive records to that other agency for a
release determination and direct response.
(e) If the FOIA office refers all the records to another agency, it
will document the referral and maintain a copy of the records that it
refers; notify the requester of the referral in writing, unless that
identification will itself disclose a sensitive, exempt fact; and will
provide the contact information for the other agency and if known, the
name of a contact at the other agency.
(f) If the FOIA office locates records that originated with another
Federal agency while responding to a request, the office will make the
release determination itself (after consulting with the originating
agency) when:
(1) The record is of primary interest to NASA (for example, a record
may be of primary interest to NASA if it was developed or prepared
according to Agency regulations or directives, or in response to an
Agency request); or
(2) NASA is in a better position than the originating agency to
assess whether the record is exempt from disclosure; or
(3) The originating agency is not subject to the FOIA; or
(4) It is more efficient or practical depending on the
circumstances.
(g) If the FOIA office receives a request for records that another
Federal agency has classified under any applicable executive order
concerning record classification, it must refer the request to that
agency for response.
(h) If the FOIA office receives a request for records that are under
the purview of another Federal agency, the office will return the
request to the requester and may advise the requester to submit it
directly to another agency. The FOIA office will then close the request.

[[Page 51]]

(i) All consultations and referrals received by the Agency will be
handled according to the date that the FOIA request initially was
received by the first FOIA office.

Subpart D_Procedures and Time Limits for Responding to Requests

Sec. 1206.400 Procedures for processing queues and expedited processing.

(a) The FOIA office will normally process requests in the order in
which they are received in each of the processing tracks.
(b) FOIA offices use three queues for multi-track processing
depending on the complexity of the request. Once it has been determined
the request meets the criteria in accordance with subpart C of this
part, the FOIA office will place the request in one of the following
tracks:
(1) Simple--A request that can be processed within 20 working days.
(2) Complex--A request that will take over 20 working days to
process. (A complex request will generally require coordination with
more than one office and a legal 10 working day extension for unusual
circumstances (see Sec. 1206.403) may be taken either up front or during
the first 20 days of processing the request.)
(3) Expedited processing--A request for expedited processing will be
processed in this track if the requester can show exceptional need or
urgency that their request should be processed out of turn in accordance
with paragraph (c) of this section.
(c) Requests and appeals will be processed on an expedited basis
whenever it is determined that they involve one or more of the
following:
(1) Circumstances in which the lack of expedited treatment could
reasonably be expected to pose an imminent threat to the life or
physical safety of an individual;
(2) Circumstances in which there is an urgency to inform the public
about an actual or alleged Federal Government activity if the FOIA
request is made by a person primarily engaged in disseminating
information;
(i) In most situations, a person primarily engaged in disseminating
information will be a representative of the news media and therefore,
will qualify as a person primarily engaged in disseminating information.
(ii) To substantiate paragraph (c)(2) of this section, the requested
information must be the type of information which has particular value
that will be lost if not disseminated quickly; this ordinarily refers to
a breaking news story of general public interest. Information of
historical interest only or information sought for litigation or
commercial activities would not qualify, nor would a news media deadline
unrelated to breaking news; or
(3) The loss of substantial due process rights.
(d) A request for expedited processing must contain a statement
that:
(1) Explains in detail how the request meets one or more of the
criteria in paragraph (c) of this section; and
(2) Certifies that the explanation is true and correct to the best
of the requester's knowledge and belief.
(3) If the request is made referencing paragraph (c)(2) of this
section, the requester must substantiate the public interest.
(e) A request for expedited processing may be made at any time.
Requests must be submitted to the FOIA office responsible for processing
the requested records.
(f) The FOIA office must notify the requester of its decision to
grant or deny expedited processing within 10 calendar days from the date
of receipt.
(g) If expedited processing is granted, the request will be
processed on a first-in, first-out basis in that queue.
(h) If expedited processing is denied, the FOIA office will notify
the requester and provide information on appealing this decision in
accordance with Subpart G of this part and place the request in the
appropriate processing queue.
(i) If the FOIA office processing the request does not provide
notification of either granting or denying the request for expedited
processing within 10 calendar days from the date of receipt, the
requester may file an appeal for non-response in accordance with subpart
G of this part.

[[Page 52]]

Sec. 1206.401 Procedures and time limits for acknowledgement letters
and initial determinations.

(a) Following receipt of a request submitted under the FOIA, the
FOIA staff will send an acknowledgement letter providing the case
tracking number and processing track within ten (10) working days from
date of receipt to the requester.
(b) An initial determination is a decision by a NASA official, in
response to a request by a member of the public for an Agency record, on
whether the record described in the request can be identified and
located after a reasonable search and, if so, whether the record (or
portions thereof) will be made available under this part or will be
withheld from disclosure under the FOIA.
(c) An initial determination on a request for an Agency record
addressed in accordance with this regulation (to include one submitted
in person at a FOIA office) shall be made (for example, to grant,
partially grant or deny a request), and the requester shall be sent an
initial determination letter within 20 working days after receipt of the
request, as required by 5 U.S.C. 552(a)(6) (unless unusual circumstances
exist as defined in Sec. 1206.403).
(d) The basic time limit for a misdirected FOIA request (not a
referral or consultation) begins on the date on which the request is
first received by the appropriate FOIA office within the Agency, but in
any event no later than ten (10) working days after the date the request
is first received by a FOIA office designated to receive FOIA requests.
(e) Any notification of an initial determination that does not
comply fully with the request for an Agency record, including those
searches that produce no responsive documents, shall include a statement
of the reasons for the adverse determination, include the name and title
of the person making the initial determination, and notify the requester
of the right to appeal to the Administrator or the Inspector General, as
appropriate, pursuant to subpart G of this part.

Sec. 1206.402 Suspending the basic time limit.

(a) In accordance with 5 U.S.C. 552(a)(6)(A)(ii)(I), the FOIA office
may make one request to the requester for information to clarify a
request and temporarily suspend (toll) the time (the 20-day period)
while it is awaiting such information that it has reasonably requested
from the requester. Receipt of the requester's response by the FOIA
office to the Agency's request for additional information or
clarification ends the temporary time suspension.
(b) In accordance with 5 U.S.C. 552(a)(6)(A)(ii)(II), the FOIA
office may temporarily suspend (toll) the 20-day period as many times as
is necessary to clarify with the requester issues regarding fees.
Receipt of the requester's response by the FOIA office to the Agency's
request for information regarding fees ends the temporary time
suspension.

Sec. 1206.403 Time extensions.

(a) In ``unusual circumstances'' as defined in this section, the
time limits for an initial determination and for a final determination
may be extended, but not to exceed a total of 10 working days in the
aggregate in the processing of any specific request for an Agency
record. The extension must be taken before the expiration of the 20
working day time limits. The requester will be notified in writing of:
(1) The unusual circumstances surrounding the extension of the time
limit;
(2) The date by which the FOIA office expects to complete the
processing of the request.
(b) Unusual circumstances are defined as:
(1) The need to search for and collect the requested records from
offices other than the office processing the request;
(2) The need to search for, collect, and appropriately examine a
voluminous number of documents;
(3) The need to coordinate and/or consult with another NASA office
or agency having a substantial subject-matter interest in the
determination of the request.

[[Page 53]]

(c) If initial processing time will exceed or is expected to exceed
30 working days, the FOIA office will notify the requester of the delay
in processing and:
(1) Provide an opportunity to modify or limit the scope of the
request to reduce processing time; and
(2) Provide appeal rights, since the FOIA office has exceeded the 30
working day time period.
(3) Shall make available its designated FOIA contact and its FOIA
Public Liaison for this purpose.
(d) The requester's refusal to reasonably modify the scope of a
request or arrange an alternative timeframe for processing a request
after being given the opportunity to do so may be considered a factor
when determining whether exceptional circumstances exist. A delay that
results from a predictable workload of requests does not constitute
exceptional circumstances unless the Agency demonstrates reasonable
progress in reducing its backlog of pending requests.

Subpart E_Fees Associated With Processing Requests

Sec. 1206.500 Search.

(a) Search includes all time spent looking for material that is
responsive to a request, including page-by-page or line-by-line
identification of material within documents. A search will determine
what specific documents, if any, are responsive to a request. A search
for Agency records responsive to a request may be accomplished by manual
or automated means.
(b) Search charges, as set forth in this part, may be billed even
when an Agency record, which has been requested, cannot be identified or
located after a diligent search and consultation with a professional
NASA employee familiar with the subject area of the request has been
conducted or if located, cannot be made available under Sec. 1206.308.
(c) In responding to FOIA requests, FOIA offices shall charge the
following fees based on the date the request is received in the NASA
FOIA Office unless a waiver or reduction of fees has been granted under
Sec. 1206.506. Fees will be determined on October 1st of each year based
on the appropriate General Schedule (GS) base salary, plus the District
of Columbia locality payment, plus 16 percent for benefits of employees.
Fees such as search, review, and duplication will be charged in
accordance with the requester's fee category as defined in
Sec. 1206.507.
(d) For each quarter hour spent by personnel searching for requested
records, including electronic searches that do not require new
programming, the fees will be the average hourly GS-base salary, plus
the District of Columbia locality payment, plus 16 percent for benefits
of employees in the following three categories, as applicable:
(1) Clerical--Based on a GS-6, Step 5 (all employees at a GS-7 and
below are classified as clerical for this purpose).
(2) Professional--Based on a GS-11, Step 7 pay (all employees at a
GS-8 through GS-12 are classified as professional for this purpose);
(3) Managerial--Based on GS-14, Step 2, pay (all employees at a GS-
13 and above are classified as managerial for this purpose).
(e) Requesters will be charged the direct costs associated with
conducting any search that requires the creation of a new program to
locate the requested records.
(f) For requests that require the retrieval of records stored by an
agency at a Federal records center operated by the NARA, additional
costs shall be charged in accordance with the Transactional Billing Rate
Schedule established by NARA.

Sec. 1206.501 Review.

(a) Review means the process of examining a document(s) located in
response to a request to determine whether the document(s) or any
portion thereof is disclosable. Review does not include time spent
resolving general legal or policy issues regarding the application of
exemptions.
(b) Review fees will be assessed in connection with the initial
review of the record, i.e., the review conducted by Agency staff to
determine whether an exemption applies to a particular record or portion
of a record.
(c) Review fees will be charged to commercial use requesters.

[[Page 54]]

(d) No charge will be made for review at the administrative appeal
stage of exemptions applied at the initial review stage. However, when
the appellate authority determines that a particular exemption no longer
applies, any costs associated with an additional review of the records
in order to consider the use of other exemptions may be assessed as
review fees.
(e) Review fees will be charged at the same rates as those charged
for a search under Sec. 1206.500.
(f) Review fees can be charged even if the record(s) reviewed
ultimately is not disclosed.
(g) Review fees will not include costs incurred in resolving issues
of law or policy that may be raised in the course of processing a
request under this section.

Sec. 1206.502 Duplication.

(a) Duplication is reproducing a copy of a record or of the
information contained in it, necessary to respond to a FOIA request.
Copies can take the form of paper, audiovisual materials, or electronic
records, among others.
(b) FOIA offices shall honor a requester's preference for receiving
a record in a particular form or format where it is readily reproducible
by the FOIA office in the form or format requested. If the records are
not readily reproducible in the requested form or format, the Agency
will so inform the requester. The requester may specify an alternative
form or format that is available. If in this situation the requester
refuses to specify an alternative form or format, the Agency will not
process the request any further.
(c) Where standard-sized photocopies or scans are supplied, the FOIA
office will provide one copy per request at the regular copy rate per
page.
(d) For copies of records produced on tapes, disks, or other
electronic media, FOIA offices will charge the direct costs of producing
the copy, including the time spent by personnel duplicating the
requested records. For each quarter hour spent by personnel duplicating
the requested records, the fees will be the same as those charged for a
search under this subpart.
(e) If NASA staff must scan paper documents in order to accommodate
a requester's preference to receive the records in an electronic format,
the requester shall pay the appropriate copy fee charge per page as well
as each quarter hour spent by personnel scanning the requested records.
Fees will be the same as those charged for search under this subpart for
each quarter hour spent by personnel scanning the requested records.
(f) For other forms of duplication, FOIA offices will charge the
direct costs as well as any associated personnel costs. For standard-
sized copies of documents such as letters, memoranda, statements,
reports, contracts, etc., $0.15 per copy of each page; charges for
double-sided copies will be $0.30. For copies of oversized documents,
such as maps, charts, etc., fees will be assessed as direct costs.
Charges for copies (and scanning) include the time spent in duplicating
the documents. For copies of computer disks, still photographs,
blueprints, videotapes, engineering drawings, hard copies of aperture
cards, etc., the fee charged will reflect the direct cost to NASA of
reproducing, copying, or scanning the record.
(g) If the request for an Agency record required to be made
available under this part requires a computerized search or printout,
the charge for the time of personnel involved shall be at the rates
specified in this part or the direct costs assessed to the Agency. The
charge for computer time involved and for any special supplies or
materials used shall not exceed the direct cost to NASA.
(h) Reasonable standard fees may be charged for additional direct
costs incurred in searching for or duplicating an Agency record in
response to a request under this part. Charges made under this paragraph
include, but are not limited to, the transportation of NASA personnel to
places of record storage for search purposes or freight charges for
transporting records to the personnel searching for or duplicating a
requested record.
(i) Complying with requests for special services such as those
listed in this section is entirely at the discretion of NASA. To the
extent that NASA elects to provide the following services, it

[[Page 55]]

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.

Sec. 1206.503 Restrictions on charging fees.

(a) No search fees will be charged when the FOIA office fails to
comply with the statutory time limits in response to a request if no
unusual or exceptional circumstances apply to the processing of the
request, as those terms are defined in Subpart D of this regulation.
(b) In the case of a requester as defined in Sec. 1206.507(c)(2)
(education and noncommercial scientific institution) and (c)(3)
(representative of the news media), no duplication fees will be charged
when the FOIA office fails to comply with the statutory time limits in
response to a request if no unusual or exceptional circumstances apply
to the processing of the request, as those terms are defined in subpart
D of this part.
(c) Fees will not be charged unless they are over $50.00.
(d) No search or review fees will be charged for a quarter-hour
period unless more than half of that period is required to fulfill
processing of the request.

Sec. 1206.504 Charging fees.

(a) When a FOIA office determines or estimates the fees to be
assessed in accordance with this section will exceed $50.00, the FOIA
office shall notify the requester unless the requester has indicated a
willingness to pay fees as high as those anticipated. If a portion of
the fees can be readily estimated, the FOIA office shall advise the
requester accordingly.
(b) In cases in which a requester has been notified that actual or
estimated fees are in excess of $50.00, the request shall be placed on
hold and further work will not be completed until the requester commits
in writing to pay the actual or estimated fees. Such a commitment must
be made by the requester in writing, must indicate a given dollar amount
or a willingness to pay all processing fees, and must be received by the
FOIA office within 20 working days from the date of the letter providing
notification of the fee estimate. If a commitment is not received within
this period, the request shall be closed without further notification.
(c) After the FOIA office begins processing a request, if it finds
that the actual cost will exceed the amount the requester previously
agreed to pay, the FOIA office will: Stop processing the request; and
promptly notify the requester of the higher amount. The request will be
placed on hold until the fee issue has been resolved. If the issue is
not resolved within 20 working days from the date of the notification
letter, the request shall be closed without further notification.
(d) Direct costs, meaning those expenditures that NASA actually
incurs in searching for, duplicating, and downloading computer files and
documents in response to a FOIA request, will be included on the invoice
as appropriate. Direct costs include, for example, the salary of the
employee who would ordinarily perform the work (the basic rate of pay
for the employee plus 16 percent of that rate to cover benefits), the
cost of operating computers and other electronic equipment, such as
photocopiers and scanners, the costs associated with retrieving records
stored at a Federal records center operated by the NARA, as well as
costs for CDs and other media tools.
(e) NASA may charge interest on any unpaid bill starting on the 31st
day following the date of billing the requester. Interest charges will
be assessed at the rate provided in 31 U.S.C. 3717 and will accrue from
the billing date until payment is received by the FOIA office. NASA will
follow the provisions of the Debt Collection Act of 1982 (Pub. L. 97-
365, 96 Stat. 1749), as amended, and its administrative procedures,
including the use of consumer reporting agencies, collection agencies,
and offset.
(f) If processing fees are less than $50.00, NASA will send all
releaseable

[[Page 56]]

documents (or portions thereof) following the completion of the initial
determination. If fees are greater than $50.00, the documents will not
be released until the invoice has been paid and verified by the FOIA
office.
(g) Final billing will be sent when the initial determination has
been completed. At that time the case will be closed.

Sec. 1206.505 Advance payments.

(a) For requests other than those described in paragraphs (b), (c),
and (f) of this section, a FOIA office shall not require the requester
to make an advance payment before work is commenced or continued on a
request. Payment owed for work already completed (i.e., payment for
search, review and/or before records are released to a requester) is not
an advance payment.
(b) When a FOIA office determines or estimates that a total fee to
be charged under this section will exceed $250.00, it may require that
the requester make an advance payment up to the amount of the entire
anticipated fee before beginning to process the request. A FOIA office
may elect to process the request prior to collecting fees when it
receives a satisfactory assurance of full payment from a requester.
(c) Where a requester has previously failed to pay a properly
charged FOIA fee assessed by any FOIA office in the agency within 30
calendar days of the billing date, a FOIA office may require the
requester to pay the full amount due, plus any applicable interest due
on the outstanding debt, before the FOIA office begins to process a new
request or continues to process a pending request or any pending remand
of an appeal. Once the outstanding bill has been paid, the FOIA office
may also require the requester to make an advance payment of the full
amount of any anticipated fee before processing the new request.
(d) Where a FOIA office has a reasonable basis to believe that a
requester has misrepresented his or her identity in order to avoid
paying outstanding fees, it may require that the requester provide
further proof of identity.
(e) In cases in which a FOIA office requires advance payment, the
request shall be placed on hold and further work will not be completed
until the required payment is received. If the requester does not pay
the advance payment within 20 working days after the date of the FOIA
office's letter, the request will be closed without further
notification.
(f) When advance payment is required in order to initiate
processing, after a fee estimate has been determined, the FOIA office
will require payment before continuing to process the request.
(g) The fee schedule of this section does not apply to fees charged
under any statute that specifically requires an agency to set and
collect fees for particular types of records. In instances where records
responsive to a request are subject to a statutorily-based fee schedule
program, the FOIA office will inform the requester of the contact
information for that source.

Sec. 1206.506 Requirements for a waiver or reduction of fees.

(a) The burden is on the requester to justify an entitlement to a
fee waiver. (See Sec. 1206.507 for a discussion on fee categories.)
(b) Requests for a waiver or reduction of fees shall be considered
on a case-by-case basis using the criteria in this section. These
statutory requirements must be satisfied by the requester before
properly assessable fees are waived or reduced under the statutory
standard.
(c) Records shall be furnished without charge or at a reduced rate
if the requester has demonstrated, based on all available information,
that disclosure of the information is in the public interest because it:
(1) Is likely to contribute significantly to public understanding of
the operations or activities of the Government; and
(2) Is not primarily in the commercial interest of the requester.
(d) In deciding whether a request for a fee waiver meets the
requirements in Sec. 1206.506(c)(1), the FOIA office will use the
following factors, which must be addressed by the requester:
(1) Does the subject of the request specifically concern
identifiable operations or activities of the Agency with a connection
that is direct and clear,

[[Page 57]]

not remote or attenuated? For example, is the information requested
clearly associated to current events?
(2) If the record(s) concern the operations or activities of the
Government, is disclosure likely to contribute to an increased public
understanding of those operations or activities? For example, are the
disclosable contents of the record(s) meaningfully informative in
relation to the subject matter of the request?
(3) Is the focus of the requester on contributing to public
understanding, rather than on the individual understanding of the
requester or a narrow segment of interested persons? The requester must
demonstrate how he/she plans to disseminate the information. The
dissemination of information must be to the general public or a
reasonably broad audience. (Dissemination to a wide audience is not
merely posting the documents on a Web site, but using his/her editorial
skills to turn raw materials into a distinct work.)
(4) If there is likely to be a contribution to public understanding,
will that contribution be significant? A contribution to public
understanding will be significant if the information disclosed is new,
clearly supports public oversight of Agency operations, including the
quality of Agency activities and the effect of policy and regulations on
public health and safety, or otherwise confirms or clarifies data on
past or present operations of the Agency.
(e) In deciding whether the fee waiver meets the requirements in
Sec. 1206.506(c)(2), the FOIA office will consider any commercial
interest of the requester that would be furthered by the requested
disclosure.
(1) Requesters are encouraged to provide explanatory information
regarding this consideration.
(2) A waiver or reduction of fees is justified where the public
interest is greater than any identified commercial interest in
disclosure.
(3) If the requester is a representative of a news media
organization seeking information as part of a news gathering process,
the FOIA office will presume that the public interest outweighs the
requester's commercial interest.
(4) If the requester represents a business, corporation, or is an
attorney representing such an organization, the FOIA office will presume
that the commercial interest outweighs the public interest unless
otherwise demonstrated.
(f) Where only some of the records to be released satisfy the
requirements for a waiver of fees, a partial waiver shall be granted for
those records.
(g) Requests for a waiver or reduction of fees should be made when
the request is first submitted to the Agency and should address the
criteria referenced above. A requester may submit a fee waiver request
at a later time so long as the underlying record request is pending or
on administrative appeal.
(h) When a requester who has committed to pay fees subsequently asks
for a waiver of those fees and that waiver is denied, the requester will
be required to pay any costs incurred up to the date the fee waiver
request was received by the office processing the original request.
(i) When deciding whether to waive or reduce fees, the FOIA office
will rely on the fee waiver justification submitted in the request
letter. If the request letter does not include sufficient justification,
the FOIA office will either deny the fee waiver request or at its
discretion, ask for additional justification from the requester.
(j) FOIA offices may make available their FOIA Public Liaison or
other FOIA professional to assist any requester in reformulating a
request in an effort to reduce fees; however, the FOIA staff may not
assist a requester in composing a request, advising what specific
records to request, or how to write a request to qualify for a fee
waiver.

Sec. 1206.507 Categories of requesters.

(a) A request should indicate the fee category. If the requester
does not indicate a fee category, or it is unclear to the FOIA office,
the FOIA office will make a determination of the fee category based on
the request. If the requester does not agree with their determination,
he/she will be afforded the opportunity to provide information to
support a different fee category.

[[Page 58]]

(b) If the request is submitted on behalf of another person or
organization (e.g., if an attorney is submitting a request on behalf of
a client), the fee category will be determined by considering the
underlying requester's identity and intended use of the information. The
following table outlines the basic fee categories and applicable fees:

----------------------------------------------------------------------------------------------------------------
Requester category Search fees Review fees Duplication fees
----------------------------------------------------------------------------------------------------------------
Commercial use requester............ Yes.................... Yes.................... Yes.
Educational and non-commercial No..................... No..................... Yes (first 100 pages, or
scientific institutions. equivalent volume,
without charge).
Representative of news media No..................... No..................... Yes (first 100 pages, or
requester. equivalent volume,
without charge).
All other requesters................ Yes (first 2 hours No..................... Yes (first 100 pages, or
without charge). equivalent volume,
without charge).
----------------------------------------------------------------------------------------------------------------

(c) The FOIA provides for three categories of requesters. However,
for clarity purposes, NASA has broken them down to four for the purposes
of determining fees. These four categories of FOIA requesters are:
Commercial use requesters; educational and noncommercial scientific
institutions; representatives of the news media; and all other
requesters. The Act prescribes specific levels of fees for each of these
categories, which is indicated in the FOIA fee table above.
(1) Commercial use requesters. When NASA receives a request for
documents appearing to be for commercial use, meaning a request from or
on behalf of one whom seeks information for a use or purpose that
furthers the commercial, trade, or profit interests of either the
requester or the person on whose behalf the request is made, it will
assess charges to recover the full direct costs of searching for,
reviewing for release, and duplicating the records sought. NASA will not
consider a commercial-use request for a waiver or reduction of fees
based upon an assertion that disclosure would be in the public interest.
A request from a corporation (not a news media corporation) may be
presumed to be for commercial use unless the requester demonstrates that
it qualifies for a different fee category. Commercial use requesters are
not entitled to two (2) hours of search time or to 100 pages of
duplication of documents without charge.
(2) Education and non-commercial scientific institution requesters.
(i) 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 (not operated for commerce, trade or profit), but are
being sought in furtherance of scholarly (if the request is from an
educational institution) or scientific (if the request is from a
noncommercial scientific institution) research. A request for
educational purposes must be sent on the Institution's letterhead and
signed by the Dean of the School or Department. Records requested for
the intention of fulfilling credit requirements are not considered to be
sought for a scholarly purpose.
(ii) For the purposes of a non-commercial scientific institution, it
must be solely for the purpose of conducting scientific research, the
results of which are not intended to promote any particular product or
industry. Requests must be sent on the letterhead of the scientific
institution and signed by the responsible official in charge of the
project/program associated with the subject of the documents that are
being requested.
(3) Representative of the news media. (i) NASA shall provide
documents to requesters in this category for the cost of duplication
alone, excluding charges for the first 100 pages when the requester
demonstrates the following:
(A) The requester's intended dissemination,
(B) Whether the information is current news and/or of public
interest, and
(C) Whether the information sought will shed new light on agency
statutory operations.
(ii) A representative of the news media is any person or entity
organized and operated to publish or broadcast

[[Page 59]]

news to the public that actively gathers information of potential
interest to a segment of the public, uses its editorial skills to turn
the raw materials into a distinct work, and distributes that work to an
audience. Examples of news media entities include television or radio
stations that broadcast ``news'' to the public at large and publishers
of periodicals that disseminate ``news'' and make their products
available through a variety of means to the general public. A request
for records that supports the news-dissemination function of the
requester shall not be considered to be for a commercial use.
``Freelance'' journalists who demonstrate a solid basis for expecting
publication through a news media entity shall be considered as working
for that entity. A publishing contract would provide the clearest
evidence that publication is expected; however, NASA shall also consider
a requester's past publication record in making this determination.
NASA's decision to grant a requester news media status for the purposes
of assessing fees will be made on a case-by-case basis based upon the
requesters intended use.
(iii) Requesters seeking this fee category who do not articulate
sufficient information to support their request will not be included in
this fee category. Additionally, FOIA staff may grant a partial fee
waiver if the requester can articulate the information above for some of
the documents.
(4) All other requesters. NASA shall charge requesters who do not
fit into any of the categories mentioned in this section fees in
accordance with the fee table above.

Sec. 1206.508 Aggregation of requests.

(a) A requester may not file multiple requests at the same time,
each seeking portions of a document or documents, solely in order to
avoid payment of fees.
(b) When NASA has reason to believe that a requester or a group of
requesters acting in concert is attempting to divide a request into a
series of requests on a single subject or related subjects for the
purpose of avoiding the assessment of fees, NASA will aggregate any such
requests and charge accordingly.
(c) NASA will consider that multiple requests made within a 30-day
period were so intended submitted as such to avoid fees, unless there is
evidence to the contrary.
(d) NASA will aggregate requests separated by a longer period of
time only when there is a reasonable basis for determining that
aggregation is warranted in view of all the circumstances involved.
(e) NASA will not aggregate multiple requests on unrelated subjects
from one requester or organization.

Sec. 1206.509 Form of payment.

Payment shall be made by check or money order payable to the
``Treasury of the United States,'' or by credit card per instructions in
the initial determination or billing invoice and sent to NASA.

Sec. 1206.510 Nonpayment of fees.

(a) Requesters are advised that should they fail to pay the fees
assessed, they may be charged interest on the amount billed starting on
the 31st day following the day on which the billing was sent. Interest
will be at the rate prescribed in 31 U.S.C. 3717.
(b) Applicability of Debt Collection Act of 1982 (Pub. L. 97-365).
Requesters are advised that if full payment is not received within 60
days after the billing was sent, the procedures of the Debt Collection
Act may be invoked (14 CFR 1261.407-1261.409). These procedures include
three written demand letters at not more than 30-day intervals,
disclosure to a consumer reporting agency, and the use of a collection
agency, where appropriate.

Sec. 1206.511 Other rights and services.

Nothing in this subpart shall be construed to entitle any person to
any service or to the disclosure of any record that is not required
under the FOIA.

Subpart F_Commercial Information

Sec. 1206.600 General policy.

(a) Notice shall be given to a submitter whenever the information
requested is commercial information and

[[Page 60]]

has been designated by the submitter as information deemed protected
from disclosure under Exemption 4 of the Act, or the Agency otherwise
has reason to believe that the information may be protected from
disclosure under Exemption 4. For the purpose of applying the notice
requirements, commercial information is information provided by a
submitter and in the possession of NASA, that may arguably be exempt
from disclosure under the provisions of Exemption 4 of the FOIA (5
U.S.C. 552(b)(4)). The meaning ascribed to this term for the purpose of
this notice requirement is separate and should not be confused with use
of this or similar terms in determining whether information satisfies
one of the elements of Exemption 4.
(b) A submitter is a person or entity outside the Federal Government
from whom the Agency directly or indirectly obtains commercial or
financial information. The term submitter includes, but is not limited
to corporations, state governments, individuals, and foreign
governments.
(c) The notice requirements of Sec. 1206.601 will not apply if:
(1) The information has been lawfully published or officially made
available to the public; or
(2) Disclosure of the information is required by a statute (other
than this part); or
(3) The submitter has received notice of a previous FOIA request
which encompassed information requested in the later request, and the
Agency intends to withhold and/or release information in the same manner
as in the previous FOIA request.
(d) An additional limited exception to the notice requirements of
Sec. 1206.601, to be used only when all of the following exceptional
circumstances are found to be present, authorizes the Agency to withhold
information that is the subject of a FOIA request, based on Exemption 4
(5 U.S.C. 552(b)(4)), without providing the submitter individual notice
when:
(1) The Agency would be required to provide notice to over ten (10)
submitters, in which case, notification may be accomplished by posting
or publishing the notice in a place reasonably calculated to accomplish
notification.
(2) Absent any response to the published notice, the Agency
determines that if it provided notice as is otherwise required by
Sec. 1206.601, it is reasonable to assume that the submitter would
object to disclosure of the information based on Exemption 4; and,
(3) If the submitter expressed the anticipated objections, the
Agency would uphold those objections.
(e) The exception shall be used only with the approval of the Chief
Counsel of the Center, the Counsel to the Inspector General, or the
Associate General Counsel responsible for providing advice on the
request. This exception shall not be used for a class of documents or
requests, but only as warranted by an individual FOIA request.

Sec. 1206.601 Notice to submitters.

(a) Except as provided in Sec. 1206.603(b) and Sec. 1206.603(c), the
Agency shall provide a submitter with prompt written notice of a FOIA
request that seeks its commercial information whenever required under
Sec. 1206.600(a).
(b) A notice to a submitter must include:
(1) The exact language of the request or an accurate description of
the request;
(2) Access to or a description of the responsive records or portions
thereof containing the commercial information to the submitter;
(3) A description of the procedures for objecting to the release of
the possibly confidential information under Sec. 1206.602;
(4) A time limit for responding to the Agency that shall not exceed
10 working days from the date of the letter sent to the submitter by the
FOIA Office or publication of the notice (as set forth in
Sec. 1206.603(b)) to object to the release and to explain the basis for
the objection;
(5) Notice that the information contained in the submitter's
objections may itself be subject to disclosure under the FOIA;
(6) Notice that the Agency, not the submitter, is responsible for
deciding whether the information shall be released or withheld;
(7) Notice that failing to respond within the timeframe specified
under

[[Page 61]]

Sec. 1206.601(b)(4) will create a presumption that the submitter has no
objection to the disclosure of the information in question.
(c) Whenever the Agency provides notice pursuant to this section,
the Agency shall advise the requester that notice and opportunity to
comment are being provided to the submitter.

Sec. 1206.602 Opportunity to object to disclosure.

(a) If a submitter has any objections to the disclosure of
commercial information, the submitter must provide a detailed written
statement to the FOIA office that specifies all factual and/or legal
grounds for withholding the particular information under any FOIA
exemptions.
(b) The submitter must include a daytime telephone number, an email
and mailing address, and a fax number if available on a response to the
FOIA office.
(c) A submitter who does not respond within the time period
specified under this subpart will be considered to have no objection to
disclosure of the information.
(d) Responses received by the FOIA office after the time period
specified in Sec. 1206.601(b)(4) will not be considered by the FOIA
office. An extension of time to respond may be granted provided the
submitter provides an explanation justifying additional time within the
time period specified in Sec. 1206.601(b)(4).

Sec. 1206.603 Notice of intent to disclose.

(a) The Agency shall carefully consider any objections of the
submitter in the course of determining whether to disclose commercial
information. The Agency, not the submitter, is responsible for deciding
whether the information will be released or withheld.
(b) Whenever the Agency decides to disclose commercial information
over the objection of a submitter, the Agency shall forward to the
submitter a written statement which shall include the following:
(1) A brief explanation as to why the Agency did not agree with any
objections;
(2) A description of the commercial information to be disclosed,
sufficient to identify information to the submitter; and
(3) A date after which disclosure is expected, which shall be no
less than 10 working days from the date of the letter providing
notification to the submitter by the FOIA Office (Sec. 1206.601).
(c) The FOIA office will provide notification regarding a FOIA
lawsuit:
(1) To a submitter, when a requester brings suit seeking to compel
disclosure of commercial information; or
(2) To a requester, when a submitter brings suit against the Agency
in order to prevent disclosure of commercial information.

Subpart G_Appeals

1206.700 How to submit an appeal.

(a) A member of the public who has requested an Agency record in
accordance with subpart C of this part, and who has received an initial
determination which does not comply fully with the request, may appeal
such an adverse initial determination to the Administrator, or, for
records as specified in Sec. 1206.805, to the Inspector General within
30 days from the date of the initial determination letter.
(b) The appeal must:
(1) Be in writing;
(2) Be addressed to the Administrator, NASA Headquarters, Executive
Secretariat, Washington, DC 20546, or, for records as specified in
Sec. 1206.805, to the Inspector General, NASA Headquarters, Washington,
DC 20546;
(3) Be identified clearly on the envelope and in the letter as an
``Appeal under the Freedom of Information Act;''
(4) Include a copy of the initial request for the Agency record and
a copy of the adverse initial determination along with any other
correspondence with the FOIA office;
(5) To the extent possible, state the reasons the adverse initial
determination should be reversed; and
(6) Be sent to the Administrator or the Inspector General, as
appropriate, within 30 days of the date of the initial determination.
(c) An official authorized to make a final determination may waive
any of the requirements of paragraph (b) of this section, in which case
the time

[[Page 62]]

limit for the final determination (see Sec. 1206.701(a)) shall run from
the date of such waiver.

Sec. 1206.701 Actions on appeals.

(a) Except as provided in Sec. 1206.403, the Administrator or
designee, or in the case of records as specified in Sec. 1206.805, the
Inspector General or designee, shall make a final determination on an
appeal and notify the appellant thereof, within 20 working days after
the receipt of the appeal by the Administrator's Office.
(b) In ``unusual circumstances'' as defined in Sec. 1206.403, the
time limit for a final determination may be extended, but not to exceed
a total of 10 working days in the aggregate in the processing of any
specific appeal for an Agency record. The extension must be taken before
the expiration of the 20 working day time limit. The appellant will be
notified in writing in accordance with Sec. 1206.403.
(c) If processing time will exceed or is expected to exceed 30
working days, the appellant will be notified of the delay in processing
and the reason for the delay.
(d) If the final determination reverses in whole or in part the
initial determination, the record requested (or portions thereof) shall
be made available promptly to the requester, as provided in the final
determination.
(e) If a reversal in whole or in part of the initial determination
requires additional document search or production, associated fees will
be applicable in accordance with fee guidance in this regulation.
(f) If the final determination sustains in whole or in part an
adverse initial determination, the notification of the final
determination shall:
(1) Explain the basis on which the record (or portions thereof) will
not be made available;
(2) Include the name and title of the person making the final
determination;
(3) Include a statement that the final determination is subject to
judicial review under 5 U.S.C. 552(a)(4);
(4) Provide a statement regarding the mediation services of the
Office of Government Information Services (OGIS) as a non-exclusive
alternative to litigation; and
(5) Enclose a copy of 5 U.S.C. 552(a)(4).
(g) Before seeking a review by a court of a FOIA office's adverse
initial determination, a requester must generally submit a timely
administrative appeal in accordance with this part.

Sec. 1206.702 Litigation.

In any instance in which a requester brings suit concerning a
request for an Agency record under this part, the matter shall promptly
be referred to the General Counsel with a report on the details and
status of the request.

Subpart H_Responsibilities

Sec. 1206.800 Delegation of authority.

Authority necessary to carry out the responsibilities specified in
this subpart is delegated from the Administrator to the officials named
in this subpart.

Sec. 1206.801 Chief FOIA Officer.

(a) The Associate Administrator, Office of Communications, is
designated as the Chief FOIA Officer for the Agency. The Chief FOIA
Officer is delegated authority for administering the FOIA and all
related laws and regulations within the Agency. The Associate
Administrator has delegated the day-to-day oversight of the Agency FOIA
Program to the Deputy Associate Administrator for Communications.
(b) The Deputy Associate Administrator for Communications has
delegated the overall responsibility for developing and administering
the FOIA program within NASA to the Principal Agency FOIA Officer,
located in the Office of Communications. This includes:
(1) Developing regulations, guidelines, procedures, and standards
for the Agency's FOIA program;
(2) Overseeing all FOIA offices and programs and ensuring they are
in compliance with FOIA laws and regulations;
(3) Ensuring implementation of the FOIA Programs throughout the
Agency and keeping the Chief FOIA Officer and the Deputy Associate
Administrator for Communications informed of the Agency's FOIA
performance;
(4) Providing program oversight, technical assistance, and training
to

[[Page 63]]

employees to ensure compliance with the Act;
(5) Preparing the Agency's FOIA Annual Report to the Department of
Justice (DOJ) and Congress, as well as the Chief FOIA Officer's Report;
(6) Preparing all other reports as required to DOJ/Congress or
within the Agency;
(7) Developing, conducting, and reviewing all internal Agency FOIA
training for NASA FOIA staff;
(8) Directly supervising the Headquarters FOIA Office.
(c) The Chief FOIA Officer is responsible for ensuring NASA has
appointed a FOIA Public Liaison, who is responsible for assisting in
reducing delays, increasing transparency and understanding of the status
of requests, and assisting in the resolution of disputes at each Center
or Component.

Sec. 1206.802 General Counsel.

The General Counsel is responsible for the interpretation of 5
U.S.C. 552 and of this part, as well as providing legal guidance with
regard to disclosure of Agency records. The General Counsel is also
responsible for the handling of appeals and litigation in connection
with a request for an Agency record under this part.

Sec. 1206.803 NASA Headquarters.

Except as otherwise provided under this subpart, the Deputy
Associate Administrator for Communications is responsible for the
following:
(a) Delegating the authority for direct oversight of the
Headquarters FOIA Office to the Principal Agency FOIA Officer.
(b) When denying records in whole or in part, ensuring the
Headquarters FOIA Office consults with the General Counsel charged with
providing legal advice to Headquarters before releasing an initial
determination under Sec. 1206.307.

Sec. 1206.804 NASA Centers and Components.

Except as otherwise provided in this subpart, in coordination with
the Deputy Associate Administrator for Communications, the Director of
each NASA Center or the Official-in-Charge of each Center, is
responsible for ensuring the following:
(a) The Director of Public Affairs or the Head of the Public Affairs
Office at the Center has delegated authority to process all FOIA
requests at their respective Center.
(b) This delegated authority has further been delegated to the FOIA
Officer at their Center or in the absence of a FOIA Officer, the FOIA
Specialist, both of whom must report to and be supervised by their
Director of Public Affairs or the Head of the Public Affairs Office.
(c) When denying records in whole or in part, the FOIA Officer at
the Center will consult with the Chief Counsel or the Counsel charged
with providing legal advice to that FOIA office before releasing an
initial determination under Sec. 1206.307.

Sec. 1206.805 Inspector General.

(a) The Inspector General or designee is responsible for making
final determinations under Sec. 1206.701, within the time limits
specified in subpart G of this part, concerning audit, inspection and
investigative records originating in the Office of the Inspector General
records from outside the Government related to an audit, inspection or
investigation, records prepared in response to a request from or
addressed to the Office of the Inspector General, or other records
originating within the Office of the Inspector General, after
consultation with the General Counsel or designee on an appeal of an
initial determination to the Inspector General.
(b) The Assistant Inspectors General or their designees are
responsible for making initial determinations under subpart C concerning
Office of Inspector General records originating in the Office of the
Inspector General, records from outside the Government related to Office
of Inspector General records prepared in response to a request from or
addressed to the Office of the Inspector General, or other records
originating with the Office of the Inspector General, after consultation
with the Counsel to the Inspector General or designee.

[[Page 64]]

(c) The Inspector General or designee is responsible for ensuring
that requests for Agency records as specified in paragraphs (a) and (b)
of this section are processed and initial determinations are made within
the time limits specified in subpart D of this part.
(d) The Inspector General or designee is responsible for determining
whether unusual circumstances exist under Sec. 1206.403 that would
justify extending the time limit for an initial or final determination,
for records as specified in paragraphs (a) and (b) of this section.
(e) Records as specified in paragraphs (a) and (b) of this section
include any records located at Regional and field Inspector General
Offices, as well as records located at the Headquarters Office of the
Inspector General.

Subpart I_Location for Inspection and Request of Agency Records

Sec. 1206.900 FOIA offices and electronic libraries.

(a) NASA Headquarters and each NASA Center have a FOIA Electronic
Library on the Internet. The Electronic library addresses are located on
the NASA FOIA homepage http://www.hq.nasa.gov/office/pao/FOIA/agency/
(b) In addition, a requester may submit a FOIA request
electronically. The addresses are located on the NASA FOIA homepage
under each Center link.

PART 1207_STANDARDS OF CONDUCT--Table of Contents

Subpart A_General Provisions

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

Subpart B_Post-Employment Regulations

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

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;

[[Page 65]]

(ii) Employees who are appointed under authority of section
203(c)(2) (``NASA Excepted Positions'') or section 203(c)(10) (``Alien
Scientists'') of the National Aeronautics and Space Act of 1958, as
amended (42 U.S.C. 2473(c)(2) and 2473(c)(10));
(iii) Astronauts and astronaut candidates;
(iv) Chief Counsel; and
(v) Procurement Officers.
(2) For all other Headquarters employees, the Associate
Administrator for Headquarters Operations may approve waivers of 18
U.S.C. 208. This authority may not be redelegated.
(3) For all other Center employees, the Center Director or Deputy
Center Director may approve waivers of 18 U.S.C. 208. This authority may
not be redelegated.
(d) Procedures for specific waiver. The employee's request for a
waiver must be in writing. The request must describe the particular
matter involved, the relevant duties of the employee, and the exact
nature and amount of the disqualifying financial interest.
(1) Headquarters employees. (i) Those Headquarters employees
described in paragraph (c)(1) of this section must submit their requests
to the Official-in-Charge of the Headquarters office in which they are
employed and to the General Counsel for concurrence. The Official-in-
Charge will then submit the request to the Administrator with
recommendations on the proposed waiver.
(ii) Other Headquarters employees must submit their requests to the
Associate General Counsel (General) for concurrence, and to the
Associate Administrator for Headquarters Operations for approval.
(2) Center employees. (i) Those Center employees described in
paragraph (c)(1) of this section must submit their requests to the
Center Chief Counsel for concurrence and then to the Director of the
Center where they are employed. The Center Director will provide the
request, with recommendations, to the appropriate Enterprise Associate
Administrator and to the General Counsel for review and submission to
the Administrator.
(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

[[Page 66]]

2638. For the responsibilities of the Agency Designee, see 5 CFR part
2635.

[66 FR 59138, Nov. 27, 2001]

Subpart B_Post-Employment Regulations

Source: 54 FR 4003, Jan. 27, 1989; 55 FR 9250, Mar. 12, 1990, unless
otherwise noted. Redesignated at 59 FR 49338, Sept. 28, 1994.

Sec. 1207.201 Scope of subpart.

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

Sec. 1207.202 Exemption for scientific and technological communications.

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

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

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

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

Sec. 1208.1 Uniform Relocation Assistance and Real Property Acquisition.

Regulations and procedures for complying with the Uniform Relocation
Assistance and Real Property Acquisition Policies Act of 1970 (Pub. L.
91-646, 84 Stat. 1894, 42 U.S.C. 4601), as amended by the Surface
Transportation and Uniform Relocation Assistance Act of 1987 (Title IV
of Pub. L. 100-17, 101 Stat. 246-255, 42 U.S.C. 4601 note) are set forth
in 24 CFR part 24.

[52 FR 48017, Dec. 17, 1987; 54 FR 8912, Mar. 2, 1989]

PART 1209_BOARDS AND COMMITTEES--Table of Contents

Subparts 1-2 [Reserved]

Subpart 3_Contract Adjustment Board

Sec.
1209.300 Scope.
1209.301 Authority.
1209.302 Establishment of Board.
1209.303 Functions of Board.
1209.304 Membership.
1209.305 Legal advice and assistance.

Subpart 4_Inventions and Contributions Board

1209.400 Scope.
1209.401 Establishment.
1209.402 Responsibilities.
1209.403 Organizational location.
1209.404 Membership.
1209.405 Supporting services.

Subparts 1-2 [Reserved]

[[Page 67]]

Subpart 3_Contract Adjustment Board

Authority: Pub. L. 85-804 and 51 U.S.C. 20113.

Source: 51 FR 28924, Aug. 13, 1986, unless otherwise noted.

Sec. 1209.300 Scope.

This subpart continues in effect the Contract Adjustment Board
(hereinafter referred to as ``the Board'') to consider and dispose of
requests for extraordinary contractual adjustments by contractors of the
National Aeronautics and Space Administration (hereinafter referred to
as NASA).

Sec. 1209.301 Authority.

(a) The Act of August 28, 1958 (50 U.S.C. 1431-35) (hereinafter
referred to as ``the Act''), empowers the President to authorize
departments and agencies exercising functions in connection with the
national defense to enter into contracts or into amendments or
modifications of contracts and to make advance payments, without regard
to other provisions of law relating to the making, performance,
amendment, or modification of contracts, whenever the President deems
that such action would facilitate the national defense.
(b) Executive Order No. 10789, dated November 14, 1958 (23 FR 8897),
authorizes the Administrator, NASA, to exercise the authority conferred
by the Act and to prescribe regulations for the carrying out of such
authority.
(c) Federal Acquisition Regulation (FAR), part 50, April 1, 1985,
and NASA/FAR Supplement 84-2, part 18-50, October 19, 1984, establishes
standards and procedures for the disposition of requests for
extraordinary contractual adjustments by NASA contractors.

Sec. 1209.302 Establishment of Board.

The Board was established on May 15, 1961, and is continued in
effect by this regulation.

[51 FR 28924, Aug. 13, 1986, as amended at 78 FR 20423, Apr. 5, 2013]

Sec. 1209.303 Functions of Board.

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

Sec. 1209.304 Membership.

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

Sec. 1209.305 Legal advice and assistance.

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

Subpart 4_Inventions and Contributions Board

Authority: 51 U.S.C. 20135(g) and 20136.

Source: 51 FR 3945, Jan. 31, 1986, unless otherwise noted.

Sec. 1209.400 Scope.

This subpart describes the functions, authority, and membership of
the NASA Inventions and Contributions Board (hereafter referred to as
``the Board'').

Sec. 1209.401 Establishment.

Pursuant to the authority of the National Aeronautics and Space Act
of 1958 as amended (42 U.S.C. 2457(f) and 2458) and the Government
Employees Incentive Awards Act of 1954 (5 U.S.C. 4501-6), the Board was
established on December 4, 1958, and is further continued in effect by
this subpart 4.

[[Page 68]]

Sec. 1209.402 Responsibilities.

(a) Waiver of rights in inventions. Under the authority of 51 U.S.C.
20135(g) and pursuant to 14 CFR part 1245 subpart 1, the Board will
receive and evaluate petitions for waiver of rights of the United States
to inventions, accord each interested party an opportunity for a
hearing, and transmit to the Administrator its findings of fact as to
such petitions and its recommendations for action to be taken with
respect thereto.
(b) Monetary awards for scientific and technical contributions. (1)
Under the authority of 51 U.S.C. 20136 and pursuant to 14 CFR part 1240,
the Board will receive and evaluate each application for award for any
scientific or technical contribution to the Administration which is
determined to have significant value in the conduct of aeronautical and
space activities, will accord each applicant an opportunity for a
hearing upon such application, and will then transmit to the
Administrator its recommendation as to the amount of the monetary award
and the terms of the award, if any, to be made for such contribution.
(2) If the contribution is made by a Government employee, the Board
is also authorized to consider such contribution for award under the
Incentive Awards Program and to make an award, if any, on its own
cognizance, up to the amount of $10,000, in accordance with NASA
supplements to Chapter 451 of the Federal Personnel Manual covering this
subject.

[76 FR 44462, July 26, 2011]

Sec. 1209.403 Organizational location.

The Board shall be established within an office or department of
NASA as designated by the Administrator.

[76 FR 44462, July 26, 2011]

Sec. 1209.404 Membership.

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

Sec. 1209.405 Supporting services.

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

PARTS 1210 1211 [RESERVED]

[[Page 69]]

PART 1212_PRIVACY ACT_NASA REGULATIONS--Table of Contents

Subpart 1212.1_Basic Policy

Sec.
1212.100 Scope and purpose.
1212.101 Definitions.

Subpart 1212.2_Requests for Access to Records

1212.200 Procedures for requesting records subject to the Privacy Act.
1212.201 Requesting a record.
1212.202 Identification procedures.
1212.203 Disclosures.
1212.204 Fees.
1212.205 Exceptions to individuals' rights of access.

Subpart 1212.3_Amendments to Privacy Act Records

1212.300 Requesting amendment.
1212.301 Processing the request to amend.
1212.302 Granting the request to amend.

Subpart 1212.4_Appeals and Related Matters

1212.400 Appeals.
1212.401 Filing statements of dispute.
1212.402 Disclosure to third parties of disputed records.

Subpart 1212.5_Exemptions to Individuals' Rights of Access

1212.500 Exemptions under 5 U.S.C. 552a (j) and (k).
1212.501 Record systems determined to be exempt.

Subpart 1212.6_Instructions for NASA Employees

1212.600 General policy.
1212.601 Maintenance and publication requirements for systems of
records.
1212.602 Requirements for collecting information.
1212.603 Mailing lists.
1212.604 Social security numbers.
1212.605 Safeguarding information in systems of records.
1212.606 Duplicate copies of records or portions of records.

Subpart 1212.7_NASA Authority and Responsibilities

1212.700 NASA employees.
1212.701 Associate Deputy Administrator.
1212.702 The Inspector General.
1212.703 NASA Chief Information Officer.
1212.704 Headquarters and Field Centers or Component Facilities.
1212.705 System manager.
1212.706 Assistant Administrator for Procurement.
1212.707 Delegation of authority.

Subpart 1212.8_Failure To Comply With Requirements of This Part

1212.800 Civil remedies.
1212.801 Criminal penalties.

Authority: The National Aeronautics and Space Act, as amended, 51
U.S.C. 20101 et seq.; 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 Centers, and
NASA Component Installations, as defined in part 1201 of this chapter.

[57 FR 4928, Feb. 11, 1992, as amended at 77 FR 60621, Oct. 4, 2012]

Sec. 1212.101 Definitions.

For the purposes of this part, the following definitions shall apply
in addition to definitions contained in the Privacy Act of 1974, as
amended (5 U.S.C. 552a):
(a) The term individual means a living person who is either a
citizen of the United States or an alien lawfully admitted for permanent
residence.
(b) The term maintain includes maintain, collect, use or
disseminate.
(c) The term record means any item, collection, or grouping of
information about an individual including, but not limited to,
education, financial transactions, medical history, and criminal or
employment history, and that contains a name, or the identifying number,
symbol, or other identifying particular assigned to the individual, such

[[Page 70]]

as a finger or voice print or a photograph.
(d) The term system of records means a group of any records from
which information is retrieved by the name of the individual or by some
identifying number, symbol or other identifying particular assigned to
the individual.
(e) The term system manager means the NASA official who is
responsible for a system of records as designated in the system notice
of that system of records published in the Federal Register. When a
system of records includes portions located at more than one NASA
Center, the term system manager includes any subsystem manager
designated in the system notice as being responsible for that portion of
the system of records located at the respective Center.
(f) The term systems notice means, with respect to a system of
records the publication of information in the Federal Register upon
establishment or revision of the existence and character of the system
of records. The notice shall include that information as required by 5
U.S.C. 552a(e)(4).
(g) The term routine use means, with respect to the disclosure of a
record, the use of the record for a purpose which is compatible with the
purpose for which it was collected.
(h) The term NASA employee or NASA official, particularly for the
purpose of Sec. 1212.203(g) relates to the disclosure of a record to
those who have a need for the record in the performance of their
official duties, includes employees of a NASA contractor which operates
or maintains a NASA system of records for or on behalf of NASA.

[57 FR 4928, Feb. 11, 1992, as amended at 77 FR 60621, Oct. 4, 2012]

Subpart 1212.2_Requests for Access to Records

Sec. 1212.200 Procedures for requesting records subject to the Privacy Act.

The procedures outlined in this subpart 1212.2 apply to the
following types of requests made by individuals under the Privacy Act
concerning records about themselves:
(a) To determine if information on the requester is included in a
system of records;
(b) For access to a record under 5 U.S.C. 552a(d)(1); and
(c) For an accounting of disclosures of the individual's Privacy Act
records under 5 U.S.C. 552a(c)(3).

[57 FR 4928, Feb. 11, 1992, as amended at 77 FR 60621, Oct. 4, 2012]

Sec. 1212.201 Requesting a record.

(a) Individuals may request access to their Privacy Act records,
either in person or in writing.
(b) Individuals may also authorize a third party to have access to
their Privacy Act records. This authorization shall be in writing,
signed by the individual and contain the individual's address as well as
the name and address of the representative being authorized access. The
identities of both the subject individual and the representative must be
verified in accordance with the procedures set forth in Sec. 1212.202 of
this part.
(c)(1) Requests must be directed to the appropriate system manager,
or, if unknown, to the Center Privacy Manager or Freedom of Information
Act (FOIA) Office at NASA Headquarters or Field Center. The request
should be identified clearly on the envelope and on the letter as a
``Request Under the Privacy Act.''
(2) Where possible, requests should contain the following
information to ensure timely processing:
(i) Name and address of subject.
(ii) Identity of the system of records.
(iii) Nature of the request.
(iv) Identifying information specified in the applicable system
notice to assist in identifying the request, such as location of the
record, if known, full name, birth date, time periods in which the
records are believed to have been compiled, etc.
(d) NASA has no obligation to comply with a nonspecific request for
access to information concerning an individual, e.g., a request to
provide copies of ``all information contained in your files concerning
me,'' although a good faith effort will be made to locate records if
there is reason to believe NASA has records on the individual. If the
request is so incomplete or incomprehensible that the requested record

[[Page 71]]

cannot be identified, additional information or clarification will be
requested in the acknowledgement, and assistance to the individual will
be offered as appropriate.
(e) If the Center Privacy Manager receives a request for access, the
Privacy Manager will record the date of receipt and immediately forward
the request to the responsible system manager for handling.
(f) If the Center FOIA Office receives a first party request for
records or access, the FOIA Office will process the request under the
Privacy Act pursuant to this part.
(g) Normally, the system manager shall respond to a request for
access within 10 work days of receipt of the request and the access
shall be provided within 30 work days of receipt.
(1) In response to a request for access, the system manager shall:
(i) Notify the requester that there is no record on the individual
in the system of records and inform the requester of the procedures to
follow for appeal (See Sec. 1212.4);
(ii) Notify the requester that the record is exempt from disclosure,
cite the appropriate exemption, and inform the requester of the
procedures to follow for appeal (See Sec. 1212.4);
(iii) Upon request, promptly provide copies of the record, subject
to the fee requirements (Sec. 1212.204); or
(iv) Make the individual's record available for personal inspection
in the presence of a NASA representative.
(2) Unless the system manager agrees to another location, personal
inspection of the record shall be at the location of the record as
identified in the system notice.
(3) When an individual requests records in a system of records
maintained on a third party, the request shall be processed as a Freedom
of Information Act (FOIA) request under 14 CFR part 1206. If the records
requested are subject to release under FOIA (5 U.S.C. 552(b)), then a
Privacy Act exemption may not be invoked to deny access.
(4) When an individual requests records in a system of records
maintained on the individual, the request shall be processed under this
part. NASA will not rely on exemptions contained in FOIA to withhold any
record which is otherwise accessible to the individual under this part.

[57 FR 4928, Feb. 11, 1992, as amended at 77 FR 60621, Oct. 4, 2012; 78
FR 8963, Feb. 7, 2013]

Sec. 1212.202 Identification procedures.

(a) The system manager will release records to the requester or
representative in person only upon production of satisfactory
identification which includes the individual's name, signature, and
photograph or physical description.
(b) The system manager will release copies of records by mail only
when the circumstances indicate that the requester and the subject of
the record are the same. The system manager may require that the
requester's signature be notarized or witnessed by two individuals
unrelated to the requester.
(c) Identity procedures more stringent than those required in this
section may be prescribed in the system notice when the records are
medical or otherwise sensitive.

Sec. 1212.203 Disclosures.

(a) The system manager shall keep a disclosure accounting for each
disclosure to a third party of a record from a system of records. This
includes records disclosed pursuant to computer matching programs.
(b) Disclosure accountings are not required but are recommended for
disclosures made:
(1) With the subject individual's consent; or
(2) In accordance with Sec. 1212.203(f) (1) and (2), below.
(c) The disclosure accounting required by paragraph (a) of this
section shall include:
(1) The date, nature, and purpose of the disclosure; and
(2) The name and address of the recipient person or Agency.
(d) The disclosure accounting shall be retained for at least 5 years
after the disclosure or for the life of the record, whichever is longer.
(e) The disclosure accounting maintained under the requirements of
this section is not itself a system of records.
(f) Records in a NASA system of records may not be disclosed to
third

[[Page 72]]

parties without the consent of the subject individual. However, in
consonance with 5 U.S.C. 552a(b), disclosure may be authorized without
consent, if disclosure would be:
(1) To an officer or employee of NASA who has a need for the record
in the performance of official duties;
(2) Required under the Freedom of Information Act (5 U.S.C. 552) and
part 1206 of this chapter;
(3) For a routine use described in the system notice for the system
of records;
(4) To the Bureau of the Census for purposes of planning or carrying
out a census or survey or related activity pursuant to the provisions of
Title 13, U.S. Code;
(5) To a recipient who has provided NASA with advance adequate
written assurance that the record will be used solely as a statistical
research or reporting record, and the record is to be transferred in a
form that is not individually identifiable;
(6) To the National Archives and Records Administration as a record
which has sufficient historical or other value to warrant its continued
preservation by the United States Government or for evaluation by the
Archivist of the United States or the Archivist's designee to determine
whether the record has such value;
(7) To another agency or to an instrumentality of any governmental
jurisdiction within or under the control of the United States for a
civil or criminal law enforcement activity, if the activity is
authorized by law and if the head of the agency or instrumentality has
made a written request to NASA specifying the particular portion desired
and the law enforcement activity for which the record is sought;
(8) To a person pursuant to a showing of compelling circumstances
affecting the health or safety of an individual if upon such disclosure
notification is transmitted to the last known address of such
individual;
(9) To either House of Congress or, to the extent the matter is
within its jurisdiction, any committee or subcommittee, or any joint
committee of Congress or subcommittee of any such joint committee;
(10) To the Comptroller General, or any of the Comptroller's
authorized representative(s), in the course of the performance of the
duties of the General Accounting Office;
(11) Pursuant to the order of a court of competent jurisdiction; or
(12) To a consumer reporting agency in accordance with section
3711(f) of Title 31.

[57 FR 4928, Feb. 11, 1992, as amended at 77 FR 60621, Oct. 4, 2012]

Sec. 1212.204 Fees.

(a) Fees will not be charged for:
(1) Search for a retrieval of the requesting individual's records;
(2) Review of the records;
(3) Making a copy of a record when it is a necessary part of the
process of making the record available for review;
(4) Transportation of the record(s);
(5) Making a copy of an amended record to provide evidence of the
amendment; or
(6) Copies of records if this is determined to be in the best
interest of the Government.
(b) Fees for the duplication of records will be assessed in
accordance with Sec. 1206.700(a) of this chapter.
(c) Where it appears that duplication fees chargeable under this
section will exceed $25, the requester shall be provided an estimate of
the fees before copies are made. Where possible, the requester will be
afforded the opportunity to confer with Agency personnel in a manner
which will reduce the fees, yet still meet the needs of the requester.
(d) Where the anticipated fee chargeable under this section exceeds
$25, an advance deposit of part or all of the anticipated fee may be
required.

Sec. 1212.205 Exceptions to individual's rights of access.

(a) The NASA Administrator has determined that the systems of
records set forth in Sec. 1212.501 are exempt from disclosure to the
extent provided therein.
(b) Medical records. Normally, an individual's medical record shall
be disclosed to the individual, unless the system manages, in
consultation with a medical doctor, determines that access

[[Page 73]]

to the record could have an adverse effect upon the individual. In this
case, NASA shall allow access to the record by a medical doctor
designated in writing by the requesting individual.
(c) Test and qualification materials. Testing or examination
material used solely to determine individual qualifications for
appointment or promotion in the Federal service the disclosure of which
would compromise the objectivity or fairness of the testing or
examination process and copies of certificates of eligibles and other
lists of eligibles, the disclosure of which is proscribed by 5 CFR
300.201, shall be removed from an individual's record containing such
information before granting access.
(d) Information compiled for civil actions or proceedings. Nothing
in this part shall allow an individual access to any information
compiled in reasonable anticipation of a civil action or proceeding.

Subpart 1212.3_Amendments to Privacy Act Records

Sec. 1212.300 Requesting amendment.

Individuals may request that NASA amend their records maintained in
a NASA system of records under the provisions of 5 U.S.C. 552a(d)(2).
This request shall be in writing, addressed to the appropriate system
manager, and shall contain the following:
(a) A notation on the envelope and on the letter that it is a
``Request for Amendment of Individual Record under the Privacy Act;''
(b) The name of the system of records;
(c) Any information necessary to retrieve the record, as specified
in the system notice for the system of records (See
Sec. 1212.201(c)(2));
(d) A description of that information in the record which is alleged
to be inaccurate, irrelevant, untimely, or incomplete; and,
(e) Any documentary evidence or material available to support the
request.

[57 FR 4928, Feb. 11, 1992, as amended at 77 FR 60621, Oct. 4, 2012]

Sec. 1212.301 Processing the request to amend.

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

Sec. 1212.302 Granting the request to amend.

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

Subpart 1212.4_Appeals and Related Matters

Sec. 1212.400 Appeals.

(a) Individuals may appeal when they:
(1) Have requested amendment of a record and have received an
adverse initial determination;
(2) Have been denied access to a record; or,
(3) Have not been granted access within 30 work days of their
request.
(b) The Associate Deputy Administrator or designee is responsible
for making final determinations of appeals as specified in paragraphs
(a)(1) through (3) of this section for all Agency records, with the
exception of those records originating in the Office of the

[[Page 74]]

Inspector General for which the Inspector General is responsible for
making final determinations of appeals.
(c) An appeal shall:
(1) Be in writing and addressed to the Associate Deputy
Administrator, NASA, Washington, DC 20546 or to the Inspector General,
NASA Headquarters, Washington, DC 20546, for records as specified in
paragraph (b) of this section;
(2) Be identified clearly on the envelope and in the letter as an
``Appeal under the Privacy Act;''
(3) Include a copy of any pertinent documents; and
(4) State the reasons for the appeal.
(d) Appeals from adverse initial determinations or denials of access
must be submitted within 30 work days of the date of the requester's
receipt of the initial determination. Appeals involving failure to grant
access may be submitted any time after the 30 work day period has
expired (See Sec. 1212.201(f)).
(e) A final determination on an appeal shall be made within 30 work
days after its receipt by the Associate Deputy Administrator or
Inspector General for appeals concerning records originating in the
Office of the Inspector General, unless, for good cause shown, the
Associate Deputy Administrator or Inspector General extends such 30 work
day period. Prior to the expiration of the 30 work day period, the
requester shall be notified of any such extension.
(f) If a denial of a request to amend a record is upheld, the final
determination shall:
(1) Explain the basis for the detail;
(2) Include information as to how the requester goes about filing a
statement of dispute under the procedures of Sec. 1212.401; and,
(3) Include a statement that the final determination is subject to
judicial review under 5 U.S.C. 552a(g).

[57 FR 4928, Feb. 11, 1992, as amended at 77 FR 60621, Oct. 4, 2012]

Sec. 1212.401 Filing statements of dispute.

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

Sec. 1212.402 Disclosure to third parties of disputed records.

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

Subpart 1212.5_Exemptions to Individuals' Rights of Access

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

(a) These provisions authorize the Administrator of NASA to exempt
certain NASA Privacy Act systems of records from portions of the
requirements of this regulation.
(b) The Administrator has delegated this authority to the Associate
Deputy Administrator (See Sec. 1212.701).

[[Page 75]]

(c) For those NASA systems of records that are determined to be
exempt, the system notice shall describe the exemption and the reasons.

[57 FR 4928, Feb. 11, 1992, as amended at 77 FR 60621, Oct. 4, 2012]

Sec. 1212.501 Record systems determined to be exempt.

The Administrator has determined that the following systems of
records are exempt to the extent provided hereinafter.
(a) Inspector General Investigations Case Files--(1) Sections of the
Act from which exempted. (i) The Inspector General Investigations Case
Files system of records is exempt from all sections of the Privacy Act
(5 U.S.C. 552a) except the following sections: (b) relating to
conditions of disclosure; (c) (1) and (2) relating to keeping and
maintaining a disclosure accounting; (e)(4) (A) through (F) relating to
publishing a system notice setting forth name, location, categories of
individuals and records, routine uses, and policies regarding storage,
retrievability, access controls, retention and disposal of the records;
(e) (6), (7), (9), (10), and (11) relating to dissemination and
maintenance of records, and (i) relating to criminal penalties. This
exemption applies to those records and information contained in the
system of records pertaining to the enforcement of criminal laws.
(ii) To the extent that noncriminal investigative files may exist
within this system of records, the Inspector General Investigations Case
Files system of records is exempt from the following sections of the
Privacy Act (5 U.S.C. 552a): (c)(3) relating to access to the disclosure
accounting, (d) relating to access to records, (e)(1) relating to the
type of information maintained in the records; (e)(4) (G), (H), and (I)
relating to publishing the system notice information as to agency
procedures for access and amendment and information as to the categories
of sources or records, and (f) relating to developing agency rules for
gaining access and making corrections.
(2) Reason for exemptions. (i) The Office of Inspector General is an
office of NASA, a component of which performs as its principal function
activity pertaining to the enforcement of criminal laws, within the
meaning of 5 U.S.C. 552a(j)(2). This exemption applies only to those
records and information contained in the system of records pertaining to
criminal investigations. This system of records is exempt for one or
more of the following reasons:
(A) To prevent interference with law enforcement proceedings.
(B) To avoid unwarranted invasion of personal privacy, by disclosure
of information about third parties, including other subjects of
investigation, investigators, and witnesses.
(C) To protect the identity of Federal employees who furnish a
complaint or information to the OIG, consistent with section 7(b) of the
Inspector General Act of 1978, as amended, 5 U.S.C. App.
(D) To protect the confidentiality of non-Federal employee sources
of information.
(E) To assure access to sources of confidential information,
including that contained in Federal, State, and local criminal law
enforcement information systems.
(F) To prevent disclosure of law enforcement techniques and
procedures.
(G) To avoid endangering the life or physical safety of confidential
sources and law enforcement personnel.
(ii) Investigative records within this system of records which are
compiled for law enforcement purposes, other than material within the
scope of subsection (j)(2), are exempt under the provisions of 5 U.S.C.
552a(k)(2): Provided, however, That if any individual is denied any
right, privilege, or benefit that they would otherwise be entitled by
Federal law, or for which they would otherwise be eligible, as a result
of the maintenance of such material, such material shall be provided to
such individual, except to the extent that the disclosure of such
material would reveal the identity of a source who furnished information
to the Government under an express promise that the identity of the
source would be held in confidence, or, prior to January 1, 1975, under
an implied promise that the identity of the sources would be held in
confidence. This system of records is exempt for one or more of the
following reasons:

[[Page 76]]

(A) To prevent interference with law enforcement proceedings.
(B) To protect investigatory material compiled for law enforcement
purposes.
(C) To avoid unwarranted invasion of personal privacy, by disclosure
of information about third parties, including other subjects of
investigation, law enforcement personnel, and sources of information.
(D) To fulfill commitments made to protect the confidentiality of
sources.
(E) To protect the identity of Federal employees who furnish a
complaint or information to the OIG, consistent with section 7(b) of the
Inspector General Act of 1978, as amended, 5 U.S.C. App.
(F) To assure access to sources of confidential information,
including that contained in Federal, State, and local criminal law
enforcement information systems.
(G) To prevent disclosure of law enforcement techniques and
procedures.
(H) To avoid endangering the life or physical safety of confidential
sources and law enforcement personnel.
(iii) Records within this system of records comprised of
investigatory material compiled solely for the purpose of determining
suitability or eligibility for Federal civilian employment or access to
classified information, are exempt under the provisions of 5 U.S.C.
552a(k)(5), but only to the extent that disclosure would reveal the
identity of a source who furnished information to the Government under
an express promise that the identity of the source would be held in
confidence, or prior to January 1, 1975, under an implied promise that
the identity of the source would be held in confidence. This system of
records is exempt for one or more of the following reasons:
(A) To fulfill commitments made to protect the confidentiality of
sources.
(B) To assure access to sources of confidential information,
including that contained in Federal, State, and local criminal law
enforcement information systems.
(b) Security Records System--(1) Sections of the Act from which
exempted. The Security Records System is exempted from the following
sections of the Privacy Act (5 U.S.C. 552a): (c)(3) relating to access
to the disclosure accounting; (d) relating to access to the records;
(e)(1) relating to the type of information maintained in the records;
(e)(4) (G), (H), and (I) relating to publishing the system notice
information as to agency procedures for access and amendment, and
information as to the categories of sources of records; and (f) relating
to developing Agency rules for gaining access and making corrections.
(2) Reason for exemption. (i) Personnel Security Records contained
in the system of records which are compiled solely for the purpose of
determining suitability, eligibility, or qualifications for Federal
civilian employment, Federal contracts, or access to classified
information are exempt under the provisions of 5 U.S.C. 552a(k)(5), but
only to the extent that the disclosure of such material would reveal the
identity of the source who furnished information to the Government under
an express promise that the identity of the source would be held in
confidence, or, prior to January 1, 1975, under an implied promise that
the identity of the sources would be held in confidence. This system of
records is exempt for one or more of the following reasons:
(A) To fulfill commitments made to protect the confidentiality of
sources.
(B) To assure access to sources of confidential information,
including that contained in Federal, State, and local criminal law
enforcement information systems.
(ii) Criminal Matter Records are contained in the system of records
and are exempt under the provisions of 5 U.S.C. 552a(k)(2): Provided,
however, That if any individual is denied any right, privilege, or
benefit that they would otherwise be entitled by Federal law, or for
which they would otherwise be eligible, as a result of the maintenance
of such material, such material shall be provided to such individual,
except to the extent that the disclosure of such material would reveal
the identity of a source who furnished information to the Government
under an express promise that the identity of the source would be held
in confidence, or, prior to January 1, 1975, under an implied promise
that the identity of the sources would be held in confidence. This
system of records is exempt for one or more of the following reasons:

[[Page 77]]

[57 FR 4928, Feb. 11, 1992, as amended at 77 FR 60621, Oct. 4, 2012]

Subpart 1212.6_Instructions for NASA Employees

Sec. 1212.600 General policy.

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

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

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

[57 FR 4928, Feb. 11, 1992, as amended at 77 FR 60621, Oct. 4, 2012]

Sec. 1212.602 Requirements for collecting information.

In collecting information for systems of records, the following
requirements shall be met:
(a) Information shall be collected to the greatest extent
practicable directly

[[Page 78]]

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

Sec. 1212.603 Mailing lists.

NASA will not sell, rent, or otherwise disclose an individual's name
and address to anyone, unless otherwise specifically authorized by law.
This is not to be construed to require the withholding of names and
addresses otherwise permitted to be made public.

[57 FR 4928, Feb. 11, 1992, as amended at 77 FR 60621, Oct. 4, 2012]

Sec. 1212.604 Social security numbers.

(a) It is unlawful for NASA to deny to individuals any rights,
benefits, or privileges provided by law because of the individuals'
refusal to disclose their social security numbers, except where:
(1) The disclosure is required by law; or
(2) The disclosure is from a system of records in existence and
operating before January 1, 1975, and was required under statute or
regulation adopted before that date to verify the identity of the
individual(s).
(b) Any time individuals are requested to disclose their social
security numbers, NASA shall indicate whether that disclosure is
mandatory or voluntary, by what authority the numbers are requested, and
what uses will be made of them.

Sec. 1212.605 Safeguarding information in systems of records.

(a) Safeguards appropriate for a NASA system of records shall be
developed by the system manager in a written plan approved by the Center
Security Officer or Center Information Technology Security Officer for
electronic records maintained in automated systems. Safeguards must
insure the security and confidentiality of records and protect against
any anticipated threats or hazards to their security or integrity which
could result in substantial harm, embarrassment, inconvenience, or
unfairness to any individual on whom information is maintained.
(b) When records or copies of records are distributed within NASA
they shall be prominently identified as records protected under the
Privacy Act and shall be subject to the same safeguard, retention, and
disposition requirements applicable to the system of records.
(c) When records or copies of records are distributed to other
Federal agencies, other than those having custody of the systems of
records, they shall be prominently identified as records protected under
the Privacy Act.
(d) Records that are otherwise required by law to be released to the
public need not be safeguarded or identified as Privacy Act records.

[57 FR 4928, Feb. 11, 1992, as amended at 77 FR 60621, Oct. 4, 2012]

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

(a) NASA officials may maintain and use, for official purposes,
duplicate copies of records or portions of records from a system of
records maintained

[[Page 79]]

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

Subpart 1212.7_NASA Authority and Responsibilities

Sec. 1212.700 NASA employees.

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

Sec. 1212.701 Associate Deputy Administrator.

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

[57 FR 4928, Feb. 11, 1992, as amended at 77 FR 60621, Oct. 4, 2012]

Sec. 1212.702 The Inspector General.

The Inspector General is responsible for:
(a) Making final Agency determinations on appeals related to records
originating with the Office of the Inspector General (Sec. 1212.400),
and
(b) Authorizing an extension for making a final determination on an
appeal related to records originating with the Office of the Inspector
General (Sec. 1212.400(e)).

[77 FR 60622, Oct. 4, 2012]

Sec. 1212.703 NASA Chief Information Officer.

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

[57 FR 4928, Feb. 11, 1992. Redesignated and amended at 77 FR 60622,
Oct. 4, 2012]

[[Page 80]]

Sec. 1212.704 Headquarters and Field Centers or Component Facilities.

(a) Officials-in-Charge of Headquarters Offices, Directors of NASA
Field Centers and Officials-in-Charge of Component Facilities are
responsible for the following with respect to those systems of records
maintained in their organization:
(1) Avoiding the establishment of new systems of records or new
routine uses of a system of records without first complying with the
requirements of this regulation;
(2) Ensuring that the requirements of this regulation and the
Privacy Act are followed by employees;
(3) Ensuring that there is appropriate coordination within NASA
before a determination is made to disclose information without the
individual's consent under authority of 5 U.S.C. 552a(b) (See
Sec. 1212.203(f)); and
(4) Providing appropriate oversight for responsibilities and
authorities exercised by system managers under their jurisdiction
(Sec. 1212.705).
(5) Establish a position of Center Privacy Manager to assist in
carrying out the responsibilities listed in this section.
(b) [Reserved]

[57 FR 4928, Feb. 11, 1992. Redesignated and amended at 77 FR 60622,
Oct. 4, 2012; 78 FR 8964, Feb. 7, 2013]

Sec. 1212.705 System manager.

(a) Each system manager is responsible for the following with regard
to the system of records over which the system manager has cognizance:
(1) Overall compliance with this part, NASA Policy Directive (NPD)
1382.17 and NASA Procedural Requirements (NPR) 1382.1.
(2) Ensuring that each person involved in the design, development,
operation, or maintenance of the system of records is instructed with
respect to the requirements of this regulation and the possible
penalties for noncompliance;
(3) Submitting a request to the Associate Deputy Administrator for
an exemption of the system under subpart 1212.5 of this part, setting
forth in proposed rulemaking form the reasons for the exemption and
citing the specific provision of the Privacy Act which is believed to
authorize the exemption;
(4) After consultation with the Office of the General Counsel or the
Chief Counsel, making reasonable efforts to serve notice on an
individual when any record on such individual is made available to any
person under compulsory legal process when such process becomes a matter
of public record;
(5) Making an initial determination on an individual's request to
correct or amend a record, in accordance with Sec. 1212.302;
(6) Prior to disclosure of any record about an individual, assuring
that the record is first reviewed for accuracy, completeness,
timeliness, and relevance;
(7) Authorizing disclosures of a record without the individual's
consent under Sec. 1212.203(f)(1) through (12);
(8) Responding within the requirements of Sec. 1212.200 to an
individual's request for information as to whether the system contains a
record pertaining to the individual;
(9) Responding to an individual's request for access and copying of
a record, in accordance with subpart 1212.2 of this part;
(10) Amending a record under subpart 1212.3 of this part, or filing
in an individual's record a statement of dispute;
(11) Preparing an addendum to an individual's statement of dispute
to be filed in the individual's records, in accordance with
Sec. 1212.401;
(12) Maintaining disclosure accountings in accordance with 5 U.S.C.
552a(c) and Sec. 1212.203 of this part. This includes records disclosed
pursuant to any computer matching programs;
(13) Notifying persons to whom a record has been disclosed and for
which an accounting was made as to disputes and corrections involving
the record; and
(14) Developing appropriate safeguards for the system of records in
accordance with Sec. 1212.605(a).
(b) Where a system of records has subsystems described in the system
notice, the subsystem manager will have the responsibilities outlined in
paragraph (a) of this section. Although the system manager has no line
authority over subsystem managers, the system manager does have overall
functional

[[Page 81]]

responsibility for the total system, and may issue guidance to subsystem
managers on implementation of this part. When furnishing information for
required reports, the system manager will be responsible for reporting
the entire system of records, including any subsystems.
(c) Exercise of the responsibilities and authorities in paragraph
(a) of this section by any system or subsystem managers at a NASA Center
shall be subject to any conditions or limitations imposed in accordance
with Sec. 1212.704(a)(4) and (5).

[57 FR 4928, Feb. 11, 1992. Redesignated and amended at 77 FR 60622,
Oct. 4, 2012]

Sec. 1212.706 Assistant Administrator for Procurement.

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

[57 FR 4928, Feb. 11, 1992. Redesignated at 77 FR 60622, Oct. 4, 2012]

Sec. 1212.707 Delegation of authority.

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

[57 FR 4928, Feb. 11, 1992. Redesignated at 77 FR 60622, Oct. 4, 2012]

Subpart 1212.8_Failure To Comply With Requirements of This Part

Sec. 1212.800 Civil remedies.

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

Sec. 1212.801 Criminal penalties.

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

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

Sec.
1213.100 Scope.
1213.101 Applicability.
1213.102 Policy.
1213.103 Responsibilities.
1213.104 Public information coordination and concurrence.
1213.105 Interviews.
1213.106 Preventing release of classified information to the media.
1213.107 Preventing unauthorized release of sensitive but unclassified
(SBU) information/material to the news media.
1213.108 Multimedia materials.
1213.109 News releases concerning international activities.

Authority: 42 U.S.C. 2473(a)(3).

Source: 71 FR 49989, Aug. 24, 2006, unless otherwise noted.

[[Page 82]]

Sec. 1213.100 Scope.

This part sets forth policy governing the release of public
information, which is defined as information in any form provided to
news and information media, especially information that has the
potential to generate significant media or public interest or inquiry.
Examples include, but are not limited to, press releases, media
advisories, news features, and Web postings. Not included under this
definition are scientific and technical reports, Web postings designed
for technical or scientific interchange, and technical information
presented at professional meetings or in professional journals.

Sec. 1213.101 Applicability.

(a) This policy applies to NASA Headquarters, NASA Centers, and
Component Facilities.
(b) In the event of any conflict between this policy and any other
NASA policy, directive, or regulation, this policy shall govern and
supersede any previous issuance or directive.
(c) The requirements of this part do not apply to the Office of
Inspector General regarding its activities.

Sec. 1213.102 Policy.

(a) NASA, a scientific and technical Agency, is committed to a
culture of openness with the media and public that values the free
exchange of ideas, data, and information as part of scientific and
technical inquiry. Scientific and technical information from or about
Agency programs and projects will be accurate and unfiltered.
(b) Consistent with NASA statutory responsibility, NASA will
``provide for the widest practicable and appropriate dissemination of
information concerning its activities and the results thereof.'' Release
of public information concerning NASA activities and the results of NASA
activities will be made in a timely, equitable, accurate, and complete
manner.
(c) To ensure timely release of information, NASA will endeavor to
ensure cooperation and coordination among the Agency's scientific,
engineering, and public affairs communities.
(d) In keeping with the desire for a culture of openness, NASA
employees may, consistent with this policy, speak to the press and the
public about their work.
(e) This policy does not authorize or require disclosure of
information that is exempt from disclosure under the Freedom of
Information Act (5 U.S.C. 552) or otherwise restricted by statute,
regulation, Executive Order, or other Executive Branch policy or NASA
policy (e.g., OMB Circulars, NASA Policy Directives). Examples of
information not releasable under this policy include, without
limitation, information that is, or is marked as, classified
information, procurement sensitive information, information subject to
the Privacy Act, other sensitive but unclassified information, and
information subject to privilege, such as pre-decisional information or
attorney-client communications.

Sec. 1213.103 Responsibilities.

(a) The Assistant Administrator for Public Affairs is responsible
for developing and administering an integrated Agency-wide
communications program, establishing Agency public affairs policies and
priorities, and coordinating and reviewing the performance of all Agency
public affairs activities. The Assistant Administrator will develop
criteria to identify which news releases and other types of public
information will be issued nationwide by NASA Headquarters. Decisions to
release public information nationwide by NASA Headquarters will be made
by the Assistant Administrator for Public Affairs or his/her designee.
(b) NASA's Mission Directorate Associate Administrators and Mission
Support Office heads have ultimate responsibility for the technical,
scientific, and programmatic accuracy of all information that is related
to their respective programs and released by NASA.
(c) Under the direction of the Assistant Administrator for Public
Affairs, Public Affairs Officers assigned to Mission Directorates are
responsible for the timely and efficient coordination of public
information covering their respective programs. This coordination
includes review by appropriate Mission Directorate officials. It also
includes editing by public affairs staff to ensure that public
information products are

[[Page 83]]

well written and appropriate for the intended audience. However, such
editing shall not change scientific or technical data or the meaning of
programmatic content.
(d) Center Public Affairs Directors are responsible for implementing
their portion of the Agency's communications program, adhering to Agency
policies, procedures, and priorities, and coordinating their activities
with Headquarters (and others where appropriate). They are responsible
for the quality of public information prepared by Center Public Affairs
Officers. They also are responsible for the day-to-day production of
public information covering their respective Center activities, which
includes obtaining the necessary Center concurrences and coordinating,
as necessary, with the appropriate Headquarters Public Affairs Officers.
(e) Center Directors have ultimate responsibility for the accuracy
of public information that does not require the concurrence of
Headquarters. See Sec. 1213.104(d).
(f) All NASA employees are required to coordinate, in a timely
manner, with the appropriate Public Affairs Officers prior to releasing
information that has the potential to generate significant media or
public interest or inquiry.
(g) All NASA Public Affairs Officers are required to notify the
appropriate Headquarters Public Affairs Officers, in a timely manner,
about activities or events that have the potential to generate
significant media or public interest or inquiry.
(h) All NASA public affairs employees are expected to adhere to the
following code of conduct:
(1) Be honest and accurate in all communications.
(2) Honor publication embargoes.
(3) Respond promptly to media requests, and respect media deadlines.
(4) Act promptly to notify the public of, and correct, erroneous
information, either internally or externally.
(5) Promote the free flow of scientific and technical information.
(6) Protect non-public information.
(i) All NASA employees are responsible for adhering to plans
(including schedules) for activities established by public affairs
offices and senior management for the coordinated release of public
information.
(j) All NASA-funded missions will have a public affairs plan,
approved by the Assistant Administrator for Public Affairs, which will
be managed by Headquarters and/or a designated NASA Center.
(k) Public affairs activities for NASA-funded missions will not be
managed by non-NASA institutions, unless authorized by the Assistant
Administrator for Public Affairs.

Sec. 1213.104 Public information coordination and concurrence.

(a) General. All NASA employees involved in preparing and issuing
NASA public information are responsible for proper coordination among
Headquarters and Center offices to include review and clearance by
appropriate officials prior to issuance. Such coordination will be
accomplished through procedures developed and published by the NASA
Assistant Administrator for Public Affairs.
(b) Coordination. To ensure timely release of public information,
Headquarters and Center Public Affairs Officers are required to
coordinate to obtain review and clearance by appropriate officials, keep
each other informed of changes, delays, or cancellation of releases, and
provide advance notification of the actual release.
(c) All public information shall be coordinated through the
appropriate Headquarters offices, including review by the appropriate
Mission Directorate Associate Administrator and Mission Support Office
head, or their designees, to ensure scientific, technical, and
programmatic accuracy, and review by the Assistant Administrator for
Public Affairs or his/her designee to ensure that public information
products are well written and appropriate for the intended audience.
(d) Centers may, however, without the full coordination of
Headquarters, issue public information that is institutional in nature,
of local interest, or has been deemed not to be a Headquarters release.
These releases must be coordinated through the appropriate Center
offices and approved by the Center Director and Center Public Affairs

[[Page 84]]

Director. The Center Public Affairs Director is required to provide
proper notification to the Office of Public Affairs, NASA Headquarters,
prior to release. The Assistant Administrator for Public Affairs or his/
her designee will determine which public information will be issued
nationwide by NASA Headquarters and shall publish guidelines for the
release of public information that may be issued by Centers without
clearance from Headquarters offices.
(e) Dispute Resolution. Any dispute arising from a decision to
proceed or not proceed with the issuance of a news release or other type
of public information will be addressed and resolved by the Assistant
Administrator for Public Affairs with the appropriate Mission
Directorate Associate Administrator, Mission Support Office head, Center
Director, and others, such as Center Public Affairs Directors, as
necessary. However, the appropriate Mission Directorate Associate
Administrator shall be the arbiter of disputes about the accuracy or
characterization of programmatic, technical, or scientific information.
Additional appeals may be made to the Chief of Strategic Communications
and to the Office of the Administrator. When requested by a Center
Public Affairs Director, an explanation of the resolution will be
provided in writing to all interested Agency parties.

Sec. 1213.105 Interviews.

(a) Only spokespersons designated by the Assistant Administrator for
Public Affairs, or his/her designee, are authorized to speak for the
Agency in an official capacity regarding NASA policy, programmatic, and
budget issues.
(b) In response to media interview requests, NASA will offer
articulate and knowledgeable spokespersons who can best serve the needs
of the media and the American public. However, journalists may have
access to the NASA officials they seek to interview, provided those NASA
officials agree to be interviewed.
(c) NASA employees may speak to the media and the public about their
work. When doing so, employees shall notify their immediate supervisor
and coordinate with their public affairs office in advance of interviews
whenever possible, or immediately thereafter, and are encouraged, to the
maximum extent practicable, to have a Public Affairs Officer present
during interviews. If Public Affairs Officers are present, their role
will be to attest to the content of the interview, support the
interviewee, and provide post-interview follow up with the media, as
necessary.
(d) NASA, as an Agency, does not take a position on any scientific
conclusions. That is the role of the broad scientific community and the
nature of the scientific process. NASA scientists may draw conclusions
and may, consistent with this policy, communicate those conclusions to
the media. However, NASA employees who present personal views outside
their official area of expertise or responsibility must make clear that
they are presenting their individual views--not the views of the
Agency--and ask that they be sourced as such.
(e) Appropriated funds may only be used to support Agency missions
and objectives consistent with legislative or presidential direction.
Government funds shall not be used for media interviews or other
communication activities that go beyond the scope of Agency
responsibilities and/or an employee's official area of expertise or
responsibility.
(f) Media interviews will be ``on-the-record'' and attributable to
the person making the remarks, unless the interviewee is authorized to
do otherwise by the Assistant Administrator for Public Affairs or Center
Public Affairs Director, or their designees. Any NASA employee providing
material to the press will identify himself/herself as the source.
(g) Audio recordings may be made by NASA with consent of the
interviewee.
(h) NASA employees are not required to speak to the media.
(i) Public information volunteered by a NASA official will not be
considered exclusive to any one media source and will be made available
to other sources, if requested.

Sec. 1213.106 Preventing release of classified information to the media.

(a) Release of classified information in any form (e.g., documents,
through

[[Page 85]]

interviews, audio/visual) to the news media is prohibited. The
disclosure of classified information to unauthorized individuals may be
cause for prosecution and/or disciplinary action against the NASA
employee involved. Ignorance of NASA policy and procedures regarding
classified information does not release a NASA employee from
responsibility for preventing any unauthorized release. See NPR 1600.1,
Chapter 5, Section 5.23 for internal NASA guidance on management of
classified information. For further guidance that applies to all
agencies, see Executive Order 12958, as amended, ``Classified National
Security Information,'' and its implementing directive at 32 CFR parts
2001 and 2004.
(b) Any attempt by news media representatives to obtain classified
information will be reported through the Headquarters Office of Public
Affairs or Installation Public Affairs Office to the Installation
Security Office and Office of Security and Program Protection.
(c) For classified operations and/or programs managed under the
auspices of a DD Form 254, ``Contract Security Classification
Specification,'' all inquiries concerning this activity will be
responded to by the appropriate PAO official designated in Item 12 on
the DD Form 254.
(d) For classified operations and/or information owned by other
Government agencies (e.g., DOD, DOE), all inquiries will be referred to
the appropriate Agency Public Affairs Officer as established in written
agreements.

Sec. 1213.107 Preventing unauthorized release of sensitive but
unclassified (SBU) information/material to the news media.

(a) All NASA SBU information requires accountability and approval
for release. Release of SBU information to unauthorized personnel is
prohibited. Unauthorized release of SBU information may result in
prosecution and/or disciplinary action. Ignorance of NASA policy and
procedures regarding SBU information does not release a NASA employee
from responsibility for unauthorized release. See NPR 1600.1, Chapter 5,
Section 5.24 for guidance on identification, marking, accountability and
release of NASA SBU information.
(b) Examples of SBU information include: proprietary information of
others provided to NASA under nondisclosure or confidentiality
agreement; source selection and bid and proposal information;
information subject to export control under the International Traffic in
Arms Regulations (ITAR) or the Export Administration Regulations (EAR);
information subject to the Privacy Act of 1974; predecisional materials
such as national space policy not yet publicly released; pending
reorganization plans or sensitive travel itineraries; and information
that could constitute an indicator of U.S. Government intentions,
capabilities, operations, or activities or otherwise threaten operations
security.
(c) Upon request for access to information/material deemed SBU,
coordination must be made with the information/material owner to
determine if the information/material may be released. Other
organizations that play a part in SBU information identification,
accountability, and release (e.g., General Counsel, External Relations,
Procurement) must be consulted for assistance and/or concurrence prior
to release.
(d) Requests for SBU information from other Government agencies must
be referred to the NASA program or other office responsible for handling
the information as SBU.

Sec. 1213.108 Multimedia materials.

(a) NASA's multimedia material, from all sources, will be made
available to the information media, the public, and to all Agency
Centers and contractor installations utilizing contemporary delivery
methods and emerging digital technology.
(b) Centers will provide the media, the public, and as necessary,
NASA Headquarters with:
(1) Selected prints and original or duplicate files of news-oriented
imagery and other digital multimedia material generated within their
respective areas.
(2) Selected video material in the highest quality format practical,
which, in the opinion of the installations, would be appropriate for use
as news feed material or features in pre-

[[Page 86]]

produced programs and other presentations.
(3) Audio and/or video files of significant news developments and
other events of historic or public interest.
(4) Interactive multimedia features that can be incorporated into
the Agency's Internet portal for use by internal and external audiences,
including the media and the general public.
(5) To the extent practicable, these products will be in forms and
media accessible to the public at large, as well as to specific user
groups requesting them, if any.

Sec. 1213.109 News releases concerning international activities.

(a) Releases of information involving NASA activities, views,
programs, or projects involving another country or an international
organization require prior coordination and approval by the Headquarters
offices of External Relations and Public Affairs.
(b) NASA Centers and Headquarters offices will report all visits
proposed by representatives of foreign news media to the Public Affairs
Officer of the Office of External Relations for appropriate handling
consistent with all NASA policies and procedures.

PART 1214_SPACE FLIGHT--Table of Contents

Subparts 1214.1-1214.3 [Reserved]

Subpart 1214.4_International Space Station Crew

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

Subpart 1214.5 [Reserved]

Subpart 1214.6_Mementos Aboard NASA Missions

1214.600 Scope.
1214.601 Definitions.
1214.602 Policy.
1214.603 Official Flight Kit.
1214.604 Personal Preference Kit.
1214.605-1214.606 [Reserved]
1214.607 Media and public inquiries.
1214.608 [Reserved]
1214.609 Loss or theft.
1214.610 Violations.

Subpart 1214.7_The Authority of the NASA Commander

1214.700 Scope.
1214.701 Definitions.
1214.702 Authority and responsibility of the NASA Commander.
1214.703 Chain of command.
1214.704 Violations.

Subparts 1214.8-1214.10 [Reserved]

Subpart 1214.11_NASA Astronaut Candidate Recruitment and Selection
Program

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

Subparts 1214.12-1214.17 [Reserved]

Authority: Pub. L. 111-314, sec. 3, 124 Stat. 3328 (51 U.S.C. 20101,
et seq.).

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

Subparts 1214.1-1214.3 [Reserved]

Subpart 1214.4_International Space Station Crew

Authority: Pub. L. 111-314, sec. 3, 124 Stat. 3328 (51 U.S.C. 20101,
et seq.).

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

Sec. 1214.400 Scope.

(a) This subpart sets forth policy and procedures with respect to
International Space Station crewmembers provided by NASA for flight to
the International Space Station.
(b) In order to provide for the safe operation, maintenance of
order, and proper conduct of crew aboard the International Space
Station, the January 29, 1998, Agreement Among the Government of Canada,
Governments of Member States of the European Space Agency, the
Government of Japan, the Government of the Russian Federation, and the
Government of the United States of America Concerning

[[Page 87]]

Cooperation on the Civil International Space Station (hereinafter
Agreement), which establishes and governs the International Space
Station, requires the development and approval of a Code of Conduct for
International Space Station crew. Pursuant to Article 11 of the
Agreement, each International Space Station partner is obliged to ensure
that crewmembers which it provides observe the Code of Conduct.

Sec. 1214.401 Applicability.

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

Sec. 1214.402 International Space Station crewmember responsibilities.

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

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

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

Code of Conduct for the International Space Station Crew

I. Introduction

A. Authority

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

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alia, that the crew Code of Conduct be developed by the partners.

B. Scope and Content

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

C. Definitions

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

II. General Standards

A. Responsibilities of ISS Crewmembers

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

B. General Rules of Conduct

ISS Crewmembers' conduct shall be such as to maintain a harmonious
and cohesive relationship among the ISS crewmembers and an appropriate
level of mutual confidence and respect through an interactive,
participative, and relationship-oriented approach which duly takes into
account the international and multicultural nature of the crew and
mission.
No ISS crewmember shall, by his or her conduct, act in a manner
which results in or creates the appearance of: (1) Giving undue
preferential treatment to any person or entity in the performance of ISS
activities; and/or (2) adversely affecting the confidence of the public
in the integrity of, or reflecting unfavorably in a public forum on, any
ISS partner, partner state or Cooperating Agency.

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ISS crewmembers shall protect and conserve all property to which
they have access for ISS activities. No such property shall be altered
or removed for any purpose other than those necessary for the
performance of ISS duties. Before altering or removing any such
property, ISS crewmembers shall first obtain authorization from the
Flight Director, except as necessary to ensure the immediate safety of
ISS crewmembers or ISS elements, equipment, or payloads.

C. Use of Position

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

D. Mementos and Personal Effects

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

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

A. Authority and Responsibilities of the ISS Commander

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

(1) During Preflight and Postflight Activities

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

(2) During On-Orbit Operations

(a) General

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

(b) Main Responsibilities

The ISS Commander's main responsibilities are to: (1) Conduct
operations in or on the ISS as directed by the Flight Director and in
accordance with the Flight Rules, plans and procedures; (2) direct the
activities of the ISS crewmembers as a single, integrated team to ensure
the successful completion of the mission; (3) fully and accurately

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inform the Flight Director, in a timely manner, of the ISS vehicle
configuration, status, commanding, and other operational activities on-
board (including off-nominal or emergency situations); (4) enforce
procedures for the physical and information security of operations and
utilization data; (5) maintain order; (6) ensure crew safety, health and
well-being including crew rescue and return; and (7) take all reasonable
action necessary for the protection of the ISS elements, equipment, or
payloads.

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

B. Chain of Command and Succession On-orbit

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

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

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

IV. Disciplinary Regulations

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

V. Physical and Information Security Guidelines

The use of all equipment and goods to which ISS crewmembers have
access shall be limited to the performance of ISS duties. Marked or
otherwise identified as export controlled data and marked proprietary
data obtained by an ISS crewmember in the course of ISS activities shall
only be used in the performance of his or her ISS duties. With respect
to data first generated on-board the ISS, the ISS crewmembers will be
advised by the appropriate Cooperating Agency or by the data owner or
provider through that Cooperating Agency as to the proprietary or
export-controlled nature of the data and will be directed to mark and
protect such data and to continue such protection for as long as the
requirements for such protection remain in place. Additionally, ISS

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crewmembers shall act in a manner consistent with the provisions of the
IGA and the MOU's regarding protection of operations data, utilization
data, and the intellectual property of ISS users. They shall also comply
with applicable ISS program rules, operational directives, and
management policies designed to further such protections.
Personal information about ISS crewmembers, including all medical
information, private family conference, or other private information,
whether from verbal, written, or electronic sources, shall not be used
or disclosed by other ISS crewmembers for any purpose, without the
consent of the affected ISS crewmember, except as required for the
immediate safety of ISS crewmembers or the protection of ISS elements,
equipment, or payloads. In particular, all personal medical information,
whether derived from medical monitoring, investigations, or medical
contingency events, shall be treated as private medical information and
shall be transmitted in a private and secure fashion in accordance with
procedures to be set forth by the MMOP. Medical data which must be
handled in this fashion includes, for example, biomedical telemetry,
private medical communications, and medical investigation data. Nothing
in this paragraph shall be interpreted to limit an ISS crewmember's
access to all medical resources aboard the ISS, to ground-based medical
support services, or to his or her own medical data during preflight,
on-orbit, and postflight activities.

VI. Protection of Human Research Subjects

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

Sec. 1214.404 Violations.

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

Subpart 1214.5 [Reserved]

Subpart 1214.6_Mementos Aboard NASA Missions

Authority: Pub. L. 111-314, sec. 3, 124 Stat. 3328 (51 U.S.C. 20101,
et seq.).

Source: 81 FR 43041, July 1, 2016, unless otherwise noted.

Sec. 1214.600 Scope.

This subpart establishes policy and procedures for carrying mementos
on the NASA missions, with the exception of mementos and personal
effects carried onboard the International Space Station (ISS).

Sec. 1214.601 Definitions.

Mementos. Flags, patches, insignia, medallions, minor graphics, and
similar items of little commercial value, especially suited for display
by the individuals or groups to whom they have been presented.

Sec. 1214.602 Policy.

Premise. Mementos are welcome aboard NASA missions. However, they
are flown as a courtesy--not as an entitlement. All mementos must be
approved by the Associate Administrator for Human Exploration and
Operations and are stowed only in an Official Flight Kit (OFK) or
Personal Preference Kit (PPK).
(a) Economic gain. Items carried in an OFK or a PPK will not be
sold, transferred for sale, used or transferred for

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personal gain, or used or transferred for any commercial or fund-raising
purpose. Items such as philatelic materials and coins that, by their
nature, lend themselves to exploitation by the recipients, or create
problems with respect to good taste; or that are large, bulky, or heavy
items will not be approved for flight.
(b) [Reserved]

Sec. 1214.603 Official Flight Kit.

(a) Purpose. The Official Flight Kit (OFK) on a particular mission
allows NASA, and other domestic and friendly foreign countries'
organizations with NASA approval, to utilize mementos as awards and
commendations or preserve them in museums or archives. No personal items
will be carried in the OFK.
(b) Approval of contents. At least 120 days prior to the scheduled
launch of a particular mission, an authorized representative of each
organization desiring mementos to be carried on a flight in the OFK must
submit a letter or request describing the item(s) to be flown and the
intended purpose or distribution. Letters should be directed to the
Associate Administrator for Human Exploration and Operations, NASA
Headquarters, Washington DC 20546.

Sec. 1214.604 Personal Preference Kit.

(a) Purpose. The Personal Preference Kit (PPK) enables persons on a
particular mission to carry personal items for use as mementos. Only
those individuals actually accompanying such flights may request
authorization to carry personal items as mementos.
(b) Approval of content. At least 60 days prior to the scheduled
launch of a particular mission, each person assigned to the flight who
desires to carry items in a PPK must submit a proposed list of items and
their recipients to the Associate Director, NASA Johnson Space Center.
The Associate Director will review the proposed list of items and, if
approved, submit the crew members' PPK lists through supervisory
channels to the Associate Administrator for Human Exploration and
Operations for approval. A signed copy of approval from the Associate
Administrator for Human Exploration and Operations will be returned to
the Director, NASA Johnson Space Center, for distribution.

Sec. 1214.605-1214.606 [Reserved]

Sec. 1214.607 Media and public inquiries.

Information on mementos flown on a particular mission will be
routinely released by the Associate Administrator of the Office of
Communications to the media and to the public upon their request, but
only after they have been approved for flight.

Sec. 1214.608 [Reserved]

Sec. 1214.609 Loss or Theft.

(a) Liability. Neither NASA nor the U.S. Government will be liable
for the loss or theft of, or damage to, items carried in OFKs or PPKs.
(b) Report of loss or theft. Any person who learns that an item
contained in an OFK or a PPK is missing shall immediately report the
loss to the Johnson Space Center Security Office and the NASA Inspector
General.

Sec. 1214.610 Violations.

Any items carried in violation of the requirements of this subpart
shall become property of the U.S. Government, subject to applicable
Federal laws and regulations, and the violator may be subject to
disciplinary action, including being permanently prohibited from use of,
or if an individual, from flying aboard a NASA mission.

Subpart 1214.7_The Authority of the NASA Commander

Authority: Pub. L. 111-314, sec. 3, 124 Stat. 3328 (51 U.S.C. 20101,
et seq.).

Source: 81 FR 43041, July 1, 2016, unless otherwise noted.

Sec. 1214.700 Scope.

This subpart establishes the authority of the NASA Commander of a
NASA mission, excluding missions related to the ISS and activities
licensed under Title 51 U.S.C. Chapter 509, to enforce order and
discipline during a mission and to take whatever action in his/her
judgment is reasonable and necessary for the protection, safety, and
well-being of all personnel and on-

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board equipment, including the spacecraft and payloads. During the final
launch countdown, following crew ingress, the NASA Commander has the
authority to enforce order and discipline among all on-board personnel.
During emergency situations prior to liftoff, the NASA Commander has the
authority to take whatever action in his/her judgment is necessary for
the protection or security, safety, and well-being of all personnel on
board.

Sec. 1214.701 Definitions.

(a) The flight crew consists of the NASA Commander, astronaut crew
members, and [any] other persons aboard the spacecraft.
(b) A mission is the period including the flight-phases from launch
to landing on the surface of the Earth--a single round trip. (In the
case of a forced landing, the NASA Commander's authority continues until
a competent authority takes over the responsibility for the persons and
property aboard).
(c) The flight-phases consist of launch, in orbit/transit,
extraterrestrial mission, deorbit, entry, and landing, and post-landing
back on Earth.
(d) A payload is a specific complement of instruments, space
equipment, and support hardware/software carried into space to
accomplish a scientific mission or discrete activity.

Sec. 1214.702 Authority and responsibility of the NASA Commander.

(a) During all flight phases, the NASA Commander shall have the
absolute authority to take whatever action is in his/her discretion
necessary to:
(1) Enhance order and discipline.
(2) Provide for the safety and well-being of all personnel on board.
(3) Provide for the protection of the spacecraft and payloads.
The NASA Commander shall have authority, throughout the mission, to
use any reasonable and necessary means, including the use of physical
force, to achieve this end.
(b) The authority of the NASA Commander extends to any and all
personnel on board the spacecraft including Federal officers and
employees and all other persons whether or not they are U.S. nationals.
(c) The authority of the NASA Commander extends to all spaceflight
elements, payloads, and activities originating with or defined to be a
part of the NASA mission.
(d) The NASA Commander may, when he/she deems such action to be
necessary for the safety of the spacecraft and personnel on board,
subject any of the personnel on board to such restraint as the
circumstances require until such time as delivery of such individual or
individuals to the proper authorities is possible.

Sec. 1214.703 Chain of command.

(a) The NASA Commander is a trained NASA astronaut who has been
designated to serve as commander on a NASA mission and who shall have
the authority described in Sec. 1214.702 of this part. Under normal
flight conditions (other than emergencies or when otherwise designated)
the NASA Commander is responsible to the Mission Flight Director.
(b) Before each flight, the other flight crewmembers will be
designated in the order in which they will assume the authority of the
NASA Commander under this subpart in the event that the NASA Commander
is not able to carry out his/her duties.
(c) The determinations, if any, that a crewmember in the chain of
command is not able to carry out his or her command duties and is,
therefore, to be relieved of command, and that another crewmember in the
chain of command is to succeed to the authority of the NASA Commander,
will be made by the NASA Administrator or his/her designee.

Sec. 1214.704 Violations.

(a) All personnel on board the NASA mission are subject to the
authority of the NASA Commander and shall conform to his/her orders and
direction as authorized by this subpart.
(b) This subpart is a regulation within the meaning of 18 U.S.C.
799, and whoever willfully violates, attempts to violate, or conspires
to violate any provision of this subpart or any order or direction
issued under this subpart shall be subject to fines and imprisonment, as
specified by law.

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Subparts 1214.8-1214.10 [Reserved]

Subpart 1214.11_NASA Astronaut Candidate Recruitment and Selection
Program

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

Sec. 1214.1100 Scope.

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

Sec. 1214.1101 Announcement.

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

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

Sec. 1214.1102 Evaluation of applications.

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

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

Sec. 1214.1103 Application cutoff date.

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

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

Sec. 1214.1104 Evaluation and ranking of highly qualified candidates.

(a) A selection board consisting of discipline experts, and such
other persons as appropriate, will further evaluate and rank the
``Highly Qualified'' applicants.

[[Page 95]]

(b) Efforts will be made to assure that minorities and females are
included on this board.
(c) The ``Highly Qualified'' applicants who are determined to be the
``Best Qualified'' will be invited to the Johnson Space Center for an
interview, orientation, and detailed medical evaluation.
(d) Background investigations will normally be initiated on those
applicants rated ``Best Qualified.''

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

Sec. 1214.1105 Final ranking.

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

Sec. 1214.1106 Selection of astronaut candidates.

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

Sec. 1214.1107 Notification.

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

Subparts 1214.12-1214.17 [Reserved]

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

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

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

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

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

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

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

Sec. 1215.100 General.

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

[77 FR 6952, Feb. 10, 2012]

[[Page 96]]

Sec. 1215.101 Scope.

This subpart sets forth the policy governing TDRSS services provided
to non-U.S. Government users and the reimbursement for rendering such
services. Cooperative missions are not under the purview of this
subpart. The arrangements for TDRSS services for cooperative missions
will be covered in an agreement, as a consequence of negotiations
between NASA and the other concerned party. Any agreement which includes
provision for any TDRSS service will require signatory concurrence by
the Deputy Associate Administrator for SCaN prior to dedicating SCaN
resources for support of a cooperative mission.

[77 FR 6952, Feb. 10, 2012]

Sec. 1215.102 Definitions.

(a) User. Any non-U.S. Government representative or entity that
enters into an agreement with NASA to use TDRSS services.
(b) TDRSS. TDRSS, including Tracking and Data Relay Satellites
(TDRS), WSC, GRGT, and the necessary TDRSS operational areas, interface
devices, and NASA communication circuits that unify the above into a
functioning system. It specifically excludes the user ground system/
TDRSS interface.
(c) Bit stream. The electronic signals acquired by TDRSS from the
user craft or the user-generated input commands for transmission to the
user craft.
(d) Scheduling service period. One scheduled contact utilizing a
single TDRS, whereby the user, by requesting service, is allotted a
block of time for operations between the user satellite and TDRSS.

[77 FR 6952, Feb. 10, 2012]

Sec. 1215.103 Services.

(a) Standard services. These are services which TDRSS is capable of
providing to low-Earth orbital user spacecraft or other terrestrial
users. Data are delivered to WSC or GRGT. A detailed description of
services is provided in the GSFC Space Network Users' Guide, 450-SNUG.
Contact the Chief, Networks Integration Management Office, at the
address in Section 1215.108(d) to obtain a copy of the SNUG.
(1) Tracking service.
(2) Data acquisition service.
(3) Command transmission service.
(b) Required Support Services. These are support activities that are
required to obtain TDRSS services.
(1) Prelaunch support planning, analysis, and documentation.
(2) Compatibility testing.
(3) Prelaunch support for data-flow testing and related activities.
(4) User services scheduling.
(c) Mission-unique services. Other tracking and data services
desired by the user that are beyond the standard and required support
services defined above. The associated charges for these services will
be identified and assessed on a case-by-case basis.

[77 FR 6952, Feb. 10, 2012]

Sec. 1215.104 Apportionment and assignment of services.

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

[56 FR 28048, June 19, 1991]

Sec. 1215.105 Delivery of user data.

(a) As a standard service, NASA will provide to the user its data
from TDRSS in the form of one or more digital or analog bit streams
synchronized to associated clock streams at WSC or GRGT.
(b) User data-handling requirements beyond WSC or GRGT interface
will be provided as a standard service to the user, to the extent that
the requirements do not exceed NASA's planned standard communications
system. Any additional data transport or handling requirements exceeding
NASA's capability will be dealt with as a mission-unique service.
(c) No storage of the user data is provided in the standard service.
NASA will provide short-term temporary recording of data at WSC in the
event of a NASA Integrated Services Network (NISN) link outage.
(d) NASA will provide TDRSS services on a ``reasonable efforts''
basis, and, accordingly, will not be liable for damages of any kind to
the user or

[[Page 97]]

third parties for any reason, including, but not limited to, failure to
provide agreed-to services. The price for TDRSS services does not
include a contingency or premium for any potential damages. The user
will assume any risk of damages or obtain insurance to protect against
any risk.

[77 FR 6952, Feb. 10, 2012]

Sec. 1215.106 User command and tracking data.

(a) User command data shall enter TDRSS via the NISN interface at
WSC or GRGT.
(b) NASA is required to have knowledge of the user satellite orbital
elements to sufficient accuracy to permit TDRSS to establish and
maintain acquisition. This can be accomplished in two ways:
(1) The user can provide the orbital elements in a NASA format to
meet TDRSS operational requirements.
(2) The user shall ensure that a sufficient quantity of tracking
data is received to permit the determination of the user satellite
orbital elements. The Flight Dynamics Facility (FDF) at GSFC will
provide the orbit determination service to these users. The charges for
this service will be negotiated between the FDF and the user and will be
dependent on user requirements.

[77 FR 6952, Feb. 10, 2012]

Sec. 1215.107 User data security and frequency authorizations.

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

[56 FR 28049, June 19, 1991]

Sec. 1215.108 Defining user service requirements.

Potential users should become familiar with TDRSS capabilities and
constraints, which are detailed in the SNUG, as early as possible. This
action allows the user to evaluate the trade-offs available among
various TDRSS services, spacecraft design, operations planning, and
other significant mission parameters. It is recommended that potential
users contact the NIMO as early as possible for assistance in performing
the trade studies. When these evaluations have been completed, and the
user desires to use TDRSS, the user should initiate a request for TDRSS
service.
(a) Initial requests for TDRSS service from non-U.S. Government
users shall be addressed to SCaN at NASA Headquarters, as follows:
Deputy Associate Administrator: Space Communications and Navigation
Division, National Aeronautics and Space Administration, Washington, DC
20546.
(b) Upon review and acceptance of the service request, preliminary
analyses shall be performed to determine the feasibility of meeting the
proposed requirements.
(c) If the request is determined to be feasible, the user and SCaN
shall negotiate an agreement for provision of the requested services.
Acceptance of user requests for TDRSS service is the sole prerogative of
NASA.
(d) Upon approval of the agreement by both parties, GSFC will be
assigned to produce the detailed requirements, plans, and documentation
necessary for support of the mission. Changes to user requirements shall
be made as far in advance as possible and shall be submitted, in
writing, to both SCaN at NASA Headquarters (see Section 108, paragraph
(a) for mailing address) and GSFC, as follows: Chief: Networks
Integration Management Office, Code 450.1, NASA Goddard Space Flight
Center, M/S 450.1, 8800 Greenbelt Road Greenbelt, MD 20771.

[77 FR 6953, Feb. 10, 2012]

[[Page 98]]

Sec. 1215.109 Scheduling user service.

(a) User service shall be scheduled only by NASA. TDRSS services
will be provided in accordance with operational priorities established
by the NASA Administrator or his/her designee. See Appendix A for a
description of a typical user activity timeline.
(b) Schedule conflict will be resolved in general by application of
principles of priority to user service requirements. Services shall be
provided either as normally scheduled service or as emergency service.
Priorities will be different for emergency service than for normal
services.
(1) Normally scheduled service is service which is planned and
ordered under normal operational conditions and is subject to schedule
conflict resolution under normal service priorities. Requests for
normally scheduled service must be received by the schedulers at the
GSFC WSC Data Services Management Center (DSMC) no later than 21 days
prior to the requested support time.
(2) At times, emergency service requirements will override normal
schedule priority. Under emergency service conditions, disruptions to
scheduled service will occur.
(3) The DSMC reserves the sole right to schedule, reschedule, or
cancel TDRSS service.
(4) NASA schedulers will exercise judgment and endeavor to see that
lower-priority users are not excluded from a substantial portion of
their contracted-for service due to the requirements of higher-priority
users.
(c) General user service requirements, which will be used for
preliminary planning and mission modeling, should include all pertinent
information necessary for NASA to determine if the proposed service is
achievable. Contact NIMO to discuss usage and requirements.
(d) Such user service requirements information typically includes:
(1) Date of service initiation.
(2) The type of TDRSS services desired (e.g., multiple access,
tracking, etc.), and the frequency and duration of each service.
(3) Orbit or trajectory parameters and tracking data requirements.
(4) Spacecraft events significant to tracking, telemetry or command
requirements.
(5) Communications systems specifics, including location of antennas
and other related information dealing with user tracking, command, and
data systems.
(6) Special test requirements, data flows, and simulations, etc.
(7) Identification of terrestrial data transport requirements,
interface points, and delivery locations, including latency and line
loss recovery.
(e) To provide for effective planning, reference Appendix A, Typical
New User Activity Timeline.

[77 FR 6953, Feb. 10, 2012]

Sec. 1215.110 User cancellation of all services.

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

Sec. 1215.111 User postponement of service.

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

[56 FR 28049, June 19, 1991]

Sec. 1215.112 User/NASA contractual arrangement.

No service shall be provided without an approved agreement.

[77 FR 6953, Feb. 10, 2012]

Sec. 1215.113 User charges.

(a) The user shall reimburse NASA the sum of the charges for
standard

[[Page 99]]

and mission-unique services. Charges will be based on the service rates
applicable at the time of service.
(b) For standard services, the user shall be charged only for
services rendered, except that if a total cancellation of service
occurs, the user shall be charged in accordance with the provisions of
Sec. 1215.110.
(1) Standard services which are scheduled, and then cancelled by the
user less than 72 hours prior to the start of that scheduled service
period, will be charged as if the scheduled service actually occurred.
(2) The time scheduled by the user project shall include the slew
time, set up and/or configuration time, TDRSS contact time, and all
other conditions for which TDRSS services were allocated to the user.
(3) Charges will be accumulated by the minute, based on the
computerized schedule/configuration messages which physically set up
TDRSS equipment at the start of a support period and free the equipment
for other users at the end of a support period.
(c) The user shall reimburse NASA for the costs of any mission-
unique services provided by NASA.

[77 FR 6953, Feb. 10, 2012]

Sec. 1215.114 Service rates.

(a) Rates for TDRSS services will be established by the DAA for
SCaN.
(b) Per-minute rates will reflect TDRSS total return on investment
and operational and maintenance costs.
(c) The rate per minute by service and type of user is available on
the following Web site: https://www.spacecomm.nasa.gov/spacecomm/
programs/Space_network.cfm.
(d) The per-minute charge for TDRSS service is computed by
multiplying the charge per minute for the appropriate service by the
number of minutes utilized.

[77 FR 6953, Feb. 10, 2012]

Sec. 1215.115 Payment and billing.

(a) The procedure for billing and payment of standard TDRSS services
is as follows:
(1) NASA shall be reimbursed by customers in connection with the use
of Government property and services provided under an approved
reimbursable agreement. Advance payment for services is required.
Advance payments shall be scheduled to keep pace with the rate at which
NASA anticipates incurring costs. NASA will provide a Customer Budget/
Estimate (CBE) for services rendered nominally 60-90 days in advance, or
as otherwise agreed, of the first anticipated property use or required
service date for each mission. The full cost of the mission shall be
paid by the customer not later than 30 days prior to the first
anticipated property use or required service date.
(2) In some cases, an advance partial payment will be required six--
nine months prior to the first anticipated property use or required
service date in order for advance planning work and/or travel to take
place. The amount of this partial payment and its receipt shall be
negotiated on an as-needed basis. Adjustments to the amounts prepaid
will be made to the succeeding billings as the actual services are
rendered.
(3) If the customer fails to make payment by the payment due date,
NASA may terminate the agreement and any subagreements for breach of
agreement after notice to the customer is given of this breach and
failure to cure such breach within a time period established by NASA.
(b) Late payments by the user will require the user to pay a late
payment charge.

[77 FR 6954, Feb. 10, 2012]

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

Time: Project conceptualization (at least two years before launch;
Ref. Sec. 1215.108(a)).
Activity: Submit request for access to TDRSS. Upon preliminary
acceptance of the service requirements by NASA Headquarters,
communications for the reimbursable development of a Space Act Agreement
(SAA) will begin. Prior to finalization of the Memorandum of Agreement
(MOA), an estimate for the services will be issued. After SAA signature,
full funding of the effort must be received prior to NASA initiating any
activities associated with the effort. (Ref. Sec. 1215.115(a)(1)).
Time: 18 months before launch (Ref. Sec. 1215.109(c).

[[Page 100]]

Activity: After full funding has been received and distributed to
the executing NASA entities, submit general user requirements to permit
preliminary planning. Contact will occur to facilitate the integration
process for access to TDRSS. If appropriate, initiate action with the
Federal Communications Commission for license to communicate with TDRSS
(Ref. Sec. 1215.107(b)).
Time: 12 months before launch (earlier if possible).
Activity: Provide detailed requirements for technical definition and
development of operational and interface control documents. (Ref.
Sec. 1215.109(d)).
Time: 3 weeks prior to a Scheduled Support Period (SSP).
Activity: Submit scheduling request to NASA covering a weekly
period. Receive schedule from NASA based on principles of priority (Ref.
Sec. 1215.109(b)). User confirmation of the schedule is required.
Time: Up to 72 hours prior to an SSP.
Activity: Can cancel an SSP without charge (Ref.
Sec. 1215.113(b)(1)).
Time: Up to 45 minutes prior to an SPP.
Activity: Can schedule an SSP if a time slot is available without
impacting another user.
Time: Up to 10 minutes prior to an SSP.
Activity: Can schedule an SSP utilizing TDRSS unused time (TUT).

[77 FR 6954, Feb. 10, 2012]

Sec. Appendix B to Part 1215--Factors Affecting Standard Charges

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

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

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

Sec. Appendix C to Part 1215--Typical User Activity Timeline

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

[56 FR 28049, June 19, 1991]

PART 1216_ENVIRONMENTAL QUALITY--Table of Contents

Subpart 1216.1_Policy on Environmental Quality and Control

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

Subpart 1216.2 [Reserved]

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

1216.300 Scope.
1216.301 Applicability.
1216.302 Responsibilities.
1216.303 NEPA process in NASA planning and decision making.
1216.304 Categorical exclusions.

[[Page 101]]

1216.305 Actions requiring environmental assessments.
1216.306 Actions normally requiring an EIS.
1216.307 Programmatic EAs, EISs, and tiering.
1216.308 Supplemental EAs and EISs.
1216.309 Mitigation and monitoring.
1216.310 Classified actions.
1216.311 Emergency responses.

Appendix A to Subpart 1216.3 of Part 1216--Acronyms and Definitions

Subpart 1216.1_Policy on Environmental Quality and Control

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

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

Sec. 1216.100 Scope.

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

Sec. 1216.101 Applicability.

This subpart is applicable to NASA Headquarters and field
installations.

Sec. 1216.102 Policy.

NASA policy is to:
(a) Use all practicable means, consistent with NASA's statutory
authority, available resources, and the national policy, to protect and
enhance the quality of the environment;
(b) Provide for proper attention to and ensure that environmental
amenities and values are given appropriate consideration in all NASA
actions, including those performed under contract, grant, lease, or
permit;
(c) Recognize the worldwide and long-range character of
environmental concerns and, when consistent with the foreign policy of
the United States and its own responsibilities, lend appropriate support
to initiatives, resolutions, and programs designed to maximize
international cooperation in anticipating and preventing a decline in
the quality of the world environment;
(d) Use systematic and timely approaches which will ensure the
integrated use of the natural and social sciences and environmental
design arts in planning and decisionmaking for actions which may have an
impact on the human environment;
(e) Pursue research and development, within the scope of NASA's
authority or in response to authorized agencies, for application of
technologies useful in the protection and enhancement of environmental
quality;
(f) Initiate and utilize ecological and other environmental
information in the planning and development of resource-oriented
projects; and
(g) Invite cooperation, where appropriate, from Federal, State,
local, and regional authorities and the public in NASA planning and
decisionmaking processes.

Sec. 1216.103 Responsibilities of NASA officials.

(a) The Associate Administrator for Management or designee shall:
(1) Coordinate the formulation and revision of NASA policies and
positions on matters pertaining to environmental protection and
enhancement;
(2) Represent NASA in working with other governmental agencies and
interagency organizations to formulate, revise, and achieve uniform
understanding and application of governmentwide policies relating to the
environment;
(3) Develop and ensure the implementation of agencywide standards,
procedures, and working relationships for protection and enhancement of
environmental quality and compliance with applicable laws and
regulations;
(4) Develop, as an integral part of NASA's basic decision processes,
procedures to ensure that environmental factors are properly considered
in all proposals and decisions;
(5) Establish and maintain working relationships with the Council on
Environmental Quality, Environmental Protection Agency, and other
national, state, and local governmental agencies concerned with
environmental matters;

[[Page 102]]

(6) Acquire information for and ensure the preparation of
appropriate NASA reports on environmental matters.
(b) Officials-in-Charge of Headquarters Offices and NASA Field
Installation Directors are responsible for:
(1) Identifying matters under their cognizance which may affect
protection and enhancement of environmental quality and for employing
the proper procedures to ensure that necessary actions are taken to meet
the requirements of applicable laws and regulations;
(2) Coordinating environmental quality-related activities under
their cognizance with the Associate Administrator for Management; and
(3) Supporting and assisting the Associate Administrator for
Management on request.
(c) Officials-in-Charge of Headquarters Offices are additionally
responsible for:
(1) Giving high priority, in the pursuit of program objectives, to
the identification, analysis, and proposal of research and development
which, if conducted by NASA or other agencies, may contribute to the
achievement of beneficial environmental objectives; and
(2) In coordination with the Associate Administrator for Management,
making available to other parties, both governmental and
nongovernmental, advice and information useful in protecting and
enhancing the quality of the environment.
(d) NASA Field Installation Directors are additionally responsible
for:
(1) Implementing the NASA policies, standards and procedures for the
protection and enhancement of environmental quality and supplementing
them as appropriate in local circumstances;
(2) Specifically assigning responsibilities for environmental
activities under the installation's cognizance to appropriate
subordinates, while providing for the coordination of all such
activities; and
(3) Establishing and maintaining working relationships with
national, state, regional and governmental agencies responsible for
environmental regulations in localities in which the field installations
conduct their activities.

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

Subpart 1216.2 [Reserved]

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

Authority: The National Aeronautics and Space Act of 1958, as
amended (51 U.S.C. 20101 et seq.); The National Environmental Policy Act
of 1969, as amended (42 U.S.C. 4321 et seq.); the Council on
Environmental Quality (CEQ) Regulations for Implementing the Procedural
Provisions of the National Environmental Policy Act (40 CFR parts 1500-
1508).

Source: 77 FR 3103, Jan. 23, 2012, unless otherwise noted.

Sec. 1216.300 Scope.

(a) This subpart implements NEPA, setting forth NASA's policies and
procedures for the early integration of environmental considerations
into planning and decision making.
(b) Through this subpart, NASA adopts the CEQ regulations
implementing NEPA (40 CFR parts 1500-1508) and supplements those
regulations with this subpart 1216.3, for actions proposed by NASA that
are subject to NEPA requirements. This subpart is to be used in
conjunction with the CEQ regulations. Consistent with the CEQ
regulations at 40 CFR part 1500.3, no trivial violation of this part
shall give rise to any independent cause of action. This subpart and
NASA's NEPA policy are available on NASA's Public Portal at http://
www.nasa.gov/agency/nepa/ (under NEPA Process).

Sec. 1216.301 Applicability.

This subpart applies to all organizational elements of NASA.

Sec. 1216.302 Responsibilities.

(a) The NASA Senior Environmental Official (SEO) (as defined in
Appendix A to this subpart) is responsible for overseeing and guiding
NASA's integration of NEPA into the Agency's planning and decision
making. The

[[Page 103]]

SEO, with the assistance of the Office of the General Counsel (OGC), is
responsible for developing NASA NEPA regulations and maintaining up-to-
date Agency-wide NEPA guidance that fully integrates NEPA analysis into
Agency planning and decision-making processes. The SEO shall monitor
this process to ensure that these regulations and the associated Agency
guidance are achieving their purposes. In addition, the NASA SEO is
responsible for coordinating with other Federal agencies and the CEQ and
consolidating and transmitting NASA's comments on EISs and other NEPA
documentation prepared by other Federal agencies:
(1) The NASA Headquarters/Environmental Management Division (HQ/EMD)
is delegated the SEO's overall responsibility of implementing NEPA
functions and guiding NASA's integration of NEPA into the Agency's
planning and decision making for all NASA activities. The HQ/EMD
provides advice and consultation to all NASA entities in implementing
their assigned responsibilities under NEPA. Interested persons can
obtain information on the status of EISs and other elements of the NEPA
process by contacting the NASA NEPA Manager at HQ/EMD identified at
http://www.nasa.gov/agency/nepa/NEPATeam.html.
(2) Each NASA Center has an environmental management office that
guides and supports the working-level functions of the NEPA process,
such as evaluating proposed actions; developing, reviewing, and
approving required documentation; and advising project managers.
(b) The Responsible Official shall ensure that planning and decision
making for each proposed Agency action complies with these regulations
and with Agency NEPA policy and guidance provided by the SEO, HQ/EMD,
and the Center's environmental management office. For facility programs
and projects, the Responsible Official is the individual responsible for
establishing, developing, and maintaining the institutional capabilities
required for the execution of programs and projects (e.g., Center
Director, facility manager). For other programs and projects, (e.g.,
space flight programs/projects, R&D programs/projects) the Responsible
Official is the NASA official responsible for the formulation and
implementation of the program or project (e.g., The Associate
Administrator for Science Mission Directorate, Center Director).
(c) NASA must comply with this subpart when considering issuance of
a permit, lease, easement, or grant to a non-Federal party and may seek
such non-Federal party's assistance in obtaining necessary information
and completing the NEPA process. The Responsible Official(s) for such
action(s), in consultation with HQ/EMD and/or the Center's environmental
management office, will determine the type of environmental information
needed from the non-Federal party and the extent of the non-Federal
party's participation in the necessary NEPA process.

Sec. 1216.303 NEPA process in NASA planning and decision making.

(a) NEPA requires the systematic examination of the environmental
consequences of implementing a proposed Agency action. Full integration
of the NEPA process with NASA project and program planning improves
Agency decisions and ensures that:
(1) Planning and decision making support NASA's strategic plan
commitment to sustainability and environmental stewardship and comply
with applicable environmental statutes, regulations, and policies.
(2) The public is appropriately engaged in the decision-making
process.
(3) Procedural risks and delays are minimized.
(b) Determining the appropriate level of NEPA review and
documentation for a proposed NASA action will depend upon the scope of
the action and the context and intensity of the reasonably foreseeable
environmental impacts.
(c) The environmental impacts of a proposed Agency action must be
considered, along with technical, economic, and other factors that are
reasonably foreseeable, beginning in the early planning stage of a
proposed action. NASA will take no action which would have an adverse
environmental impact or limit the choice of reasonable alternatives
prior to completion of its NEPA review.

[[Page 104]]

Sec. 1216.304 Categorical exclusions.

(a) Categorical Exclusions (CatExs) are categories of Agency actions
with no individually or cumulatively significant impact on the human
environment and for which neither an EA nor an EIS is required. The use
of a CatEx is intended to reduce paperwork, improve Government
efficiency, and eliminate delays in the initiation and completion of
proposed actions having no significant impact.
(b) A proposed action may be categorically excluded if the action
fits within a category of actions eligible for exclusion (such
categories are listed in paragraph (d) of this section)), and the
proposed action does not involve any extraordinary circumstances as
described in paragraph (c) of this section:
(c) Extraordinary circumstances that will preclude the use of CatExs
occur when the proposed action:
(1) Has a reasonable likelihood of having (individually or
cumulatively) significant impacts on public health, safety, or the
environment.
(2) Imposes uncertain or unique environmental risks.
(3) Is of significantly greater scope or size than is normal for
this category of action.
(4) Has a reasonable likelihood of violating Federal, federally
recognized Indian tribe, State, and/or local law or requirements imposed
for the protection of the environment.
(5) Involves impacts on the quality of the environment that are
likely to be environmentally controversial.
(6) May adversely affect environmentally sensitive resources, such
as, but not limited to, federally listed threatened or endangered
species, their designated critical habitat, wilderness areas,
floodplains, wetlands, aquifer recharge areas, coastal zones, wild and
scenic rivers, and significant fish or wildlife habitat, unless the
impact has been resolved through another environmental review process;
e.g., the Clean Water Act (CWA), the Coastal Zone Management Act (CZMA).
(7) May adversely affect known national natural landmarks, or
cultural or historic resources, including, but not limited to, property
listed on or eligible for the National Register of Historic Places,
unless the impact has been resolved through another environmental review
process; e.g., the National Historic Preservation Act (NHPA).
(d) Specific NASA actions meeting the criteria for being
categorically excluded from the requirements for EAs and EISs are as
follows:
(1) Administrative Activities including:
(i) Personnel actions, organizational changes, and procurement of
routine goods and services.
(ii) Issuance of procedural rules, manuals, directives, and
requirements.
(iii) Program budget proposals, disbursements, and transfer or
reprogramming of funds.
(iv) Preparation of documents, including design and feasibility
studies, analytical supply and demand studies, reports and
recommendations, master and strategic plans, and other advisory
documents.
(v) Information-gathering exercises, such as inventories, audits,
studies, and field studies, including water sampling, cultural resources
surveys, biological surveys, geologic surveys, modeling or simulations,
and routine data collection and analysis activities.
(vi) Preparation and dissemination of information, including
document mailings, publications, classroom materials, conferences,
speaking engagements, Web sites, and other educational/informational
activities.
(vii) Software development, data analysis, and/or testing, including
computer modeling.
(viii) Interpretations, amendments, and modifications to contracts,
grants, or other awards.
(2) Operations and Management Activities including:
(i) Routine maintenance, minor construction or rehabilitation, minor
demolition, minor modification, minor repair, and continuing or altered
operations at, or of, existing NASA or NASA-funded or -approved
facilities and equipment, such as buildings, roads, grounds, utilities,
communication systems, and ground support systems, such as space
tracking and data systems.
(ii) Installation or removal of equipment, including component
parts, at

[[Page 105]]

existing Government or private facilities.
(iii) Contribution of equipment, software, technical advice,
exchange of data, and consultation to other agencies and public and
private entities, where such assistance does not control a receiving
entity's program, project, or activity.
(iv) NASA ceremonies, commemorative events, and memorial services.
(v) Routine packaging, labeling, storage, and transportation of
hazardous materials and wastes, in accordance with applicable Federal,
federally recognized Indian tribe, State, and/or local law or
requirements.
(3) Research and Development (R&D) Activities including:
(i) Research, development, and testing in compliance with all
applicable Federal, federally recognized Indian tribe, State, and/or
local law or requirements and Executive orders.
(ii) Use of small quantities of radioactive materials in a
laboratory or in the field. Uses include material for instrument
detectors, calibration, and other purposes. Materials must be licensed,
as required, and properly contained and shielded.
(iii) Use of lasers for research and development, scientific
instruments and measurements, and distance and ranging, where such use
meets all applicable Federal, federally recognized Indian tribe, State,
and/or local law or requirements, and Executive orders. This applies to
lasers used in spacecraft, aircraft, laboratories, watercraft, or
outdoor activities.
(4) Real and Personal Property Activities including:
(i) Acquisition, transfer, or disposal of any personal property, or
personal property rights or interests.
(ii) Granting or acceptance of easements, leases, licenses, rights-
of-entry, and permits to use NASA-controlled property, or any other real
property, for activities which, if conducted by NASA, would be
categorically excluded in accordance with this section. This assumes
that NASA has included any required notices in transfer documentation
and any terms and conditions necessary to ensure protection of the
environment, as applicable (Record of Environmental Consideration (REC)
required).
(iii) Transfer or disposal of real property or real property rights
or interests if the change in use is one which, if conducted by NASA,
would be categorically excluded in accordance with this section (REC
required).
(iv) Transfer of real property administrative control to another
Federal agency, including the return of public domain lands to the
Department of the Interior (DoI) or other Federal agencies, and
reporting of property as excess and surplus to the General Services
Administration (GSA) for disposal, when the agency receiving
administrative control (or GSA, following receipt of a report of excess)
will complete any necessary NEPA review prior to any change in land use
(REC required).
(v) Acquisition of real property (including facilities) where the
land use will not change substantially (REC required).
(5) Aircraft and Airfield Activities including:
(i) Periodic aircraft flight activities, including training and
research and development, which are routine and comply with applicable
Federal, federally recognized Indian tribe, State, and/or local law or
requirements, and Executive orders.
(ii) Relocation of similar aircraft not resulting in a substantial
increase in total flying hours, number of aircraft operations,
operational parameters (e.g., noise), or permanent personnel or
logistics support requirements at the receiving installation (REC
required).
(e) The Responsible Official shall review the proposed action in its
early planning stage and will consider the scope of the action and the
context and intensity of any environmental impacts to determine whether
there are extraordinary circumstances that could result in environmental
impacts. If extraordinary circumstances exist, the Responsible Official
will either withdraw the proposed action or initiate an EA or EIS.
(f) The NASA SEO will review the categorical exclusions at least
every seven years, in accordance with CEQ guidance, to determine whether
modifications, additions, or deletions are

[[Page 106]]

appropriate, based upon NASA's experience. Recommendations for
modifications, additions, or deletions shall be submitted to the SEO for
consideration and informal discussion with the CEQ.

Sec. 1216.305 Actions requiring environmental assessments.

(a) The Responsible Official will prepare an EA when a proposed
action cannot be categorically excluded, and the proposed action is not
expected to result in impacts that require analysis in an EIS. The
Responsible Official will consider the scope of the action and the
context and intensity of any environmental impacts when determining
whether to prepare an EA.
(b) Typical NASA actions normally requiring an EA include:
(1) Specific spacecraft development and space flight projects/
programs (as defined in Appendix A to this subpart).
(2) Actions altering the ongoing operations at a NASA Center which
could lead directly, indirectly, or cumulatively to substantial natural
or physical environmental impacts.
(3) Construction or modifications of facilities which are not minor.
(4) Proposed actions that are expected to result in significant
changes to established land use.
(5) A space flight project/program that would return
extraterrestrial samples to Earth from solar system bodies (such as
asteroids, comets, planets, dwarf planets, and planetary moons), which
would likely receive an Unrestricted Earth Return categorization (as
defined in Appendix A to this subpart) from NASA's Planetary Protection
Office (PPO) or the NASA Planetary Protection Subcommittee prior to the
return of samples to the Earth.

Sec. 1216.306 Actions normally requiring an EIS.

(a) NASA will prepare an EIS for actions with the potential to
significantly impact the quality of the human environment, including
actions for which an EA analysis demonstrates that significant impacts
will potentially occur which will not be reduced or eliminated by
changes to the proposed action or mitigation of its potentially
significant impacts.
(b) Typical NASA actions normally requiring an EIS include:
(1) Development and operation of new launch vehicles or space
transportation systems.
(2) [Reserved]
(c) Development and operation of a space flight project/program
which would launch and operate a nuclear reactor or radioisotope power
systems and devices using a total quantity of radioactive material
greater than the quantity for which the NASA Nuclear Flight Safety
Assurance Manager may grant nuclear safety launch approval (i.e., a
total quantity of radioactive material for which the A2 Mission Multiple
(see definitions in Appendix A to this subpart) is greater than 10)).
(d) Development and operation of a space flight project/program
which would return samples to Earth from solar system bodies (such as
asteroids, comets, planets, dwarf planets, and planetary moons), which
would likely receive a Restricted Earth Return categorization (as
defined in Appendix A to this subpart) from the NASA Planetary
Protection Office or the NASA Planetary Protection Subcommittee.
(e) Substantial modification of a NASA facility's master plan in a
manner expected to result in significant effect(s) on the quality of the
human environment.
(f) Substantial construction projects expected to result in
significant effect(s) on the quality of the human environment, when such
construction and its effects are not within the scope of an existing
master plan and EIS.

Sec. 1216.307 Programmatic EAs, and EISs, and tiering.

NASA encourages the analysis of actions at the programmatic level
for those programs similar in nature or broad in scope. Programmatic
NEPA analyses may take place in the form of an EA or EIS. These
documents allow ``tiering'' of NEPA documentation for subsequent or
specific actions.

Sec. 1216.308 Supplemental EAs and EISs.

As detailed in CEQ regulations, supplemental documentation may be
required for previous EAs or EISs (see 40 CFR 1502.9). If changed
circumstances require preparation of a supplemental

[[Page 107]]

EA or EIS, such document will be prepared following the same general
process as the original EA or EIS. No new scoping is required for a
supplemental EIS; however, NASA may choose to conduct scoping.

Sec. 1216.309 Mitigation and monitoring.

When the analysis proceeds to an EA or EIS and mitigation measures
are selected to avoid or reduce environmental impacts, such mitigation
measures will be identified in the EA/FONSI or the EIS Record of
Decision (ROD). NASA will implement mitigation measures (including
adaptive management strategies, where appropriate) consistent with
applicable FONSIs and/or RODs and will monitor their implementation and
effectiveness. The Responsible Official will ensure that funding
requests for such mitigation measures are included in the program or
project budget.

Sec. 1216.310 Classified actions.

(a) Classification does not relieve NASA of the requirement to
assess, document, and consider the environmental impacts of a proposed
action.
(b) When classified information can reasonably be separated from
other information and a meaningful environmental analysis can be
produced, unclassified documents will be prepared and processed in
accordance with these regulations. Classified portions will be kept
separate and provided to properly cleared reviewers and decision makers
in the form of a properly classified document that meets the
requirements of these regulations to the extent permitted, given such
classification.

Sec. 1216.311 Emergency responses.

(a) When the Responsible Official determines that an emergency
exists that makes it necessary to take urgently needed actions before
preparing a NEPA analysis and any required documentation, in accordance
with the provisions in Secs. 1216.305 and 1216.307 of this subpart, then
the following provisions apply:
(1) The Responsible Official may take urgently needed actions that
are necessary to control the immediate impacts of the emergency needed
to mitigate harm to life, property, or resources. When taking such
actions, the Responsible Official shall, to the extent practical,
mitigate foreseeable adverse environmental impacts.
(2) [Reserved]
(b) At the earliest practicable time, the Responsible Official shall
also notify the SEO of the emergency situation and the action(s) taken.
The SEO will determine the appropriate NEPA action associated with the
urgent actions taken as a result of the emergency. If the urgent actions
will reasonably result in significant environmental impacts, the SEO
will consult with the CEQ to ensure compliance with 40 CFR 1506.11 as
soon as is reasonable.
(c) If the Responsible Official proposes emergency actions which
continue beyond the urgent actions taken as a result of the emergency,
and these actions are not categorically excluded, the Responsible
Official will consult with the SEO to determine the appropriate level of
NEPA compliance. If continuation of the emergency actions will
reasonably result in significant environmental impacts, the SEO will
consult with the CEQ to ensure compliance with 40 CFR 1506.11 as soon as
is reasonable.

Sec. Appendix A to Subpart 1216.3 of Part 1216--Acronyms and Definitions

CatEx Categorical Exclusion
CEQ Council on Environmental Quality
CFR Code of Federal Regulations
CWA Clean Water Act
CZMA Coastal Zone Management Act
DoI (U.S.) Department of the Interior
EA Environmental Assessment
EMD Environmental Management Division
EIS Environmental Impact Statement
FONSI Finding of No Significant Impact
FR Federal Register
GSA General Services Administration
NEPA National Environmental Policy Act
NHPA National Historic Preservation Act
SEO Senior Environmental Official
OGC Office of the General Counsel
PPO Planetary Protection Office
REC Record of Environmental Consideration
ROD Record of Decision
U.S.C. United States Code

Definitions

1. A2 Mission Multiple--The A2 Mission Multiple is a calculated value
based on the total amount of radioactive material being launched. This
value is used in defining the

[[Page 108]]

level of review and approval required for launch.
2. Earth Return Mission (also known as a Sample Return)--A subcategory
of missions that would collect extraterrestrial materials from solar
system bodies and return them to Earth.
3. NASA Senior Environmental Official--The Senior NASA Headquarters
Official responsible for providing executive and functional leadership
for environmental compliance. As of January 1, 2011, the SEO is the
Assistant Administrator for Strategic Infrastructure.
4. Record of Environmental Consideration--A brief document that is used
to describe a proposed action, identify the applicable categorical
exclusion, and explain why further environmental analysis is not
required.
5. Restricted Earth Return--A subcategory of Earth Return Missions which
requires additional measures to ensure that any potential indigenous
life form would be contained so that it could not impact humans or
Earth's environment.
6. Space Flight Projects/Programs--Those NASA actions that develop
products intended for use in space and/or that support ground and space
operations for products in space.
7. Unrestricted Earth Return--NASA Procedural Requirements define this
as a subcategory of Earth Return Missions that would collect
extraterrestrial materials from solar system bodies (deemed by
scientific opinion to have no indigenous life forms) and return those
samples to Earth. No planetary protection measures are required for the
inbound (return to Earth) phase of the mission.

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

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

Authority: 51 U.S.C. 20113; Proclamation No. 6780 of March 23, 1995,
60 FR 15845.

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

Sec. 1217.100 Scope.

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

Sec. 1217.101 Applicability.

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

Sec. 1217.102 Background.

In order to encourage and facilitate the use of NASA's launch
services for the exploration and use of space, section 116 of Public Law
97-446 provided for the duty-free entry into the United States of
certain articles imported by NASA for its space-related activities or
articles imported by another person or entity for the purpose of meeting
its obligations under a launch services agreement with NASA. Such
articles were certified by NASA to the Commissioner of Customs for duty-
free entry to be launched into space or space parts or necessary and
uniquely associated support equipment for use in connection with a
launch into space. This exemption from duty was provided for in
Subheading 9808.00.80, Harmonized Tariff Schedule of the United States
(HTSUS) (19 U.S.C. 1202). Also, HTSUS, Chapter VIII, U.S. note 1,
pursuant to the same law, provided that return of articles by NASA from
space to the United States would not be considered an importation, and
similarly not be subject to a duty.

[[Page 109]]

As a result of the Uruguay Round agreements of the 1994 General
Agreement on Tariffs and Trade, this authority was revised and expanded
in scope. It now provides that imports of articles for NASA's use and
articles imported to implement NASA's international programs, including
articles to be launched into space, parts thereof, ground support
equipment, and uniquely associated equipment for use in connection with
NASA's international programs and launch service agreements would be
eligible for duty-free customs entry upon certification by NASA to the
Commissioner of Customs. The revised authorities also provided, in U.S.
note 1 to subchapter VIII of chapter 98 of the HTSUS, that articles
brought into the customs territory of the United States by NASA from
space or from a foreign country as part of a NASA's international
programs would not be considered imports or subject to customs entry
requirements.

Sec. 1217.103 Authority to certify.

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

[62 FR 6467, Feb. 12, 1997, as amended at 80 FR 45865, Aug. 3, 2015]

Sec. 1217.104 Certification forms.

To the extent an authorized NASA official approves a request for
certification, that official shall sign a certificate in the following
form:

[[Page 110]]

(a) For articles procured by NASA, a Customs Service Form CF 7501
(Entry Summary) shall be completed, and the following certification
shall be used:

Articles for the National Aeronautics and Space Administration

Item 9808.00.80, Harmonized Tariff Schedule of the United States

Program:________________________________________________________________

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

Name____________________________________________________________________

Date____________________________________________________________________

(b) For articles imported by NASA to implement international
programs of NASA to which NASA will take title, or which remain the
property of foreign entities under such programs, no entry is required
pursuant to U.S. note 1 to HTSUS subchapter VIII of chapter 98. For such
articles, the following certification shall be used:

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

Item 9808.00.80, Harmonized Tariff Schedule of the United States

Program:________________________________________________________________

Foreign Owner(s) (if applicable):_______________________________________

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

Name____________________________________________________________________

Date____________________________________________________________________

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

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

Name____________________________________________________________________

Date____________________________________________________________________

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

Sec. 1217.105 Procedures.

(a) Requests for certification shall be forwarded to an appropriate
NASA official or designee as provided for in Sec. 1217.103 of this part.
(b) Each request for certification shall be accompanied by:
(1) A proposed certificate as provided for in Sec. 1217.104 of this
part;
(2) The information and documentation required by 19 CFR 10.102(a),
including invoice documentation or a description of covered articles;
and
(3) The anticipated date of entry of entry and port of entry for
each article. If the article is to be transported

[[Page 111]]

in bond from the port of arrival to another port of entry in the United
States, identify both ports.
(c) The signed certificate and its attachment(s) will be forwarded
to the NASA Installation responsible for duty-free entry of the
materials, unless issued at such Installation by an authorized official
in accordance with Sec. 1217.103(c) of this part. These documents shall
be presented to an appropriated Customs official at the port(s) of
entry. The procedures specified in 19 CFR 10.102 will be followed by the
NASA Installation in obtaining duty-free entry at the Customs port(s) of
entry. The NASA Installation should ensure that, at the time the
articles are to be released after Customs entry, the custody of the
imported articles is transferred directly from the carrier or from the
U.S. Customs Service to the NASA Installation, its agent, or the launch
service customer in the case of a Launch and Associated Services
Agreement.
(d) If articles procured under contract by NASA are imported prior
to compliance with these procedures and it is essential that the
articles be released from Customs custody prior to such compliance, the
procedures outlined in 19 CFR 10.101 may be followed by cognizant NASA
officials to secure the release of the articles from Customs custody. To
the extent applicable, the procedures in Sec. 1217.105 of this part
shall be followed when time permits to obtain duty-free entry for the
articles released from Customs custody.

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

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

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

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

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

Subpart 1221.2_The Congressional Space Medal of Honor

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

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

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

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

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

[[Page 112]]

Sec. 1221.100 Scope.

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

Sec. 1221.101 Policy.

(a) The NASA Seal, the NASA Insignia, NASA Logotype, NASA Program
Identifiers, the NASA Flags, and the Agency's Unified Visual
Communications System, as prescribed in Sec. 1221.102 through
Sec. 1221.108 of this subpart, shall be used exclusively to represent
NASA, its programs, projects, functions, activities, or elements. The
use of any devices other than those provided by or subsequently approved
in accordance with the provisions of this subpart is prohibited.
(b) The use of the devices prescribed in this section shall be
governed by the provisions of this subpart. The use of the devices
prescribed in this section for any purpose other than as authorized by
this subpart is prohibited. Their misuse shall be subject to the
penalties authorized by statute, as set forth in Sec. 1221.115 and shall
be reported as provided in Sec. 1221.116.
(c) Any proposal for a new NASA Insignia, NASA Logotype, NASA
Program Identifier, or for modification to those prescribed in this
section shall be processed in accordance with Sec. 1221.114.

Sec. 1221.102 Establishment of the NASA Seal.

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

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[GRAPHIC] [TIFF OMITTED] TC09SE91.009

Sec. 1221.103 Establishment of the NASA Insignia.

The NASA Insignia was designed by the Army Institute of Heraldry and
approved by the Commission of Fine Arts and the NASA Administrator. It
symbolizes NASA's role in aeronautics and space and is established by
the NASA Administrator as the signature and design element for visual
communications formerly reserved for the NASA Logotype. The NASA
Insignia shall be used as set forth in Sec. 1221.110, the NASA Graphics
Standards Manual, NASA Insignia Standards Supplement, and any related
NASA directive or specification approved by the NASA Administrator and
published subsequent hereto.

[[Page 114]]

[GRAPHIC] [TIFF OMITTED] TC09SE91.010

Sec. 1221.104 Establishment of the NASA Logotype.

The NASA Logotype was approved by the Commission of Fine Arts and
the NASA Administrator. It symbolizes NASA's role in aeronautics and
space from 1975 to 1992 and has been retired.

[[Page 115]]

The NASA Logotype shall be used as set forth in Sec. 1221.111.
[GRAPHIC] [TIFF OMITTED] TC09SE91.011

Sec. 1221.105 Establishment of NASA Program Identifiers.

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

Sec. 1221.106 Establishment of the NASA Flag.

The NASA Flags for interior and exterior use were created by the
NASA Administrator in January 1960. Complete design, size, and color of
the NASA interior and exterior flags for manufacturing purposes are
detailed in U.S. Army QMG Drawing 5-1-269, revision September 14, 1960.
The NASA Flags shall be used as set forth in Sec. 1221.113.

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[GRAPHIC] [TIFF OMITTED] TC09SE91.012

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

(a) Concurrently with the establishment of the NASA Flag in January
1960, the NASA Administrator also established NASA Flags to represent
the NASA Administrator, Deputy Administrator, and Associate Deputy
Administrator. Each of these flags conforms to the basic design of the
NASA Flag except for the following:
(1) The size of the flag is 3 feet x 4 feet;
(2) The Administrator's Flag has four stars;

[[Page 117]]

(3) The Deputy Administrator's Flag has three stars; and
(4) The Associate Deputy Administrator's Flag has two stars.
(b) Flags representing these senior officials shall be used as set
forth in Sec. 1221.113.

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

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

Sec. 1221.109 Use of the NASA Seal.

(a) The Associate Deputy Administrator shall be responsible for
custody of the NASA Impression Seal and custody of NASA replica
(plaques) seals. The NASA Seal is restricted to the following:
(1) NASA award certificates and medals.
(2) NASA awards for career service.
(3) Security credentials and employee identification cards.
(4) NASA Administrator's documents; the Seal may be used on
documents such as interagency or intergovernmental agreements and
special reports to the President and Congress, and on other documents,
at the discretion of the NASA Administrator.
(5) Plaques; the design of the NASA Seal may be incorporated in
plaques for display in Agency auditoriums, presentation rooms, lobbies,
offices of senior officials, and on the fronts of buildings occupied by
NASA. A separate NASA seal in the form of a 15-inch, round, bronze-
colored plaque on a walnut-colored wood base is also available, but
prohibited for use in the above representational manner. It is
restricted to use only as a presentation item by the Administrator and
the Deputy Administrator.

[[Page 118]]

(6) The NASA Flag and the NASA Administrator's, Deputy
Administrator's, and Associate Deputy Administrator's Flags, which
incorporate the design of the Seal.
(7) NASA prestige publications which represent the achievements or
missions of NASA as a whole.
(8) Publications (or documents) involving participation by another
Government agency for which the other Government agency has authorized
the use of its seal.
(b) Use of the NASA Seal for any purpose other than as prescribed in
this section is prohibited, except that the Associate Deputy
Administrator may authorize, on a case-by-case basis, the use of the
NASA Seal for purposes other than those prescribed when the Associate
Deputy Administrator deems such use to be appropriate.

Sec. 1221.110 Use of the NASA Insignia.

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

[[Page 119]]

(3) No approval for use of the NASA Insignia will be authorized when
its use can be construed as an endorsement by NASA of a product or
service.
(4) Items bearing the NASA Insignia such as souvenirs, novelties,
toys, models, clothing, and similar items (including items for sale
through the NASA employees' nonappropriated fund activities) may be
manufactured and sold only after the NASA Insignia application has been
submitted to, and approved by, the Associate Administrator for Public
Affairs, or designee, NASA Headquarters, Washington, DC 20546.
(d) Use of the NASA Insignia for any other purpose than as
prescribed in this section is prohibited, except that the Associate
Administrator for Public Affairs may authorize on a case-by-case basis
the use of the NASA Insignia for other purposes when the Associate
Administrator for the Public Affairs deems such use to be appropriate.

Sec. 1221.111 Use of the NASA Logotype.

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

Sec. 1221.112 Use of the NASA Program Identifiers.

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

Sec. 1221.113 Use of the NASA Flags.

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

Sec. 1221.114 Approval of new or change proposals.

(a) Except for NASA Astronaut Mission Crew Badges/Patches, any
proposal to change or modify the emblematic devices set forth in this
subpart or to introduce a new emblematic device other than as prescribed
in this subpart requires the written approval of the NASA Administrator
with prior approval and recommendation of the Director, Public Services
Division.
(b) In addition to the written approval of the NASA Administrator,
any proposal for a new or for a modification to the design of the NASA
Insignia may also be submitted to the Commission of Fine Arts for its
advice as to the merit of the design. If approved in writing by the NASA
Administrator

[[Page 120]]

and advice received from the Commission of Fine Arts, the NASA Insignia
and the use of such NASA Insignia must be prescribed in this subpart and
published in the Federal Register.
(c) Proposals to establish, change, or modify NASA Astronaut Crew
Mission Badges/Patches requires the written approval of the Director,
Flight Crew Operations, Johnson Space Center; Center Director, Johnson
Space Center; and the Associate Administrator for Space Flight. Decals/
patches/badges may be produced as soon as the approval cycle is
completed.

Sec. 1221.115 Violations.

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

Sec. 1221.116 Compliance and enforcement.

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

Subpart 1221.2_The Congressional Space Medal of Honor

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

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

Sec. 1221.200 Scope.

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

Sec. 1221.201 Basis for award of the medal.

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

Sec. 1221.202 Description of the medal.

The description of the Congressional Space Medal of Honor, which was
designed by the Institute of Heraldry, U.S. Army, is set forth in
appendix A to this subpart. Each person awarded the Medal also shall
receive a citation describing the basis for the award.

Sec. 1221.203 Nominations.

(a) Formal nominations for award of the Congressional Space Medal of
Honor on behalf of NASA will be made by the Administrator to the
President.
(b) Any person may recommend to the Administrator that an astronaut
be nominated for award of the Medal. Such a recommendation must be in
writing, and must describe in concise detail the events believed to
warrant award of the Medal. The recommendation should, if appropriate,
be accompanied by supporting documentation,

[[Page 121]]

such as eyewitness statements, extracts from official records, sketches,
photographs, etc.
(c) All recommendations for nominations submitted to the
Administrator or made on his own initiative will be referred to the NASA
Incentive Awards Board for the purpose of investigating and making
findings of fact and giving advice to the Administrator.
(d) Any recommendation involving an astronaut who is a member of the
armed services on active duty or who is employed by another agency of
the Federal Government but temporarily assigned or detailed to NASA
shall also be transmitted to the Secretary of Defense or the head of the
employing agency, as appropriate, for his or her recommendation.
(e) The Administrator will forward to the President his
recommendation, and that of the astronaut's employing agency, as
appropriate.

Sec. 1221.204 Proceedings of the NASA Incentive Awards Board.

The NASA Incentive Awards Board shall thoroughly consider the facts
giving rise to a recommendation for nomination and shall prepare a
report for the Administrator. The Board should, to the extent
practicable, coordinate its efforts with those of the astronaut's
employing agency, as appropriate. Its final report must take into
account any pertinent information submitted by the employing agency.

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

Obverse

description

A circular green enamel wreath of laurel surmounted by a five-
pointed gold star (with vertical point downward) and issuing from
between each point a gold flame, the star surmounted by a light blue
enamel cloud bank with five lobes edged in gold bearing a five-pointed
dark blue enamel star fimbriated gold and charged in center with a
diamond; standing upon the wreath at top center a gold eagle with wings
displayed.

symbolism

The laurel wreath, a symbol of great achievement, with the
overlapping star points, simulates space vehicles moving to greater
accomplishments through space. The flames signify the dynamic energy of
the rocket era and the imagination of the men in the space program of
the United States. The stylized glory cloud alludes to the glory in the
coat of arms of the United States and to the high esteem of the award.
The dark blue voided star symbolizes the vast mysteries of outer space
while the brilliancy of the feat is represented by a diamond. The eagle
with wings raised in the spirit of peace represents man's first landing
on another planet.

Reverse

description

The reverse bears in center the inscription ``CONGRESSIONAL''
arranged in a semicircle above the inscription ``SPACE MEDAL PRESENTED
TO''; in base is space for the name of the recipient and the date all
within an outer circle of fifty stars.

Suspension Ribbon

description

A ribbon 1\3/8\ inches in width consisting of the following vertical
stripes: gold \1/16\ inch, dark blue \1/4\ inch, light blue \9/32\ inch,
white \1/16\ inch, red \1/16\ inch, white \1/16\ inch, light blue \9/32\
inch, dark blue \1/4\ inch, gold \1/16\ inch.

cable nos. of colors
Gold...................................... 65021 (old gold).
Dark Blue................................. 70076 (independence blue).
Blue...................................... 65014 (light blue).
Red....................................... 65006 (scarlet).
White..................................... 65005.

symbolism

The scarlet center line on the white band symbolizes the courage of
the astronauts in the nation's manned space program and the fire power
of rockets that carry the crew through the earth's atmosphere (light
blue); the light blue is the same color as the chief of the shield of
the coat of arms of the United States which appears on the President's
flag. The dark blue symbolizes the hostile environment of space, the
gold edge representing success and accomplishment. Red, white and blue
are also the national colors of the United States.

Miniature

description

A one-half size replica of the medal and suspension ribbon
approximately 2\5/16\ inches in overall length.

Lapel Emblem

description

A miniature of the obverse of the medal, \9/16\ inch in diameter,
all gold with a diamond in center.

[[Page 122]]

Rosette

description

One-half inch in diameter in the colors of the ribbon.

PART 1230_PROTECTION OF HUMAN SUBJECTS--Table of Contents

Sec.
1230.101 Scope.
1230.102 Applicability.
1230.103 Policy.

Authority: 5 U.S.C. 301; 45 CFR part 46.

Source: 79 FR 76059, Dec. 16, 2014, unless otherwise noted.

Sec. 1230.101 Scope.

This Part establishes general policy for the protection of human
subjects, which is of primary importance in the conduct of any human
research, as specified under 5 U.S.C. 301; 45 CFR part 46, subpart A.

Sec. 1230.102 Applicability.

This Part applies to NASA Headquarters and NASA Centers, including
Component Facilities, and Technical and Service Support Centers for all
research involving humans subjects conducted, supported, or otherwise
subject to regulations by any Federal department or agency which takes
appropriate administrative action to make the policy applicable to such
research.

Sec. 1230.103 Policy.

It is the National Aeronautics and Space Administration's (NASA)
policy to comply with 45 CFR part 46, subpart A, Protection of Human
Subjects, which applies to all research conducted involving human
subjects. To implement the provisions of 45 part 46, subpart A, NASA
promulgated the following internal policies and requirements:
(a) NPD 7100.8, Protection of Human Research Subjects, describes the
Agency's policy for human research conducted or supported, whether on
the ground, in aircraft, or in space. NPD 7100.8 can be accessed at
http://nodis3.gsfc.nasa.gov/; and
(b) NPR 7100.1, Protection of Human Research Subjects, describes the
requirements for the Agency to conduct or support research involving
human subjects. NPR 7100.1 can be accessed at http://
nodis3.gsfc.nasa.gov/.

PART 1232_CARE AND USE OF ANIMALS IN THE CONDUCT OF NASA ACTIVITIES
--Table of Contents

Sec.
1232.100 Scope.
1232.101 Applicability.
1232.102 Policy.

Authority: 51 U.S.C. 20102, 51 U.S.C. 20113; Pub. L. 89-544, as
amended; 7 U.S.C. 2131; 39 U.S.C. 3001; and Pub. L. 99-158, Sec. 495.

Source: 78 FR 76059, Dec. 16, 2014, unless otherwise noted.

Sec. 1232.100 Scope.

This part establishes general policy for the care and use of
vertebrate animals in the conduct of NASA activities.

Sec. 1232.101 Applicability.

This part applies to NASA Headquarters and NASA Centers, including
Component Facilities, and Technical and Service Support Centers and will
be followed in all activities using animal subjects that are supported
by NASA and conducted in NASA facilities, aircraft, or spacecraft, or
activities, using animal subject conducted under a contract, grant,
cooperative agreement, memorandum of understanding, or joint endeavor
agreement entered into by NASA and another Government agency, private
entity, non-Federal public entity, or foreign entity which are included
within the scope of this part.

Sec. 1232.102 Policy.

It is the National Aeronautics and Space Administration's (NASA)
policy to comply with the Animal Welfare Act of 1966 (Pub. L. 89-544)
which requires that minimum standards of care and treatment be provided
for certain animals bred for use in research. To implement the
provisions of this Act, NASA promulgated the following internal policies
and requirements:
(a) NASA Policy Directive (NPD) 8910.1, Care and Use of Animals,
describes the policy and responsibilities for conducting activities
involving

[[Page 123]]

vertebrate animals. NPD 8910.1 is accessible at http://
nodis3.gsfc.nasa.gov/; and
(b) NASA Procedural Requirements (NPR) 8910.1, Care and Use of
Animals, delineates the responsibilities and implements requirements for
the Agency's use of animals in research, testing, teaching, and hardware
development activities. NPR 8910.1 is accessible is access at http://
nodis3.gsfc.nasa.gov/.

PART 1240_INVENTIONS AND CONTRIBUTIONS--Table of Contents

Subpart 1_Awards for Scientific and Technical Contributions

Sec.
1240.100 Purpose.
1240.101 Scope.
1240.102 Definitions
1240.103 Criteria.
1240.104 Applications for awards.
1240.105 Special initial awards--NASA and NASA contractor employees.
1240.106 Review and evaluation of contribution.
1240.107 Notification by the Board.
1240.108 Reconsideration.
1240.109 Hearing procedure.
1240.110 Recommendation to, and action by, the Administrator.
1240.111 Release.
1240.112 Presentation of awards.
1240.113 Financial accounting.
1240.114 Delegation of authority.

Authority: Section 20136 of the National Aeronautics and Space Act
(51 U.S.C. 20136), and the Federal Technology Transfer Act of 1986, sec.
12, 15 U.S.C. 3710b(1).

Source: 67 FR 31120, May 9, 2002, unless otherwise noted.

Subpart 1_Awards for Scientific and Technical Contributions

Sec. 1240.100 Purpose.

This subpart prescribes procedures for submitting applications for
monetary awards to the Administrator of NASA for scientific and
technical contributions which have significant value in the conduct of
aeronautical and space activities pursuant to 51 U.S.C. 20136, and
establishes the awards program consistent with the Federal Technology
Transfer Act of 1986, section 12, 15 U.S.C. 3710b(1).

[77 FR 27366, May 10, 2012]

Sec. 1240.101 Scope.

This subpart applies to awards for any scientific or technical
contribution, whether or not patentable, which is determined by the
Administrator after referral to the Inventions and Contributions Board
to have significant value in the conduct of aeronautical and space
activities, upon submission of an application for award to NASA, or upon
the Administrator's own initiative, under 51 U.S.C. 20136.

[77 FR 27366, May 10, 2012]

Sec. 1240.102 Definitions.

As used in this subpart:
(a) Administrator means the Administrator of the National
Aeronautics and Space Administration.
(b) Board means the NASA Inventions and Contributions Board.
(c) Chairperson means the Chairperson of the NASA Inventions and
Contributions Board.
(d) Commercial quality refers to computer software that is not in an
experimental or beta phase of development, that performs in accordance
with its specifications, and includes documentation describing the
software's form and function.
(e) Contract means any contract, agreement, understanding, or other
arrangement with NASA or another Government Agency on NASA's behalf,
including any assignment, substitution of parties, or subcontract
executed or entered into thereunder.
(f) Contractor means the party who has undertaken to perform work
under a contract or subcontract.
(g) Innovation means a mathematical, engineering or scientific
concept, idea, design, process, or product.
(h) Innovator means any person listed as a contributor, inventor, or
author of an innovation.
(i) Invention includes any act, method, process, machine,
manufacture, design, or composition of matter, or any new and useful
improvement thereof, or any variety of plant, which is or may be
patentable under the patent laws of the United States or any foreign
country.
(j) Qualified User means any person that has legally acquired
computer

[[Page 124]]

software and has the right to use it for a legal purpose.
(k) Verified means passing rigorous testing to ascertain whether the
functionality claimed in the innovation's documentation is realized.

[67 FR 31120, May 9, 2002, as amended at 77 FR 27366, May 10, 2012]

Sec. 1240.103 Criteria.

(a) Only those contributions to NASA which have been:
(1) Used in a NASA program or adopted or sponsored or supported by
NASA, and
(2) Found to have significant value in the conduct of aeronautical
and space activities, will be recommended for award under this subpart.
(b) In determining the amount, terms, and conditions of any award,
the following criteria will be considered:
(1) The value of the contribution to the United States;
(2) The aggregate amount of any sums which have been expended by the
applicant for the development of such contribution;
(3) The amount of any compensation (other than salary received for
services rendered as an officer or employee of the Government)
previously received by the applicant for or on account of the use of
such contributions by the United States; and
(4) Such other factors as the Administrator shall determine to be
material.

Sec. 1240.104 Applications for awards.

(a) Eligibility. Applications for award may be submitted by any
person including any individual, partnership, corporation, association,
institution, or other entity. An application for an award under this
section is separate from application for an award under Sec. 1240.105
and may be submitted whether or not the contribution is also eligible
for an award under Sec. 1240.105.
(b) Information required. Applications for award should be addressed
to the Inventions and Contributions Board (herein referred to as the
Board), National Aeronautics and Space Administration, Washington, DC
20546-0001, and will contain:
(1) The name and address of the applicant, the person's relationship
to the contributor if the contribution is made by one other than the
applicant, and the names and addresses of any others having information
as to the value or usage of the contribution;
(2) A complete written description of the contribution, in the
English language, using electronic media, accompanied by drawings,
sketches, diagrams, or photographs illustrating the nature of the
contribution and the technical and scientific principles upon which it
is based, any available test or performance data or observations of
pertinent scientific phenomena, and the aeronautics or space application
of the contribution;
(3) The date and manner of any previous submittal of the
contribution to any other United States Government agency, and the name
of such agency;
(4) The aggregate amount of any sums which have been expended by the
applicant for the development of the contribution;
(5) The nature and extent of any known use of the contribution by
the United States and by any agency of the United States Government;
(6) The amount of any compensation (other than salary received for
services rendered as an officer or employee of the Government)
previously received by the applicant for or on account of the use of
such contribution by the United States;
(7) Identification of any United States and foreign patents applied
for or issued relating to the contribution; and
(8) An agreement to surrender all claims which such applicant may
have for the use of such contribution by the Government.
(c) General. (1) Each contribution will be made the subject of a
separate application in order that each contribution may be evaluated
individually.
(2) Material constituting a possible hazard to safety or requiring
unusual storage facilities should not be submitted, and will not be
accepted. Models or intricate exhibits demonstrating the contribution
will not be accepted unless specifically requested by the Board. In
those few cases where such models or exhibits have been submitted
pursuant to a request made by the Board, the same will be returned to
the

[[Page 125]]

applicant upon written request from the applicant.
(3) It is the policy of the Board to use or disclose information
contained in applications for awards for evaluation purposes only.
Applications for awards submitted with restrictive legends or statements
differing from this policy will be treated in accordance with the
Board's policy.

[67 FR 31120, May 9, 2002, as amended at 77 FR 27366, May 10, 2012]

Sec. 1240.105 Special initial awards--NASA and NASA contractor employees.

(a) Patent Application Awards. (1) When the Board receives written
notice, in the manner prescribed by the Board, from the Agency Counsel
for Intellectual Property or the Patent or Intellectual Property Counsel
at a NASA Center that an invention made by an employee of NASA or a NASA
contractor and reported to NASA in the manner prescribed by the Board is
eligible for a patent application award, the Board may recommend to the
Administrator or a designee that an award be made, including a specific
recommended amount and distribution thereof for any multiple inventors,
so long as the following eligibility conditions have been met:
(i) A nonprovisional U.S. patent application has been filed covering
the invention and NASA has either an ownership interest in the invention
or an irrevocable, royalty-free, license to practice the invention, or
have the invention practiced for or on its behalf, throughout the world,
or the invention has been assigned by NASA to a contractor under 35
U.S.C. 202(e); or
(ii) A continuation-in-part or divisional patent has been issued
based on a patent application that is eligible for an award under
paragraph (a)(1)(i) of this section.
(2) No additional award will be given for a continuation patent
application where an award was authorized for the parent application and
the parent application will be or has been abandoned. In addition,
awards will not be granted for provisional applications under 35 U.S.C.
111(b) or reissue applications under 35 U.S.C. 251.
(b) Software Release Awards. (1) When the Board receives written
notice, in the manner prescribed by the procedures of the Board, that a
NASA Center has approved the initial (first) release to a qualified user
of a software package based on a software innovation made by an employee
of NASA or a NASA contractor and reported to NASA in the manner
prescribed by the procedures of the Board, the Board may recommend to
the Administrator or designee that an award be made, including a
specific amount and distribution thereof for any multiple innovators, so
long as the following conditions have been met:
(i) NASA has either an ownership interest in the software or an
irrevocable, royalty-free, license to reproduce, prepare derivative
works, distribute, perform and display the software, throughout the
world for governmental purposes;
(ii) The software is of commercial quality as defined in
Sec. 1240.102; and
(iii) The software has been verified to perform the functions
claimed in its documentation on the platform for which it was designed
without harm to the systems or data contained within.
(2) Software that is the subject of a software release award is not
eligible to receive a Tech Brief award based upon the publication of an
announcement of availability in ``NASA Tech Briefs.''
(3) Software release awards for modifications made to software for
which the innovators have already received an initial software release
award will be at the discretion of the Administrator or his designee,
upon recommendation by the Board.
(c) Tech Briefs Awards. When the Board receives written notice, in
the manner and format prescribed by the procedures of the Board, that a
NASA Center has approved for publication a NASA Tech Brief based on an
innovation made by an employee of NASA or a NASA contractor and reported
to NASA in the manner and form prescribed by the procedures of the
Board, the Board may recommend to the Administrator or designee that an
award be made, including a specific amount and distribution thereof for
any multiple innovators.

[[Page 126]]

(d) When a Patent Application Award, a Software Release Award, and a
Tech Brief Award have been authorized for the same contribution, the
awards will be cumulative.

[77 FR 27366, May 10, 2012]

Sec. 1240.106 Review and evaluation of contribution.

(a) A contribution will be initially reviewed by the Board on the
basis of the material submitted by the applicant under Sec. 1240.104(b).
(b) If it is determined that the contribution has been used in a
NASA program, or adopted or sponsored or supported by NASA, the
contribution will be evaluated for its significant value in the conduct
of aeronautical or space activity.
(c) The Board will recommend an award for such contribution when,
upon evaluation of its scientific and technical merits, it is determined
to warrant an award of at least $500.

Sec. 1240.107 Notification by the Board.

(a) With respect to each completed application where the Board has
recommended to the Administrator the granting of an award, and the
Administrator has approved such award, the Board will notify the
applicant of the amount and terms of the award. In the case of NASA
employees or employees of NASA contractors, such notification will
normally be made through the appropriate NASA field installation
representative.
(b) Except for applications from NASA employees or employees of NASA
contractors, where the Board does not propose to recommend to the
Administrator the granting of an award, a notification will be provided
which includes a brief statement of the reasons for such decision.

Sec. 1240.108 Reconsideration.

(a) With respect to each completed application, in those cases where
the Board does not recommend an award, the applicant may, within such
period as the Board may set but in no event less than 30 days from
notification, request reconsideration of the Board's decision.
(b) If reconsideration has been requested within the prescribed
time, the applicant will, within 30 days from the date of the request
for reconsideration, or within any other time as the Board may set, file
its statement setting forth the issues, points, authorities, arguments,
and any additional material on which it relies.
(c) Upon filing of the reconsideration statement by the applicant,
the case will be assigned for reconsideration by the Board upon the
contents of the application, the record, and the reconsideration
statement submitted by the applicant.
(d) If after reconsideration, the Board again does not propose to
recommend the granting of an award, the applicant, after such
notification by the Board, may request an oral hearing within the time
set by the Board.
(e) An oral hearing without reconsideration may be granted upon
determination of the Chairperson that good cause exists to do so.

[67 FR 31120, May 9, 2002, as amended at 77 FR 27367, May 10, 2012]

Sec. 1240.109 Hearing procedure.

(a) An Oral hearing held by the Board will be in accordance with the
following procedures:
(1) If the applicant requests a hearing within the time set in
accordance with Sec. 1240.108(d) or (e), the Board will set a place and
date for such hearing and notify the applicant.
(2) The applicant may be represented by an attorney or any other
appropriately designated person.
(3) Hearings will be open to the public unless the applicant
requests that a closed hearing be held.
(4) Hearings may be held before the full membership of the Board or
before any panel of Board members designated by the Chairperson.
(5) Hearings will be conducted in an informal manner with the
objective of providing the applicant with a full opportunity to present
evidence and arguments in support of the application. Evidence may be
presented through means of such witnesses, exhibits, and visual aids as
are arranged for by the applicant. While proceedings will be ex parte,
members of the Board and its counsel may address questions to witnesses
called by the applicant, and the

[[Page 127]]

Board may, at its option, utilize the assistance and testimony of
technical advisors or other experts.
(6) Subject to the provisions of Sec. 1240.104(c)(2), the applicant
will submit a copy of any exhibit or visual aid utilized unless
otherwise directed by the Board. The Board may, at its discretion,
arrange for a written transcript of the proceedings and a copy of such
transcript will be made available by the recorder for purchase by the
applicant.
(7) No funds are available to defray traveling expenses or any other
cost incurred by the applicant.

Sec. 1240.110 Recommendation to, and action by, the Administrator.

(a) Upon a determination by the Board that a contribution merits an
award, the Board will recommend to the Administrator or a designee the
terms and conditions of the proposed award, including a specific amount
and distribution thereof for any multiple contributors. The
recommendation of the Board to the Administrator or designee will
reflect the views of the majority of the Board members. Dissenting views
may be transmitted with the majority opinion.
(b) The granting, denying or modification of any Board recommended
award under this subpart will be at the sole discretion of the
Administrator or his designee, who will determine the final terms and
conditions of each award after consideration of the criteria in
Sec. 1240.103.
(c) In addition, the Board may recommend, and the Administrator or
his designee may grant, non-monetary awards under other applicable laws
and regulations.

[67 FR 31120, May 9, 2002, as amended at 77 FR 27367, May 10, 2012]

Sec. 1240.111 Release

Under subsection 20136(c) of the National Aeronautics and Space Act,
no award will be made to an applicant unless the applicant submits a
duly executed release, in a form specified by the Administrator, of all
claims the applicant may have to receive any compensation (other than
the award recommended) from the United States Government for use of the
contribution or any element thereof at any time by or on behalf of the
United States, or by or on behalf of any foreign government pursuant to
any existing or future treaty or agreement with the United States,
within the United States, or at any other place.

[77 FR 27367, May 10, 2012]

Sec. 1240.112 Presentation of awards.

(a) Written acknowledgments to employees of NASA receiving awards
will be provided by the appropriate Official-in-Charge at the
Headquarters Office, by the Director of the cognizant NASA Center, or by
a designee.
(b) Written acknowledgments to employees of NASA contractors
receiving awards will be forwarded to contractor officials for suitable
presentation.
(c) Monetary awards will be paid by check or electronic funds
transfer.

[77 FR 27367, May 10, 2012]

Sec. 1240.113 Financial accounting.

NASA shall provide for appropriate database and accounting system(s)
to ensure that award payments are recorded and disbursed in an orderly
fashion and in the proper amounts to proper awardees.

[77 FR 27367, May 10, 2012]

Sec. 1240.114 Delegation of authority.

(a) The Chairperson, Inventions and Contributions Board, is
delegated authority to approve and execute grants of awards for
significant scientific or technical contributions not exceeding $2,000
per contributor, when in accordance with the recommendation of the Board
and in conformity with applicable law and regulations.
(b) The Chairperson, Inventions and Contributions Board, is
delegated authority to approve and execute grants of awards not
exceeding $2,000 per awardee, upon the notification that:
(1) A Patent Application Award has been recommended by the Board
pursuant to Sec. 1240.105(a);
(2) A Software Release Award has been recommended by the Board
pursuant to Sec. 1240.105(b); or

[[Page 128]]

(3) A Tech Briefs Award has been recommended by the Board pursuant
to Sec. 1240.105(c).

[77 FR 27367, May 10, 2012]

PART 1241 [RESERVED]

PART 1245_PATENTS AND OTHER INTELLECTUAL PROPERTY RIGHTS
--Table of Contents

Subpart 1_Patent Waiver Regulations

Sec.
1245.100 Scope.
1245.101 Applicability.
1245.102 Definitions and terms.
1245.103 Policy.
1245.104 Advance waivers.
1245.105 Waiver after reporting inventions.
1245.106 Waiver of foreign rights.
1245.107 Reservations.
1245.108 License to contractor.
1245.109 Assignment of title to NASA.
1245.110 Content of petitions.
1245.111 Submission of petitions.
1245.112 Notice of proposed Board action and reconsideration.
1245.113 Hearing procedure.
1245.114 Findings and recommendations of the Board.
1245.115 Action by the Administrator.
1245.116 Miscellaneous provisions.
1245.117 March-in and waiver revocation procedures.
1245.118 Record of decisions.

Subpart 2_Claims for Patent and Copyright Infringement

1245.200 Purpose.
1245.201 Objectives.
1245.202 Contents of communication initiating claim.
1245.203 Incomplete notice of infringement.
1245.204 Indirect notice of infringement.
1245.205 Processing of administrative claims.

Subpart 3_NASA Foreign Patent Program

1245.300 Scope of subpart.
1245.301 Inventions under NASA contracts.
1245.302 Inventions by NASA employees.
1245.303 Criteria.
1245.304 Procedures.

Subparts 4-5 [Reserved]

Subpart 1_Patent Waiver Regulations

Authority: 51 U.S.C. 20135, 35 U.S.C. 200 et seq.

Source: 52 FR 43748, Nov. 16, 1987, unless otherwise noted.

Sec. 1245.100 Scope.

This subpart prescribes regulations for the waiver of rights of the
Government of the United States to inventions made under NASA contract
in conformity with section 20135 of the National Aeronautics and Space
Act (51 U.S.C. Chapter 201).

[80 FR 19197, Apr. 10, 2015]

Sec. 1245.101 Applicability.

The provisions of the subpart apply to all inventions made or which
may be made under conditions enabling the Administrator to determine
that the rights therein reside in the Government of the United States
under section 20135(b)(1) of the National Aeronautics and Space Act, 51
U.S.C. 20135(b)(1). The provisions do not apply to inventions made under
any contract, grant, or cooperative agreement with a nonprofit
organization or small business firm that are afforded the disposition of
rights as provided in 35 U.S.C. 200-204 (Pub. L. 96-517, 94 Stat. 3019,
3020, 3022 and 3023; and Pub. L. 98-620, 98 Stat. 3364-3367).

[80 FR 19197, Apr. 10, 2015]

Sec. 1245.102 Definitions and terms.

As used in this subpart:
(a) Contract means any actual or proposed contract, agreement,
understanding, or other arrangement with the National Aeronautics and
Space Administration (NASA) or another Government agency on NASA's
behalf, including any assignment, substitution of parties, or
subcontract executed or entered into thereunder, and including NASA
grants awarded under the authority of 42 U.S.C. 1891-1893.
(b) Contractor means the party who has undertaken to perform work
under a contract or subcontract.
(c) Invention means any, new and useful process, machine,
manufacture, or composition of matter, or any new and useful improvement
thereof, or any variety of plant, which is or may be patentable under
the Patent Laws of the United States of America or any foreign country.

[[Page 129]]

(d) Class of inventions means inventions directed to a particular
process, machine, manufacture, or composition of matter, or to a
narrowly drawn, focused area of technology.
(e) Made, when used in relation to any invention, means the
conception or first actual reduction to practice of such invention.
(f) Practical application means to manufacture in the case of a
composition or product, to practice in the case of a process or method,
or to operate in the case of a machine or system; and, in each case,
under such conditions as to establish that the invention is being
utilized and that its benefits are to the extent permitted by law or
Government regulations available to the public on reasonable terms.
(g) Board means the NASA Inventions and Contributions Board
established by the Administrator of NASA within the Administration under
section 305(f) of the National Aeronautics and Space Act of 1958, as
amended (42 U.S.C. 2457(f)).
(h) Chairperson means Chairperson of the NASA Inventions and
Contributions Board.
(i) Petitioner means a contractor or prospective contractor who
requests that the Administrator waive rights in an invention or class of
inventions made or which may be made under a NASA contract. In the case
of an identified invention, the petitioner may be the inventor(s).
(j) Government agency includes any executive department, independent
commission, board, office, agency, administration, authority, Government
corporation, or other Government establishment of the executive branch
of the Government of the United States of America.
(k) Administrator means the Administrator of the National
Aeronautics and Space Administration or the Administrator's duly
authorized representative.

[52 FR 43748, Nov. 16, 1987, as amended at 80 FR 19198, Apr. 10, 2015]

Sec. 1245.103 Policy.

(a) In implementing the provisions of section 20135(g) of the
National Aeronautics and Space Act (51 U.S.C. Chapter 201), and in
determining when the interests of the United States would be served by
waiver of all or any part of the rights of the United States in an
invention or class of inventions made in the performance of work under
NASA contracts, the Administrator will be guided by the objectives set
forth in the National Aeronautics and Space Act, by the basic policy of
the Presidential Memorandum and Statement of Government Patent Policy to
the Heads of the Executive Departments and agencies dated February 18,
1983, by the goals and objectives of its current Authorization Act,
Strategic Plan, and other pertinent National policies or laws, such as
the National Space Policy of the United States of America. Any such
waiver may be made upon such terms and under such conditions as the
Administrator shall determine to be required for the protection of the
interests of the United States. Among the most important goals are to
provide incentives to foster inventiveness and encourage the reporting
of inventions made under NASA contracts, to provide for the widest
practicable dissemination of new technology resulting from NASA
programs, and to promote early utilization, expeditious development, and
continued availability of this new technology for commercial purposes
and the public benefit. In applying this regulation, both the need for
incentives to draw forth private initiatives and the need to promote
healthy competition in industry must be weighed.
(b) Several different situations arise when waiver of all or any
part of the rights of the United States with respect to an invention or
class of invention may be requested and are prescribed in Secs. 1245.104
through 1245.106. Under Sec. 1245.104, advance waiver of any or all of
the rights of the United States with respect to any invention or class
of inventions which may be made under a contract may be requested prior
to the execution of the contract, or within 30 days after execution of
the contract. Waiver of rights to an identified invention made and
reported under a contract are to be requested under Sec. 1245.105, and
may be requested under this provision even though a request under
Sec. 1245.104 was not made, or if

[[Page 130]]

made, was not granted. Waiver of foreign rights under Sec. 1245.106 may
be requested concurrently with domestic rights under Sec. 1245.104 or
Sec. 1245.105, or may be made independently.
(c) With respect to inventions which may be or are made or conceived
in the course of or under contracts for research, development or
demonstration work awarded by NASA on behalf of the Department of Energy
(DOE) or in support of a DOE program, on a reimbursable basis pursuant
to agreement between DOE and NASA, the waiver policy, regulations, and
procedures of DOE will be applied. NASA will normally grant waiver of
rights to inventions made under contracts awarded by NASA on behalf of,
or in support of, programs funded by another Government agency, unless
the funding agency recommends and justifies denial of the waiver. See
Secs. 1245.110(c) and 1245.111(b).

[52 FR 43748, Nov. 16, 1987, as amended at 80 FR 19197, Apr. 10, 2015]

Sec. 1245.104 Advance waivers.

(a) The provisions of this section apply to petitions for waiver of
domestic rights of the United States with respect to any invention or
class of inventions which may be made under a contract.
(b) The NASA Inventions and Contributions Board normally will
recommend grant of a request for advance waiver of domestic rights
submitted prior to execution of contract or within 30 days after
execution of the contract unless the Board finds that the interests of
the United States will be better served by restricting or denying all or
part of the requested rights in one or more of the following situations:
(1) When the contractor is not located in the United States or does
not have a place of business in the United States or is subject to the
control of a foreign government;
(2) When a determination has been made by Government authority which
is authorized by statute or Executive order to conduct foreign
intelligence or counter-intelligence activities that the restriction or
denial of the requested rights to any inventions made in the performance
of work under the contract is necessary to protect the security of such
activities; or
(3) Where the Board finds that exceptional circumstances exist, such
that restriction or denial of the requested rights will better promote
one or more of the following objectives:
(i) Promoting the utilization of inventions arising from federally
supported research and development;
(ii) Encouraging maximum participation of industry in federally-
supported research and development;
(iii) Ensuring that inventions are used in a manner to promote free
competition and enterprise;
(iv) Promoting the commercialization and public availability of
inventions made in the United States by United States industry and
labor; and
(v) Ensuring that the Government retains sufficient rights in
federally supported inventions to meet the needs of the Government and
protect the public against nonuse or unreasonable use of inventions.
(c)(1) An advance waiver, when granted, will be subject to the
reservations set forth in Sec. 1245.107. Normally, the reservations of
Sec. 1245.107(a), License to the Government, and Sec. 1245.107(b),
March-in rights, will apply. However, should one or more of the
situations set forth in paragraphs (b)(1) through (b)(3), of this
section exist, rather than denying the advance waiver request, the Board
may recommend granting to the contractor only part of the requested
rights, to the extent necessary to address the particular situation,
consistent with the policy and goals of Sec. 1245.103. In that event,
the waiver grant will be subject to additional reservations as provided
for in Sec. 1245.107(c).
(2) To meet the National Aeronautics and Space Act standard of ``any
invention or class of inventions,'' for advance waivers, the petition
shall identify the invention(s) and/or class(es) of inventions that the
Contractor believes will be made under the contract and for which waiver
of rights is being requested. Therefore, the petition must be directed
to a specific invention(s) or to inventions directed to a particular
process, machine, manufacture, or composition of matter, or to a
narrowly drawn, focused area(s) of technology.

[[Page 131]]

(3) An advance waiver, when granted, will apply only to inventions
reported to NASA under the applicable terms of the contract and a
designation made within 6 months of the time of reporting (or a
reasonable time thereafter permitted for good cause shown) that the
contractor elects title to the invention and intends to file or has
filed a U.S. patent application. Such election will be made by
notification in writing to the patent representative designated in the
contract. Title to all other inventions made under the contract are
subject to section 20135(b)(1) of the National Aeronautics and Space
Act, 51 U.S.C. 20135(b)(1). The granting of the advance waiver does not
otherwise relieve a contractor of any of the invention identification or
reporting requirements set forth in the applicable patent rights clause
in the contract.
(4) The advance waiver shall extend to the invention claimed in any
patent application filed on the reported invention, including any
subsequent divisional or continuation application thereof, provided the
claims of the subsequent application do not substantially change the
scope of the reported invention.
(d) When a petition for waiver is submitted under paragraph (b) of
this section, prior to contract execution, it will be processed
expeditiously so that a decision on the petition may be reached prior to
execution of the contract. However, if there is insufficient time or
insufficient information is presented, or for other reasons which do not
permit a recommendation to be made without unduly delaying execution of
the contract, the Board will inform the contracting officer that no
recommendation can be made prior to contract execution and the reasons
therefor. The contracting officer will then notify the petitioner of the
Board's action.
(e) A waiver granted pursuant to a petition submitted under this
section shall extend to any contract changes, modifications, or
supplemental agreements, so long as the purpose of the contract or the
scope of work to be performed is not substantially changed.

[52 FR 43748, Nov. 16, 1987, as amended at 80 FR 19198, Apr. 10, 2015]

Sec. 1245.105 Waiver after reporting inventions.

(a) The provisions of this section apply to petitions for waiver of
domestic rights to identified inventions which have been reported to
NASA and to which a waiver of rights has not been granted pursuant to
Sec. 1245.104.
(b)(1) When an individual identified invention has been reported to
NASA under the applicable terms of the contract and waiver of rights has
not been granted under Sec. 1245.104, the Board normally will recommend
grant of a request for waiver of domestic rights to such invention if
the request is received within 8 months of first disclosure to NASA (or
such longer period that the Board may permit for good cause shown),
unless the Board finds that one or more of the situations set forth in
Sec. 1245.104(b)(3)(i) through (v) exist. When granted, the waiver will
be subject to the reservations set forth in Sec. 1245.107 in the same
manner as discussed in Sec. 1245.104(c)(1).
(2) The waiver shall extend to the invention claimed in the patent
application filed on the reported invention, including any subsequent
divisional or continuation application thereof, provided the claims of
the subsequent application do not substantially change the scope of the
reported invention.

Sec. 1245.106 Waiver of foreign rights.

(a) The Board will consider the waiver of foreign rights in any
designated country concurrently with the waiver of domestic rights when
so requested under Sec. 1245.104 or Sec. 1245.105.
(b) The Board will also consider a separate request for foreign
rights for an individual identified invention in any designated country
if a request was not made pursuant to paragraph (a) of this section, or
for countries not designated pursuant to paragraph (a) of this section.
(c) The Board will normally recommend the waiver of foreign rights
be granted under paragraph (a) or paragraph (b) of this section in any
designated country unless:
(1) The Board finds that exceptional circumstances exist, such that
restriction or denial of the requested foreign rights will better
promote one or more

[[Page 132]]

of the objectives set forth in Sec. 1245.104(b)(3)(i) through (v); or
(2) The Board finds that the economic interests of the United States
will not be served thereby; or unless
(3) In the case of an individual identified invention under
paragraph (b) of this section, NASA has determined, prior to the
request, to file a patent application in the designated country.
(d) If, subsequent to the granting of the petition for foreign
rights, the petitioner requests and designates additional countries in
which it wishes to secure patents, the Chairperson may recommend such
request, in whole or in part, without further action by the Board.

[52 FR 43748, Nov. 16, 1987, as amended at 80 FR 19199, Apr. 10, 2015]

Sec. 1245.107 Reservations.

(a) License to the Government. Any invention for which waiver of
domestic or foreign rights has been granted under this subpart shall be
subject to the reservation by the Administrator of an irrevocable,
nonexclusive, nontransferable, royalty-free license for the practice of
the invention throughout the world by or on behalf of the United States
or any foreign government pursuant to any treaty or agreement with the
United States.
(b) March-in rights. For any invention for which waiver of rights
has been granted under this subpart, NASA has the same right as set
forth in 35 U.S.C. 203 and 210, with the procedures set forth in
Sec. 1245.117 and 37 CFR 401.6, to require the contractor, an assignee,
or exclusive licensee of the invention to grant a nonexclusive,
partially exclusive, or exclusive license in any field of use to a
responsible applicant or applicants, upon terms that are reasonable
under the circumstances, and if the contractor, assignee, or exclusive
licensee refuses such a request, NASA has the right to grant such a
license itself if NASA determines that:
(1) Such action is necessary because the contractor or assignee has
not taken, or is not expected to take within a reasonable time,
effective steps to achieve practical application of the invention in
such field of use;
(2) Such action is necessary to alleviate health or safety needs
which are not reasonably satisfied by the contractor, assignee, or their
licensees;
(3) Such action is necessary to meet requirements for public use
specified by Federal regulations and such requirements are not
reasonably satisfied by the contractor, assignee, or licensees; or
(4) Such action is necessary because the agreement required by the
``Preference for United States industry'' has not been obtained or
waived or because a licensee of the exclusive right to use or sell any
invention in the United States is in breach of such agreement.
(c) Additional reservations. In the event one or more of the
situations set forth in Sec. 1245.104 (b)(1) through (b)(3) exist, the
Board may determine to recommend partial grant of the waiver request
(rather than denial) by making the grant subject to additional
reservations (than those set forth in (a) and (b) of this section) to
the extent necessary to address the particular situation. Such
additional reservations may include, but not be limited to, field-of-use
or terrestrial-use limitations, or additions to the march-in rights.

[52 FR 43748, Nov. 16, 1987, as amended at 80 FR 19199, Apr. 10, 2015]

Sec. 1245.108 License to contractor.

(a) Each contractor reporting an invention is granted a revocable,
nonexclusive, royalty-free license in each patent application filed in
any country on the invention and in any resulting patent in which the
Government acquires title. The license extends to the contractor's
domestic subsidiaries and affiliates, if any, within the corporate
structure of which the contractor is a party and includes the right to
grant sublicenses of the same scope to the extent the contractor was
legally obligated to do so at the time the contract was awarded. The
license and right is transferable only with the approval of the
Administrator except when transferred to the successor of that part of
the contractor's business to which the invention pertains.
(b) The contractor's domestic license may be revoked or modified by
the Administrator to the extent necessary to achieve expeditious
practical application of the invention pursuant to an application for an
exclusive license

[[Page 133]]

submitted in accordance with the Licensing of Government-Owned
Inventions (37 CFR part 404). This license will not be revoked in that
field of use and/or the geographical areas in which the contractor has
achieved practical application and continues to make the benefits of the
invention available to the public on reasonable terms. The license in
any foreign country may be revoked or modified at the discretion of the
Administrator to the extent the contractor, its licensees, or its
domestic subsidiaries or affiliates have failed to achieve practical
application in that foreign country.
(c) Before revocation or modification of the license, the contractor
will be provided a written notice of the Administrator's intention to
revoke or modify the license, and the contractor will be allowed 30 days
(or any other time as may be allowed by the Administrator for good cause
shown by the contractor) after the notice to show cause why the license
should not be revoked or modified. The contractor shall have the right
to appeal, in accordance with applicable regulations in 37 CFR part 404,
any decision concerning the revocation or modification of its license.

[52 FR 43748, Nov. 16, 1987, as amended at 80 FR 19199, Apr. 10, 2015]

Sec. 1245.109 Assignment of title to NASA.

(a) The instrument of waiver set forth in Sec. 1245.115(c) shall be
voided by NASA with respect to the domestic title to any invention for
which a patent application has not been filed within 1 year (or a
reasonable time thereafter for good cause shown) from notification to
NASA of election of title, as required by Sec. 1245.104(c)(2), for an
advanced waiver pursuant to Sec. 1245.104, or within 1 year from the
granting of a waiver for an individual invention granted pursuant to
Sec. 1245.105.
(b) The instrument of waiver set forth in Sec. 1245.115(c) shall be
voided by NASA with respect to title in any foreign country for which
waiver has been granted pursuant to Sec. 1245.106, if a patent
application has not been filed in that country (or in the European
Patent Office or under the Patent Cooperation Treaty and that country
designated) within either 10 months (or a reasonable time thereafter for
good cause shown) from the date a corresponding U.S. patent application
has been filed or 6 months (or a reasonable time thereafter for good
cause shown) from the date a license is granted by the Commissioner of
Patents and Trademarks to file foreign patent applications where such
filing has been prohibited by a Secrecy Order.
(c) In any country in which the waiver recipient decides not to
continue prosecution of any application, to pay maintenance fees on, or
defend in reexamination or opposition proceedings on a patent on a
waived invention, the waiver recipient shall notify the patent
representative within sufficient time for NASA to continue prosecution,
pay the maintenance fee or defend the reexamination or opposition, and
upon written request, convey title to NASA and execute all papers
necessary for NASA to proceed with the appropriate action.

Sec. 1245.110 Content of petitions.

(a) Each request for waiver of domestic or foreign rights under
Sec. 1245.104, Sec. 1245.105, or Sec. 1245.106 shall be by petition to
the Administrator and shall include:
(1) An identification of the petitioner, its place of business, and
address;
(2) If the petitioner is represented by counsel, the name, address,
and telephone number of the counsel;
(3) A citation to the section (Sec. 1245.104, Sec. 1245.105, or
Sec. 1245.106) under which the petition is submitted, the nature and
extent of the rights requested, and a positive statement that waiver of
rights under the cited section is being requested;
(4) If the petitioner is an employee inventor of the contractor, a
statement from the contractor that the contractor does not object to
this petition.
(5) Information identifying the proposed contract or resulting
contract, if any;
(6) A designation of the country or countries, the United States of
America and/or foreign, in which waiver of title is requested;
(7) A copy of the invention disclosure if the request is for an
individual identified invention (under Sec. 1245.105);

[[Page 134]]

(8) The name, address, and telephone number of the party with whom
the Board is to communicate when the request is acted upon;
(9) Whether the petitioner is an entity of or under the control of a
foreign government;
(10) The signature of the petitioner or its authorized
representative; and
(11) The date of the petition.
(b) Advance waiver petitions shall also identify the invention(s)
and/or class(es) of inventions that the Contractor believes will be made
under the contract and for which waiver of rights is being requested, in
accordance with Sec. 1245.104(c)(2).
(c) No specific forms need be used. Requests for advanced waiver
should, preferably, be included with the proposal, but in any event in
advance of negotiations.
(d) Petitions for waiver under contracts funded by another agency.
The content of the petitions for waiver of title to inventions made
under contracts awarded by NASA on behalf of the Department of Energy
under Sec. 1245.103(c) shall follow the procedures and form prescribed
by and shall be acted on by that agency. Petitions under contracts
awarded by NASA on behalf of other agencies will be coordinated with the
agency before action is taken by the Board.

[52 FR 43748, Nov. 16, 1987, as amended at 80 FR 19199, Apr. 10, 2015]

Sec. 1245.111 Submission of petitions.

(a) Petitions for advance waiver of domestic rights under
Sec. 1245.104 or for advance waiver of foreign rights under
Sec. 1245.106 presented prior to contract execution, must be submitted
to the contracting officer. Any petition submitted by a prospective
contractor and selected for negotiation of a contract will be processed
and forwarded to the Board for consideration. All other petitions will
be submitted to the patent representative designated in the contract for
processing prior to forwarding to the Board.
(b) A copy of any waiver petitions submitted under Sec. 1245.103(c)
should be forwarded to the appropriate NASA field installation patent
counsel, if not supplied earlier, for (1) transmittal to the Department
of Energy for processing by that agency, or (2) coordination with other
agencies, as applicable.

Sec. 1245.112 Notice of proposed Board action and reconsideration.

(a) Notice. Except as provided by Sec. 1245.104(d), the Board will
notify the petitioner, through the contracting officer, with respect to
petitions for advance waiver prior to contract execution, and directly
to the petitioner for all other petitions:
(1) When it proposes to recommend to the Administrator that the
petition be:
(i) Granted in an extent different from that requested; or
(ii) Denied.
(2) Of the reasons for the recommended action adverse to or
different from the waiver of rights requested by the petitioner.
(b) Request for reconsideration and statements required. (1) If,
under paragraph (a) of this section, the Board notifies the petitioner
that the Board proposes to recommend action adverse to or different from
the waiver requested, the petitioner may, within the period as the Board
may set, but not less than 15 days from the notification, request
reconsideration by the Board.
(2) If reconsideration has been requested within the prescribed
time, the petitioner shall, within 30 days from the date of the request
for reconsideration, or within any other time as the Board may set, file
its statement setting forth the points, authorities, arguments, and any
additional material on which it relies.
(3) Upon filing of the reconsideration statement by the petitioner,
the petition will be assigned for reconsideration by the Board upon the
contents of the petition, the record, and the reconsideration statement
submitted by the petitioner.
(4) The Board, after its reconsideration, will promptly notify the
petitioner of its proposed recommendation to the Administrator. If the
Board's proposed action is adverse to, or different from, the waiver
requested, the petitioner may request an oral hearing within the time as
the Board has set.

[52 FR 43748, Nov. 16, 1987, as amended at 80 FR 19199, Apr. 10, 2015]

[[Page 135]]

Sec. 1245.113 Hearing procedure.

(a) If the petitioner requests an oral hearing within the time set,
under Sec. 1245.112(b)(4), the Board shall set the time and place for
the hearing and shall notify the petitioner.
(b) Oral hearings held by the Board shall be open to the public and
shall be held in accordance with the following procedures:
(1) Oral hearings shall be conducted in an informal manner, with the
objective of providing the petitioner with a full opportunity to present
facts and arguments in support of the petition. Evidence may be
presented through means of witnesses, exhibits, and visual aids as are
arranged for by the petitioner. Petitioner may be represented by any
person including its attorney. While proceedings will be ex parte,
members of the Board and its counsel may address questions to witnesses
called by the petitioner, and the Board may, at its option, enlist the
aid of technical advisors or expert witnesses. Any person present at the
hearing may make a statement for the record.
(2) A transcript or equivalent record of the proceeding shall be
arranged for by the Board. The petitioner shall submit for the record a
copy of any exhibit or visual aid utilized during the hearing.

Sec. 1245.114 Findings and recommendations of the Board.

(a) Findings of the Board. The Board shall consider the petition,
the NASA contract, if relevant, the goals cited in Sec. 1245.103(a), the
effect of the waiver on the objectives of the related NASA programs, and
any other available facts and information presented to the Board by an
interested party. The Board shall document its findings.
(b) Recommendation of the Board. (1) Except as provided in
Sec. 1245.104(d), after making the findings of fact, the Board shall
formulate its proposed recommendation to the Administrator as to the
grant of waiver as requested, the grant of waiver upon terms other than
as requested, or denial of waiver.
(2) If the Board proposes to recommend, initially or upon
reconsideration or after oral hearing, that the petition be granted in
the extent requested or, in other cases, where the petitioner does not
request reconsideration or a hearing during the period set for the
action or informs the Board that the action will not be requested, or
fails to file the required statements within the prescribed time, the
Board shall transmit the petition, a summary record of hearing
proceedings, if applicable, its findings of fact, and its recommendation
to the Administrator.

Sec. 1245.115 Action by the Administrator.

(a) After receiving the transmittal from the Board, the
Administrator shall determine, in accordance with the policy of
Sec. 1245.103, whether or not to grant any petition for waiver of rights
to the petitioner.
(b) In the event of denial of the petition by the Administrator, a
written notice of such denial will be promptly transmitted by the Board
to the petitioner. The written notice will be accompanied with a
statement of the grounds for denial.
(c) If the waiver is granted by the Administrator, the petitioner
shall be sent for execution, an instrument of waiver confirmatory of the
conditions and reservations of the waiver grant. The petitioner shall
promptly return the executed copy of the instrument of waiver to the
Chairperson.

Sec. 1245.116 Miscellaneous provisions.

(a) Filing of patent applications and reimbursement of costs. In
order to protect the interests of the Government and the petitioner in
inventions, a petitioner may file United States patent applications for
such inventions prior to the Administrator's determination on a petition
for waiver. If an application on an identified invention is filed during
the pendency of the petition, or within 60 days prior to the receipt of
a petition, NASA will reimburse the petitioner for any reasonable costs
of the filing and patent prosecution that may have occurred, provided:
(1) Similar patent filing and prosecution costs are not normally
reimbursed to the petitioner as direct or indirect costs chargeable to
the Government contracts;
(2) The petition is ultimately denied with respect to domestic
rights, or

[[Page 136]]

with respect to foreign and domestic rights, if both are requested, and
(3) Prior to reimbursement, petitioner assigns the application to
the United States of America as represented by the Administrator of the
National Aeronautics and Space Administration.
(b) Statement of Government rights. The waiver recipient shall
include, within the specification of any United States patent
application and any patent issuing thereon for a waived invention, the
following statement:
The invention described herein was made in the performance of work
under NASA Contract No. lll, and is subject to the provisions of Section
20135 of the National Aeronautics and Space Act (51 U.S.C. Chapter 201).
(c) License to the Government. The waiver recipient shall return to
NASA a duly executed and approved license to the Government (which will
be prepared by the Government) fully confirming of all the rights,
domestic and foreign, to which the Government is entitled.
(d) Patent filing and issuance information. The waiver recipient
shall furnish to either the Chairperson or the patent representative,
the filing date, serial number and title, and upon request, a copy of
any domestic or foreign patent application including an English language
version if filed in a language other than English, and a copy of the
patent or patent number and issue date, for any waived invention.
(e) Transfer of rights. The waiver recipient shall notify the
Chairperson prior to any transfer of principal rights in any waived
invention to any party. Such transfer shall be subject to all rights
reserved by the Government, and all obligations of the waiver recipient,
as set forth in this subpart.
(f) Utilization reports. (1) The waiver recipient shall provide to
the Chairperson upon request, and no more frequently than annually,
reports on the utilization of a waived invention or on efforts at
obtaining such utilization being made by the waiver recipient or its
licensees or assigns. Such reports shall include information regarding
the status of the development, date of first commercial sale or use, and
such other data and information as the Chairperson may reasonably
specify. No utilization reports need be submitted after the term of the
patent.
(2) Such reports on the utilization of a waived invention, as well
as information on the utilization or efforts at obtaining utilization
obtained as part of a march-in proceeding under Sec. 1245.117, shall be
treated by NASA as commercial and financial information obtained from a
person and privileged and confidential and not subject to disclosure
under 5 U.S.C. 552.
(g) Communications. Unless otherwise specifically set forth in this
subpart, all communications relating to waived inventions, and all
information and documents required to be submitted to NASA in this
subpart, shall be furnished to the patent representative designated in
the contract under which the waived invention was made.

(Recordkeeping and reporting requirements contained in paragraph (f)
were approved by the Office of Management and Budget under control
number 2700-0050)

[52 FR 43748, Nov. 16, 1987, as amended at 80 FR 19199, Apr. 10, 2015]

Sec. 1245.117 March-in and waiver revocation procedures.

(a) The exercise of march-in procedures shall be in conformance with
35 U.S.C. 203 and the applicable provisions of 37 CFR 401.6, entitled
``Exercise of march-in rights for inventions made by nonprofit
organizations and small business firms.''
(b) Whenever NASA receives information that it believes might
warrant the exercise of march-in rights, before initiating any march-in
proceeding, it shall notify the waiver recipient in writing of the
information and request informal written or oral comments from the
waiver recipient as well as information relevant to the matter. In the
absence of any comments from the waiver recipient within 30 days, NASA
may, at its discretion, proceed with the procedures set forth in 37 CFR
401.6. If a comment is received within 30 days, or later if NASA has not
initiated the procedures, then NASA shall, within 60 days after it
receives the comment, either initiate the procedures or notify the
waiver recipient, in writing, that it will not pursue march-in rights on
the basis of the available information.

[[Page 137]]

(c) If march-in procedures are to be initiated, the Administrator of
NASA, or designee, shall undertake or refer the matter for fact finding
to the NASA Board of Contract Appeals (BCA) and its Chairperson.
(d) Fact-finding shall be conducted by the NASA BCA and its
Chairperson in accordance with its procedures that are consistent with
the procedures set forth in 37 CFR 401.6. Any portion of the march-in
proceeding, including a fact-finding hearing that involves testimony or
evidence relating to the utilization or efforts at obtaining utilization
that are being made by the waiver recipient, its assignee, or licensees
shall be closed to the public, including potential licensees. In
accordance with 35 U.S.C. 202(c)(5), NASA shall not disclose any such
information obtained during a march-in proceeding to persons outside the
Government except when such release is authorized by the waiver
recipient (assignee or licensee).
(e) The preparation of written findings of fact and recommended
determination by the Chairperson of the NASA BCA and the determination
by the Administrator, or designee, of NASA shall be in accordance with
37 CFR 401.6.
(f) NASA may, at any time, terminate a march-in proceeding if it is
satisfied that it does not wish to exercise march-in rights.

[52 FR 43748, Nov. 16, 1987, as amended at 80 FR 19199, Apr. 10, 2015]

Sec. 1245.118 Record of decisions.

The findings of fact and recommendations made to the Administrator
by the Board with respect to each petition for waiver shall be recorded
by the Board and be available to the public.

Subpart 2_Claims for Patent and Copyright Infringement

Authority: 51 U.S.C. 20112-20113; 22 U.S.C. 2356; 35 U.S.C. 181-188
and 286; and 28 U.S.C. 1498.

Source: 77 FR 14687, Mar. 13, 2012, unless otherwise noted.

Sec. 1245.200 Purpose.

The purpose of this subpart is to set forth policies and procedures
for the filing and disposition of claims of infringement of privately
owned rights in patented inventions or copyrighted works asserted
against NASA.

Sec. 1245.201 Objectives.

Whenever a claim of infringement of privately owned rights in
patented inventions or copyrighted works is asserted against NASA, all
necessary steps shall be taken to investigate and to administratively
settle, deny, or otherwise dispose of such claim prior to suit against
the United States. The General Counsel, or designee, is authorized to
investigate, settle, deny, or otherwise dispose of all claims of patent
and copyright infringement, pursuant to the above-cited statutory
authority.

Sec. 1245.202 Contents of communication initiating claim.

(a) Requirements for claim. A patent or copyright infringement claim
for compensation, asserted against the United States as represented by
NASA under any of the applicable statutes cited above, must be actually
communicated to and received by an organization, office, or within a
NASA Center. Claims must be in writing and must include the following:
(1) An allegation of infringement.
(2) A request for compensation, either expressed or implied.
(3) A citation to the patent(s) or copyright(s) alleged to be
infringed.
(4) In the case of a patent infringement claim, a sufficient
designation to permit identification of the accused subject matter (e.g.
article(s) or process(es)) alleged to infringe the patent(s), giving the
commercial designation, if known to the claimant, or, in the case of a
copyright infringement claim, the accused subject matter (e.g. act(s) or
work(s)) alleged to infringe the copyright.
(5) In the case of a patent infringement claim, a designation of at
least one claim of each patent alleged to be infringed or, in the case
of a copyright infringement claim, a copy of each work alleged to be
infringed.

[[Page 138]]

(6) As an alternative to paragraphs (a)(4) and (5) of this section,
certification that the claimant has made a bona fide attempt to
determine the accused subject matter, which is alleged to infringe the
patent(s), or the accused subject matter alleged to infringe the
copyright(s), but was unable to do so, giving reasons and stating a
reasonable basis for the claimant's belief that the patent(s) or
copyright(s) is being infringed.
(b) Additional information for patent infringement claims. In
addition to the information listed in paragraph (a) of this section, the
following material and information generally are necessary in the course
of processing a claim of patent infringement. Claimants are encouraged
to furnish this information at the time of filing a claim to permit
rapid processing and resolution of the claim.
(1) A copy of the asserted patent(s) and identification of all
claims of the patent(s) alleged to be infringed.
(2) Identification of all procurements known to the claimants that
involve the accused item(s) or process(es), including the identity of
the vendor(s) or contractor(s) and the Government acquisition activity
or activities.
(3) A detailed identification and description of the accused
article(s) or process(es) used or acquired by the Government,
particularly where the article(s) or process(es) relate to a
component(s) or subcomponent(s) of an item acquired, and an element-by-
element comparison of representative claim(s) with the accused
article(s) or process(es). If available, the identification and
description should include documentation and drawings to illustrate the
accused article(s) or process(es) in sufficient detail to enable
determining whether the claim(s) of the asserted patent(s) read on the
accused article(s) or process(es).
(4) Names and addresses of all past and present licensees under the
patent(s) and copies of all license agreements and releases involving
the patent(s). In addition, an identification of all assignees of the
patent(s).
(5) A list of all persons to whom notices of infringement have been
sent, including all departments and agencies of the Government, and a
statement of the status or ultimate disposition of each.
(6) A brief description of all litigation involving the patent(s)
which was initiated at any time prior to the claim being filed and their
present status. This includes any defenses or counterclaims made and
positions maintained by opposing parties regarding invalidity of the
patent(s).
(7) A description of Government employment or military service, if
any, by the inventor(s) or patent owner(s) including a statement from
the inventor(s) or patent owner(s) certifying whether the invention
claimed in the patents was conceived or reduced to practice, in part or
in whole, during Government employment and whether such inventor(s) or
owner(s) occupied any position from which such inventor(s) or owner(s)
was capable of ordering, influencing, or inducing use of the invention
by the Government.
(8) A list of all contract(s) between the Government and
inventor(s), patent owner(s), or anyone in privity with the patent
owner(s), under which work relating to the patented subject matter was
performed.
(9) Evidence of title to the asserted patent(s) or other right to
make the claim.
(10) A copy of the United States Patent and Trademark Office (USPTO)
file history of each patent, if it is available to the claimant.
Indicate whether the patent has been the subject of any interference
proceedings, certification of correction request, reexamination, or
reissue proceedings at the USPTO, or lapsed for failure to pay any
maintenance fee. In addition, the status of all corresponding foreign
patents and patent applications and full copies of the same.
(11) Pertinent prior art known to the claimant not contained in the
USPTO file, for example, publications and foreign prior art. In addition
to the foregoing, if claimant can provide a statement that the
investigation may be limited to the specifically identified accused
article(s) or process(es) or to a specific acquisition (e.g. identified
contract(s)), it may speed disposition of

[[Page 139]]

the claim. Claimants are also encouraged to provide information on any
ancillary matters that may have a bearing on validity or infringement.
(c) Denial for refusal to provide information. In the course of
investigating a claim, it may become necessary for NASA to request
information in the control and custody of the claimant that is relevant
to the disposition of the claim. Failure of the claimant to respond to a
request for such information shall be sufficient reason alone for
denying a claim.

Sec. 1245.203 Incomplete notice of infringement.

(a) If a communication alleging patent infringement or copyright
infringement is received that does not meet the requirements set forth
in Sec. 1245.202(a), the sender shall be advised in writing by the
Agency Counsel for Intellectual Property:
(1) That the claim for infringement has not been satisfactorily
presented; and
(2) Of the elements necessary to establish a claim.
(b) A communication, in which no infringement is alleged in
accordance with Sec. 1245.202(a), such as a mere proffer of a license,
shall not be considered a claim for infringement.

Sec. 1245.204 Indirect notice of infringement.

A communication by a patent or copyright owner to addressees other
than those specified in Sec. 1245.202(a), such as NASA contractors,
including contractors operating Government-owned facilities, alleging
that acts of infringement have occurred in the performance of a
Government contract, grant, or other arrangement, shall not be
considered a claim within the meaning of Sec. 1245.202(a) until such
communication meets the requirements specified therein.

Sec. 1245.205 Processing of administrative claims.

(a) Filing and forwarding of claims. All communications regarding
claims should be addressed to: Agency Counsel for Intellectual Property,
Office of the General Counsel, National Aeronautics and Space
Administration, Washington, DC 20546-0001. If any communication relating
to a claim or possible claim of patent or copyright infringement is
received by an agency, organization, office, or field installation
within NASA, it shall be forwarded to the Agency Counsel for
Intellectual Property.
(b) Disposition and notification. The General Counsel, or designee,
shall investigate and administratively settle, deny, or otherwise
dispose of each claim. When a claim is denied, the Agency shall so
notify the claimant or the claimant's authorized representative and
provide the claimant with the reasons for denying the claim. Disclosure
of information shall be subject to applicable statutes, regulations, and
directives pertaining to security, access to official records, and the
rights of others.
(c) Termination of claims. If, while an administrative claim for
patent or copyright infringement is pending against NASA, the claimant
brings suit for patent or copyright infringement against the United
States in the Court of Federal Claims based on the same facts or
transactions as the administrative claim, the administrative claim shall
thereupon be automatically dismissed, with no further action being
required of NASA.

Subpart 3_NASA Foreign Patent Program

Authority: 51 U.S.C. 20135(g) and E.O. 9865, 12 FR 3907, 3 CFR,
1943-1948 Comp., p. 651, and E.O. 10096, 15 FR 389, 3 CFR, 1949-1953
Comp., p. 292.

Source: 30 FR 1844, Feb. 10, 1965, unless otherwise noted.

Sec. 1245.300 Scope of subpart.

This subpart establishes policy, criteria, and procedures concerning
the NASA Foreign Patent Program.

Sec. 1245.301 Inventions under NASA contracts.

(a) Pursuant to Sec. 1245.113, NASA has facilitated the filing of
foreign patent applications by contractors by providing for the granting
of a waiver of title to a contractor to any identified invention in
countries other than the

[[Page 140]]

United States in the event the Administrator of NASA does not desire to
file a patent application covering the invention in such countries.
However, any such waiver is subject to the reservation by the
Administrator of the license required to be retained by NASA under 51
U.S.C. 20135(g) of the National Aeronautics and Space Act, as amended.
(b) Conversely, where the principal rights in an invention made
under a NASA contract remain in the contractor by virtue of waiver,
Sec. 1245.19(a)(5) provides that the contractor, upon written request,
will convey to the Administrator of NASA the entire right, title, and
interest in the invention in any foreign country in which the contractor
has elected not to file a patent application.
(c) With respect to inventions in which NASA has acquired and
retained the principal rights, NASA will file patent applications in
countries other than the United States on inventions selected in
accordance with the criteria set forth in Sec. 1245.303.

[30 FR 1844, Feb. 10, 1965, as amended at 80 FR 42029, July 16, 2015]

Sec. 1245.302 Inventions by NASA employees.

(a) The foreign rights of NASA and of the NASA employee making an
invention are determinable in accordance with Executive Orders 9865 and
10096 and Government Patent Board Administrative Order No. 6 issued
pursuant thereto.
(b) Where NASA acquires an assignment of the domestic rights in an
invention made by a NASA employee, NASA will also obtain an option to
acquire the foreign rights, including the right to file foreign patent
applications on the invention.
(c) Where NASA is entitled to only a governmental license in the
invention, the principal foreign rights in the invention are retained by
the employee unless he agrees in writing to assign such rights to NASA.

Sec. 1245.303 Criteria.

The following categories of inventions will be considered for the
filing of patent applications by NASA in countries other than the United
States:
(a) Inventions which may be utilized abroad in governmental programs
of the United States.
(b) Inventions which may be exploited abroad in the public interest
by license to U.S. nationals or others.
(c) Inventions which may be utilized in applications type
satellites, such as communications and meteorological satellites.
(d) Inventions considered to be basic discoveries or of major
significance in an art.
(e) Inventions in fields which directly concern the public health or
public welfare.

Sec. 1245.304 Procedures.

(a) The patent counsel at each NASA field installation will review
all invention disclosures at the time of docketing and will expedite the
processing and preparation of a U.S. patent application, if justified,
on those inventions which appear to fall within the criteria set forth
in Sec. 1245.303. The patent counsel will make a recommendation as to
whether or not foreign patent coverage appears justified at the time of
assigning a priority evaluation to a disclosed invention.
(b) Preparation and filing of patent applications in foreign
countries will be subject to approval of the Assistant General Counsel
for Patent Matters, NASA Headquarters.
(c) The Office of Assistant General Counsel for Patent Matters will
budget for and administer the filing of all patent applications in
countries other than the United States.
(d) Coordination with other interested NASA offices will be
undertaken by the Assistant General Counsel for Patent Matters.

Subparts 4-5 [Reserved]

PART 1250_NONDISCRIMINATION IN FEDERALLY-ASSISTED PROGRAMS OF
NASA_EFFECTUATION OF TITLE VI OF THE CIVIL RIGHTS ACT OF 1964
--Table of Contents

Sec.
1250.100 Purpose.
1250.101 Applicability.
1250.102 Definitions.
1250.103 Discrimination prohibited.

[[Page 141]]

1250.103-1 General.
1250.103-2 Specific discriminatory acts prohibited.
1250.103-3 Employment practices.
1250.103-4 Illustrative applications.
1250.103-5 Special benefits.
1250.103-6 Medical emergencies.
1250.104 Assurances.
1250-105 Compliance information.
1250.106 Conduct of investigations.
1250.107 Procedure for effecting compliance.
1250.108 Hearings.
1250.109 Decisions and notices.
1250.110 Judicial review.
1250.111 Effect on other regulations; forms and instructions.
1250.112 Relationship with other officials.

Appendix A to Part 1250--NASA Federal Financial Assistance to Which This
Part Applies

Authority: Sec. 602, 78 Stat. 252, 42 U.S.C. 2000d-1; and the laws
listed in appendix A to this part.

Source: 30 FR 301, Jan. 9, 1965, unless otherwise noted.

Sec. 1250.100 Purpose.

The purpose of this part is to effectuate the provisions of Title VI
of the Civil Rights Act of 1964 (hereafter referred to as ``the Act'')
to the end that no person in the United States shall, on the ground of
race, color or national origin, be excluded from participation in, be
denied the benefits of, or be otherwise subjected to discrimination
under any program or activity receiving Federal financial assistance
from the National Aeronautics and Space Administration, hereinafter
referred to as NASA.

Sec. 1250.101 Applicability.

(a) Covered programs. (1) This part applies to any program for which
Federal financial assistance is authorized under a law administered by
NASA, including the types of Federal financial assistance listed in
appendix A to this part. The fact that a type of Federal assistance is
not listed in appendix A shall not mean, if Title VI of the Act is
otherwise applicable, that a program is not covered. Other types of
Federal financial assistance under statutes now in force or hereafter
enacted may be added to appendix A by notice published in the Federal
Register.
(2) This part applies to money paid, property transferred, or other
Federal financial assistance extended after the effective date of this
part pursuant to an application approved prior to such effective date.
(b) Excluded activities. This part does not apply to (1) any Federal
financial assistance by way of insurance or guaranty contracts, (2)
money paid, property transferred, or other assistance extended before
the effective date of this part, except as provided in paragraph (a) of
this section, (3) any assistance to any individual who is the ultimate
beneficiary, (4) any employment practice, under any such program, of any
employer, employment agency, or labor organization, except as provided
in Sec. 1250.103-3, (5) contracts not covered in the types of Federal
financial assistance listed in appendix A, or (6) advances, V-loans, and
other financial assistance made incident to NASA procurements not
covered in the types of Federal financial assistance listed in appendix
A.

[30 FR 301, Jan. 9, 1965, as amended at 68 FR 51350, Aug. 26, 2003]

Sec. 1250.102 Definitions.

As used in this part--
(a) Administrator means the Administrator of the NASA.
(b) Applicable means one who submits an application, request,
proposal, or plan required to be approved by a responsible NASA
official, or by a primary recipient, as a condition to eligibility for
Federal financial assistance; and the term application means such an
application, request, proposal or plan.
(c) Facility includes all or any portion of structures, equipment,
or other real or personal property or interests therein, and the
provision of facilities includes the construction, expansion,
renovation, remodeling, alteration or acquisition of facilities.
(d) Federal financial assistance includes (1) grants and loans of
Federal funds, (2) the grant or donation of Federal property and
interests in property, (3) the detail of Federal personnel, (4) the sale
and lease of, and the permission to use (on other than a casual or
transient basis), Federal property or any interest in such property
without consideration or at a nominal consideration, or at a
consideration which is reduced for the purpose of assisting the

[[Page 142]]

recipient, or in recognition of the public interest to be served by such
sale or lease to the recipient, and (5) any Federal agreement,
arrangement, or other contract which has as one of its purposes the
provision of assistance.
(e) NASA means the National Aeronautics and Space Administration.
(f) Primary recipient means any recipient which is authorized or
required to extend Federal financial assistance to another recipient.
(g) Principal Compliance Officer means the Director, Equal
Employment Opportunity Office, Office of Organization and Management,
NASA Headquarters, or any successor officer to whom the Administrator
should delegate authority to perform the functions assigned to the
Principal Compliance Officer by this part.
(h) Program or activity and program mean all of the operations of
any entity described in paragraphs (h)(1) through (4) of this section,
any part of which is extended Federal financial assistance:
(1)(i) A department, agency, special purpose district, or other
instrumentality of a State or of a local government; or
(ii) The entity of such State or local government that distributes
such assistance and each such department or agency (and each other State
or local government entity) to which the assistance is extended, in the
case of assistance to a State or local government;
(2)(i) A college, university, or other postsecondary institution, or
a public system of higher education; or
(ii) A local educational agency (as defined in 20 U.S.C. 7801),
system of vocational education, or other school system;
(3)(i) An entire corporation, partnership, or other private
organization, or an entire sole proprietorship--
(A) If assistance is extended to such corporation, partnership,
private organization, or sole proprietorship as a whole; or
(B) Which is principally engaged in the business of providing
education, health care, housing, social services, or parks and
recreation; or
(ii) The entire plant or other comparable, geographically separate
facility to which Federal financial assistance is extended, in the case
of any other corporation, partnership, private organization, or sole
proprietorship; or
(4) Any other entity which is established by two or more of the
entities described in paragraph (h)(1), (2), or (3) of this section.
(i) Recipient means any State, political subdivision of any State,
or instrumentality of any State or political subdivision, any public or
private agency, institution, or organization, or other entity, or any
individual, in any State, to whom Federal financial assistance is
extended, directly or through another recipient, including any
successor, assign, or transferee thereof, but such term does not include
any ultimate beneficiary.
(j) Responsible NASA official means:
(1) The heads of Offices at NASA Headquarters responsible for making
grants, and contracts of the kind listed in appendix A; and
(2) Each Director of a field installation which makes or administers
grants and contracts of the kind listed in appendix A, or any officer to
whom he has delegated authority to act within the areas of
responsibility assigned to him under this part.
(k) United States means the States of the United States, the
District of Columbia, Puerto Rico, the Virgin Islands, American Samoa,
Guam, Wake Island, the Canal Zone, and the territories and possessions
of the United States, and the term State means any one of the foregoing.

[30 FR 301, Jan. 9, 1965, as amended at 38 FR 17936, July 5, 1973; 68 FR
51350, Aug. 26, 2003]

Sec. 1250.103 Discrimination prohibited.

Sec. 1250.103-1 General.

No person in the United States shall, on the ground of race, color
or national origin be excluded from participation in, be denied the
benefits of, or be otherwise subjected to discrimination under any
program to which this part applies.

Sec. 1250.103-2 Specific discriminatory acts prohibited.

(a) A recipient to which this part applies may not, directly or
through contractual or other arrangements, on

[[Page 143]]

ground of race, color, or national origin:
(1) Deny an individual any service, financial aid, or other benefit
provided under the program;
(2) Provide any service, financial aid, or other benefit to an
individual which is different, or is provided in a different manner,
from that provided to others under the program;
(3) In determining the site or location of facilities, a recipient
or applicant may not make selections with the purpose or effect of
excluding individuals from, denying them the benefits of, or subjecting
them to discrimination under any program to which this regulation
applies, on the grounds of race, color, or national origin; or with the
purpose or effect of defeating or substantially impairing the
accomplishment of the objectives of the Act or this regulation.
(4) Subject an individual to segregation or separate treatment in
any matter related to his receipt of any service, financial aid, or
other benefit under the program;
(5) Restrict an individual in any way in the enjoyment of any
advantage or privilege enjoyed by others receiving any service,
financial aid, or other benefit under the program;
(6) Treat an individual differently from others in determining
whether he satisfies any admission, enrollment, quota, eligibility,
membership or other requirement or condition which individuals must meet
in order to be provided any service, financial aid, or other benefit
provided under the program;
(7) Deny an individual an opportunity to participate in the program
through the provision of services or otherwise or afford him an
opportunity to do so which is different from that afforded others under
the program (including the opportunity to participate in the program as
an employee but only to the extent set forth in Sec. 1250.103-3).
(b) A recipient, in determining the types of services, financial
aid, or other benefits, or facilities which will be provided under any
such program, or the class of individuals to whom, or the situations in
which, such services, financial aid, other benefits, or facilities will
be provided under any such program, or the class of individuals to be
afforded an opportunity to participate in any such program, may not,
directly or through contractual or other arrangements, utilize criteria
or methods of administration which have the effect of subjecting
individuals to discrimination because of their race, color, or national
origin, or have the effect of defeating or substantially impairing
accomplishment of the objectives of the program as respects individuals
of a particular race, color, or national origin.
(c) As used in this section the services, financial aid, or other
benefits provided under a program receiving Federal financial assistance
shall be deemed to include any service, financial aid, or other benefit
provided in or through a facility provided with the aid of Federal
financial assistance.
(d) A recipient may not take action that is calculated to bring
about indirectly what this part forbids it to accomplish directly.
(e) The enumeration of specific forms of prohibited discrimination
in this section does not limit the generality of the prohibition in
Sec. 1250.103-1. This regulation does not prohibit the consideration of
race, color, or national origin if the purpose and effect are to remove
or overcome the consequences of practices or impediments which have
restricted the availability of, or participation in, the program or
activity receiving Federal financial assistance, on the grounds of race,
color, or national origin. Where previous discriminatory practices or
usage tends, on the grounds of race, color, or national origin, to
exclude individuals from participation in, to deny them the benefits of,
or to subject them to discrimination under any program or activity to
which this regulation applies the applicant or recipient has an
obligation to take reasonable action to remove or overcome the
consequences of the prior discriminatory practice or usage, and to
accomplish the purpose of the Act.

[30 FR 301, Jan. 9, 1965, as amended at 38 FR 17936, July 5, 1973; 68 FR
51350, Aug. 26, 2003]

Sec. 1250.103-3 Employment practices.

(a) Where a primary objective of the Federal financial assistance to
a program to which this part applies is to

[[Page 144]]

provide employment, a recipient may not directly or through contractual
or other arrangements subject an individual to discrimination on the
ground of race, color, or national origin in its employment practices
under such program (including recruitment or recruitment advertising,
employment, layoff or termination, upgrading, demotion, or transfer,
rates of pay or other forms of compensation, and use of facilities),
including programs where a primary objective of the Federal financial
assistance is (1) to assist such individuals through employment to meet
expenses incident to the commencement or continuation of their education
or training, or (2) to provide work experience which contributes to the
education or training of such individuals.
(b) Employment opportunities provided in connection with any of the
types of Federal financial assistance listed in appendix A, which
opportunities are limited, or for which preference is given, to
students, fellows, or other persons in training for the same or related
employments, are programs of the kind described in paragraph (a)(1) and
(2) of this section.
(c) The requirements applicable to construction employment under any
such program shall be those specified in or pursuant to Executive Order
11246 or any Executive order which supersedes it.
(d) Where a primary objective of the Federal financial assistance is
not to provide employment, but discrimination on the grounds of race,
color, or national origin in the employment practices of the recipient
or other persons subject to the regulation tends, on the grounds of
race, color, or national origin, to exclude individuals from
participation in, to deny them the benefits of, or to subject them to
discrimination under any program to which this regulation applies, the
provisions of paragraph (a) of this section shall apply to the
employment practices of the recipient or other persons subject to the
regulation, to the extent necessary to assure equality of opportunity
to, and nondiscriminatory treatment of, beneficiaries.

[30 FR 301, Jan. 9, 1965, as amended at 38 FR 17936, July 5, 1973; 68 FR
51350, Aug. 26, 2003]

Sec. 1250.103-4 Illustrative applications.

(a) In training grant services discrimination is forbidden in the
selection or eligibility of individuals to be trained and in their
treatment by the grantee during their training. In any case where
selection is made from a predetermined group, such as the students in an
institution, the group must have been selected without discrimination.
(b) In a research or training grant to a university for activities
to be conducted in a graduate school, discrimination in the admission
and treatment of students in the graduate school is prohibited and the
prohibition extends to the entire university.
(c) Discrimination in the treatment of students or other trainees
includes the prohibition of discrimination among the students or
trainees in the availability or use of any academic, dormitory, eating,
recreational, or other facilities of the grantee or other recipient.
(d) In a research or training grant, discrimination is prohibited
with respect to the availability of any educational activity and any
provision of medical or other services and any financial aid to
individuals incident to the grant.
(e) Upon transfers of real or personal property for research or
educational uses, discrimination is forbidden to the same extent as in
the case of grants for the construction of facilities or the provision
of equipment for like purposes.
(f) In some situations even though past discriminatory practices
have been abandoned, the consequences of such practices continue to
impede the full availability of a benefit. If the efforts required of
the applicant or recipient under Sec. 1250.105 to provide information as
to the availability of the program or activity, and the rights of
beneficiaries under this regulation, have failed to overcome these
consequences, it will become necessary for such applicant or recipient
to take additional steps to make the benefits fully available to racial
and nationality groups previously subjected to discrimination. This
action might take the form, for example, of special arrangements for
obtaining referrals or

[[Page 145]]

making selections which will insure that groups previously subjected to
discrimination are adequately served.
(g) Even though an applicant or recipient has never used
discriminatory policies, the services and benefits of the program or
activity it administers may not in fact be equally available to some
racial or nationality groups. In such circumstances an applicant or
recipient may properly give special consideration to race, color, or
national origin to make the benefits of its program more widely
available to such groups, not then being adequately served. For example,
where a university is not adequately serving members of a particular
racial or nationality group, it may establish special recruitment
policies to make its program better known and more readily available to
such group, and take other steps to provide that group with more
adequate service.

[30 FR 301, Jan. 9, 1965, as amended at 38 FR 17937, July 5, 1973; 68 FR
51350, Aug. 26, 2003]

Sec. 1250.103-5 Special benefits.

An individual shall not be deemed subjected to discrimination by
reason of his exclusion from the benefits limited by Federal law to
individuals of a particular race, color, or national origin different
from his.

[30 FR 301, Jan. 9, 1965, as amended at 68 FR 51350, Aug. 26, 2003]

Sec. 1250.103-6 Medical emergencies.

Notwithstanding the provisions of Secs. 1250.103 to 1250.103-5, a
recipient of Federal financial assistance shall not be deemed to have
failed to comply with Sec. 1250.103-1, if immediate provision of a
service or other benefit to an individual is necessary to prevent his
death or serious impairment of his health, and such service or other
benefit cannot be provided except by or through a medical institution
which refuses or fails to comply with Sec. 1250.103-1.

Sec. 1250.104 Assurances.

(a) General requirement. Every application for Federal financial
assistance to which this part applies, and every application for Federal
financial assistance to provide a facility shall, as a condition to its
approval and the extension of any Federal financial assistance pursuant
to the application, contain, be accompanied by, or identify and make
reference to, an assurance that the program will be conducted or the
facility operated in compliance with all requirements imposed by or
pursuant to this part. If the assurance is not made a part of the
application, the application shall identify the assurance which is
applicable to the application. One assurance shall suffice for all
applications of an applicant if the assurance complies with the
conditions made applicable by this part to each such application for
Federal financial assistance. Every assurance shall include provisions
which give the United States a right to seek its judicial enforcement.
(b) Duration of assurances. The period of time to be covered by the
assurances required under this Sec. 1250.104 shall be as follows:
(1) Real property. In the case of an application for Federal
financial assistance for providing real property or structures thereon,
the assurance shall obligate the recipient, or in the case of a
subsequent transfer, the transferee, for the period during which the
real property or structures are used for a purpose for which the Federal
financial assistance is extended or for another purpose involving the
provision of similar services or benefits.
(2) Personal property. In the case of an application for Federal
financial assistance for providing personal property, the assurance
shall obligate the recipient for the period during which he retains
ownership or possession of the property.
(3) Other kinds of Federal financial assistance. In the case of an
application for any other kind of Federal financial assistance, the
assurance shall obligate the recipient for the period during which
Federal financial assistance is extended pursuant to the application.
(c) Assurances for research, training, or educational programs. (1)
In the case of application by an institution of higher education or any
other organization for

[[Page 146]]

Federal financial assistance for a program or activity which involves
participation by students, fellows or trainees, including but not
limited to assistance for research, training, or the provision of
facilities, the assurance required by this Sec. 1250.104 shall extend to
admission practices and to all other practices relating to the treatment
of students or other participants.
(2) The assurances from such an applicant shall be applicable to the
entire organization of the applicant.
(d) Assurances for construction of facilities. In the case of
assistance for the construction of a facility, or part thereof, the
assurance shall extend to the entire facility and to facilities operated
in connection therewith. In grants to assist in the construction of
facilities for the provision of research, training, or educational
services, assurances will be required that services will be provided
without discrimination, to the same extent that discrimination would be
forbidden as a condition of grants for the support of such services.
Thus, as a condition of grants for the construction of academic,
research or other facilities at institutions of higher education,
assurances will be required that there will be no discrimination in the
admission or treatment of students. Also, see paragraph (c) of this
section for the requirement as to the applicability of the assurance to
the applicant's organization.
(e) Instrument effecting or recording transfers of real property.
The instrument effecting or recording the transfer, shall contain a
covenant running with the land assuring nondiscrimination for the period
during which the real property is used for a purpose for which the
Federal financial assistance is extended or for another purpose
involving the provision of similar services or benefits. Where no
transfer of property is involved, but property is improved with Federal
financial assistance, the recipient shall agree to include such a
covenant in any subsequent transfer of such property. Where the property
is obtained from the Federal Government, such covenant may also include
a condition coupled with a right to be reserved by NASA to revert title
to the property in the event of a breach of the covenant where, in the
discretion of the responsible NASA official, such a condition and right
of reverter is appropriate to the statute under which the real property
is obtained and to the nature of the grant and the grantee.
(f) Assurances for transfer of surplus real property. Transfers of
surplus property are subject to regulations issued by the Administrator
of General Services (41 CFR 101-6.2).
(g) Form of assurances. The responsible NASA officials shall specify
the form of assurances required by this Sec. 1250.104 and the extent to
which like assurances will be required by subgrantees, contractors and
subcontractors, transferees, successors in interest, and other
participants in the program.
(h) Requests for proposals. Any request for proposals issued by NASA
which relates to covered financial assistance listed in appendix A shall
have set forth therein or have attached thereto the assurance prescribed
in accordance with paragraph (g) of this section, and shall require that
the proposer either include the assurance as a part of his signed
proposal or identify and refer to an assurance already signed and
submitted by the proposer.

[30 FR 301, Jan. 9, 1965, as amended at 38 FR 17937, July 5, 1973; 68 FR
51350, Aug. 26, 2003]

Sec. 1250.105 Compliance information.

(a) Cooperation and assistance. Each responsible NASA official shall
to the fullest extent practicable seek the cooperation of recipients in
obtaining compliance with this part and shall provide assistance and
guidance to recipients to help them comply voluntarily with this part.
(b) Compliance reports. Each recipient shall keep such records and
submit to the Principal Compliance Officer or his designee timely,
complete and accurate compliance reports at such times, and in such form
and containing such information, as the Principal Compliance Officer or
his designee may determine to be necessary to enable him to ascertain
whether the recipient has complied or is complying with this part. In
the case in which a primary recipient extends Federal financial
assistance to

[[Page 147]]

any other recipient, such other recipient shall also submit such
compliance reports to the primary recipient as may be necessary to
enable the primary recipient to carry out its obligations under this
part.
(c) Access to sources of information. Each recipient shall permit
access by the Principal Compliance Officer or his designee during normal
business hours to such of its books, records, accounts and other sources
of information, and its facilities as may be pertinent to ascertain
compliance with this part. Where any information required of a recipient
is in the exclusive possession of any other agency, institution or
person and that agency, institution or person shall fail or refuse to
furnish this information, the recipient shall so certify in its report
and shall set forth what efforts it has made to obtain the information.
(d) Information to beneficiaries and participants. Each recipient
shall make available to participants, beneficiaries, and other
interested persons such information regarding the provisions of this
part and its applicability to the program for which the recipient
receives Federal financial assistance, and make such information
available to them in such manner, as the Principal Compliance Officer
finds necessary to apprise such persons of the protection against
discrimination assured them by the Act and this part.

[30 FR 301, Jan. 9, 1965, as amended at 68 FR 51350, Aug. 26, 2003]

Sec. 1250.106 Conduct of investigations.

(a) Periodic compliance reviews. The responsible NASA official or
his designee shall from time to time review the practices of recipients
to determine whether they are complying with this part.
(b) Complaints. Any person who believes himself or any specific
class of individuals to be subjected to discrimination prohibited by
this part may by himself or by a representative file with the Principal
Compliance Officer or his designee a written complaint. A complaint must
be filed not later than 90 days from the date of the alleged
discrimination, unless the time for filing is extended by the Principal
Compliance Officer or his designee.
(c) Investigations. The Principal Compliance Officer or his designee
will make a prompt investigation whenever a compliance review, report,
complaint, or any other information indicates a possible failure to
comply with this part. The investigation should include, where
appropriate, a review of the pertinent practices and policies of the
recipient, the circumstances under which the possible noncompliance with
this part occurred, and other factors relevant to a determination as to
whether the recipient has failed to comply with this part.
(d) Resolution of matters. (1) If an investigation pursuant to
paragraph (c) of this section indicates a failure to comply with this
part, the Principal Compliance Officer or his designee will so inform
the recipient and the matter will be resolved by informal means whenever
possible. If it has been determined that the matter cannot be resolved
by informal means, action will be taken as provided for in
Sec. 1250.107.
(2) If an investigation does not warrant action pursuant to
paragraph (d)(1) of this section, the responsible NASA official or his
designee will so inform the recipient and the complainant, if any, in
writing.
(e) Intimidatory or retaliatory acts prohibited. No recipient or
other person shall intimidate, threaten, coerce, or discriminate against
any individual for the purpose of interfering with any right or
privilege secured by section 601 of the Act or this part, or because he
has made a complaint, testified, assisted, or participated in any manner
in an investigation, proceeding, or hearing under this part. The
identity of complainants shall be kept confidential except to the extent
necessary to carry out the purposes of this part, including the conduct
of any investigation, hearing, or judicial proceeding arising
thereunder.

Sec. 1250.107 Procedure for effecting compliance.

(a) General. If there appears to be a failure or threatened failure
to comply with this part, and if the noncompliance or threatened
noncompliance cannot be corrected by informal means,

[[Page 148]]

compliance with this part may be effected by the suspension or
termination of or refusal to grant or to continue Federal financial
assistance or by any other means authorized by law. Such other means may
include, but are not limited to, (1) a reference to the Department of
Justice with a recommendation that appropriate proceedings be brought to
enforce any rights of the United States under any law of the United
States (including other titles of the Act), or any assurance or other
contractual undertaking, and (2) any applicable proceeding under State
or local law.
(b) Noncompliance with Sec. 1250.104. If an applicant fails or
refuses to furnish an assurance required under Sec. 1250.104 or
otherwise fails or refuses to comply with a requirement imposed by or
pursuant to that section, Federal financial assistance may be refused in
accordance with the procedures of paragraph (c) of this section. NASA
shall not be obligated to provide assistance in such a case during the
pendency of the administrative proceedings under such subsection except
that NASA shall continue assistance during the pendency of such
proceedings where such assistance is due and payable pursuant to an
application therefor approved prior to the effective date of this part.
(c) Termination of or refusal to grant or to continue Federal
financial assistance. No order suspending, terminating or refusing to
grant or continue Federal financial assistance shall become effective
until (1) the responsible NASA official has advised the applicant or
recipient of his failure to comply and has determined that compliance
cannot be secured by voluntary means, (2) there has been an express
finding on the record, after opportunity for hearing, of a failure by
the applicant or recipient to comply with a requirement imposed by or
pursuant to this part, (3) the action has been approved by the
Administrator pursuant to Sec. 1250.109(e), and (4) the expiration of 30
days after the Administrator has filed with the committee of the House
and the committee of the Senate having legislative jurisdiction over the
program involved, a full written report of the circumstances and the
grounds for such action. Any action to suspend or terminate or to refuse
to grant or to continue Federal financial assistance shall be limited to
the particular political entity, or part thereof, or other applicant or
recipient as to whom such a finding has been made and shall be limited
in its effect to the particular program, or part thereof, in which such
noncompliance has been so found.
(d) Other means authorized by law. No action to effect compliance by
any other means authorized by law shall be taken until (1) the Principal
Compliance Officer has determined that compliance cannot be secured by
voluntary means, (2) the recipient or other person has been notified of
its failure to comply and of the action to be taken to effect compliance
and (3) the expiration of at least 10 days from the mailing of such
notice to the recipient or other person. During this period of at least
10 days additional efforts shall be made to persuade the recipient or
other person to comply with this part and to take such corrective action
as may be appropriate.

[30 FR 301, Jan. 9, 1965, as amended at 38 FR 17937, July 5, 1973]

Sec. 1250.108 Hearings.

(a) Opportunity for hearing. Whenever an opportunity for a hearing
is required by Sec. 1250.107(c), reasonable notice shall be given by
registered or certified mail, return receipt requested, to the affected
applicant or recipient. This notice shall advise the applicant or
recipient of the action proposed to be taken, the specific provision
under which the proposed action against it is to be taken, and the
matters of fact or law asserted as the basis for this action, and either
(1) fix a date not less than 20 days after the date of such notice
within which the applicant or recipient may request of the Principal
Compliance Officer that the matter be scheduled for hearing or (2)
advise the applicant or recipient that the matter in question has been
set down for hearing at a stated place and time. The time and place so
fixed shall be reasonable and shall be subject to change for cause. The
complainant, if any, shall be advised of the time and place of the
hearing. An applicant or recipient may waive a hearing and submit
written information and argument for the record.

[[Page 149]]

The failure of an applicant or recipient to request a hearing under this
paragraph or to appear at a hearing for which a date has been set shall
be deemed to be a waiver of the right to a hearing under section 602 of
the Act and Sec. 1250.107(c) of this part and consent to the making of a
decision on the basis of such information as is available.
(b) Time and place of hearing. Hearings shall be held at NASA
Headquarters in Washington, DC, at a time fixed by the Principal
Compliance Officer unless he determines that the convenience of the
applicant or recipient or of NASA requires that another place be
selected. Hearings shall be held before the Administrator, or, at his
discretion, before a hearing examiner designated in conformity with 5
U.S.C. 3105 and 3344 (section 11 of the Administrative Procedure Act).
(c) Right to counsel. In all proceedings under this section, the
applicant or recipient and NASA shall have the right to be represented
by counsel.
(d) Procedures, evidence, and record. (1) The hearing, decision, and
any administrative review thereof shall be conducted in conformity with
5 U.S.C. 554-557 (section 5-8 of the Administrative Procedure Act), and
in accordance with such rules of procedure as are proper (and not
inconsistent with this section) relating to the conduct of the hearing,
giving of notices subsequent to those provided for in paragraph (a) of
this section, taking of testimony, exhibits, arguments, and briefs,
requests for findings, and other related matters. Both NASA and the
applicant or recipient shall be entitled to introduce all relevant
evidence on the issues as stated in the notice for hearing or as
determined by the officer conducting the hearing at the outset of or
during the hearing.
(2) Technical rules of evidence shall not apply to hearings
conducted pursuant to this part, but rules or principles designed to
assure production of the most credible evidence available and to subject
testimony to test by cross-examination shall be applied where reasonably
necessary by the officer conducting the hearing. The hearing officer may
exclude irrelevant, immaterial, or unduly repetitious evidence. All
documents and other evidence offered or taken for the record shall be
open to examination by the parties and opportunity shall be given to
refute facts and arguments advanced on either side of the issues. A
transcript shall be made of the oral evidence except to the extent the
substance thereof is stipulated for the record. All decisions shall be
based upon the hearing record and written findings shall be made.
(e) Consolidated or joint hearings. In cases in which the same or
related facts are asserted to constitute non-compliance with this part
with respect to two or more Federal statutes, authorities, or other
means by which Federal financial assistance is extended and to which
this part applies, or non-compliance with this part and the regulations
of one or more other Federal departments or agencies issued under Title
VI of the Act, the Administrator may, by agreement with such other
departments or agencies where applicable, provide for the conduct of
consolidated or joint hearings, and for the application to such hearings
of rules of procedures not inconsistent with the part. Final decisions
in such cases, insofar as this part is concerned, shall be made in
accordance with Sec. 1250.109.

[30 FR 301, Jan. 9, 1965, as amended at 38 FR 17937, July 5, 1973; 68 FR
51350, Aug. 26, 2003]

Sec. 1250.109 Decisions and notices.

(a) Decision by person other than the NASA Principal Compliance
Officer. If the hearing is held by a hearing examiner, such hearing
examiner shall either make an initial decision, if so authorized, or
certify the entire record including his recommended findings and
proposed decision to the Principal Compliance Officer for a final
decision, and a copy of such initial decision or certification shall be
mailed to the applicant or recipient. Where the initial decision is made
by the hearing examiner, the applicant or recipient may, within 30 days
of the mailing of such notice of initial decision, file with the
Principal Compliance Officer his exceptions to the initial decision with
his reasons therefor. In the absence of exceptions, the Principal
Compliance Officer may on his own motion, within 45 days after the
initial decision, serve on

[[Page 150]]

the applicant or recipient a notice that he will review the decision.
Upon the filing of such exceptions or of such notice of review the
Principal Compliance Officer shall review the initial decision and issue
his own decision thereon including the reasons therefor. In the absence
of either exceptions or a notice of review the initial decision shall
constitute the final decision of the Principal Compliance Officer.
(b) Decisions on record or review by the NASA Principal Compliance
Officer. Whenever a record is certified to the Principal Compliance
Officer for decision or he reviews the decision of a hearing examiner
pursuant to paragraph (a) of this section, or whenever the Administrator
conducts the hearing, the applicant or recipient shall be given
reasonable opportunity to file with him briefs or other written
statements of its contentions, and a copy of the final decision of the
Principal Compliance Officer shall be given in writing to the applicant
or recipient and to the complainant, if any.
(c) Decisions on record where a hearing is waived. Whenever a
hearing is waived pursuant to Sec. 1250.108, a decision shall be made by
the Principal Compliance Officer on the record and a copy of such
decision shall be given in writing to the applicant or recipient, and to
the complainant, if any.
(d) Rulings required. Each decision of a hearing officer or the
Principal Compliance Officer shall set forth his ruling on each finding,
conclusion, or exception presented, and shall identify the requirement
or requirements imposed by or pursuant to this part with which it is
found that the applicant or recipient has failed to comply.
(e) Approval by administrator. Any final decision of the NASA
Principal Compliance Officer which provides for the suspension or
termination of, or the refusal to grant or continue Federal financial
assistance, or the imposition of any other sanction available under this
part or the Act, shall promptly be transmitted to the Administrator, who
may approve such decision, may vacate it, or remit or mitigate any
sanction imposed.
(f) Content of orders. The final decision may provide for suspension
or termination of, or refusal to grant or continue Federal financial
assistance, in whole or in part, to which this regulation applies, and
may contain such terms, conditions, and other provisions as are
consistent with and will effectuate the purposes of the Act and this
part including provisions designed to assure that no Federal financial
assistance to which this regulation applies will thereafter be extended
to the applicant or recipient determined by such decision to be in
default in its performance of an assurance given by it pursuant to this
part, or to have otherwise failed to comply with this part, unless and
until it corrects its non-compliance and satisfies the Principal
Compliance Officer that it will fully comply with this part.
(g) Post termination proceedings. (1) An applicant or recipient
adversely affected by an order issued under paragraph (f) of this
section shall be restored to full eligibility to receive Federal
financial assistance if it satisfies the terms and conditions of that
order for such eligibility or if it brings itself into compliance with
this regulation and provides reasonable assurance that it will fully
comply with this regulation.
(2) Any applicant or recipient adversely affected by an order
entered pursuant to paragraph (f) of this section may at any time
request the Principal Compliance Officer to restore fully the
eligibility to receive Federal financial assistance. Any such request
shall be supported by information showing that the applicant or
recipient has met the requirements of paragraph (g)(1) of this section.
If the Principal Compliance Officer determines that those requirements
have been satisfied, he shall restore such eligibility.
(3) If the Principal Compliance Officer denies any such request, the
applicant or recipient may submit a request for a hearing in writing,
specifying why it believes such official to have been in error. It shall
thereupon be given an expeditious hearing, with a decision on the
record, in accordance with rules of procedure issued by the Principal
Compliance Officer. The applicant or recipient will be restored to such
eligibility if it proves at such a hearing that it satisfied the
requirements of paragraph (g)(1) of this section. While proceedings

[[Page 151]]

under this paragraph are pending, the sanctions imposed by the order
issued under paragraph (f) of this section shall remain in effect.

[30 FR 301, Jan. 9, 1965, as amended at 38 FR 17937, July 5, 1973; 68 FR
51350, Aug. 26, 2003]

Sec. 1250.110 Judicial review.

Action taken pursuant to section 602 of the Act is subject to
judicial review as provided in section 603 of the Act.

Sec. 1250.111 Effect on other regulations; forms and instructions.

(a) Effect on other regulations. All regulations, orders, or like
directions heretofore issued by any officer of NASA which impose
requirements designed to prohibit any discrimination against individuals
on the ground of race, color, or national origin under any program to
which this part applies, and which authorize the suspension or
termination of or refusal to grant or to continue Federal financial
assistance to any applicant for or recipient of such assistance for
failure to comply with such requirements, are hereby superseded to the
extent that such discrimination is prohibited by this part, except that
nothing in this part shall be deemed to relieve any person of any
obligation assumed or imposed under any such superseded regulation,
order, instruction, or like direction prior to the effective date of
this Instruction. Nothing in this part, however, shall be deemed to
supersede any of the following (including future amendments thereof):
(1) Executive Orders 10925 and 11246 and regulations or instructions
issued thereunder, or (2) any other regulations or instructions, insofar
as such other regulations or instructions prohibit discrimination on the
ground of race, color, or national origin in any program or situation to
which this part is inapplicable, or prohibit discrimination on any other
ground.
(b) Forms and instructions. Each responsible NASA official shall
issue and promptly make available to interested persons forms and
detailed instructions and procedures for effectuating this part as
applied to financial assistance to which this part applies and for which
he is responsible.
(c) Supervision and coordination. The Administrator may assign to
officials of other departments or agencies of the Government, with the
consent of such departments or agencies, responsibilities in connection
with the effectuation of the purposes of Title VI of the Act and this
part (other than responsibility for final decision as provided in
Sec. 1250.109), including the achievement of effective coordination and
maximum uniformity within NASA and within the Executive Branch of the
Government in the application of Title VI and this part to similar
programs and in similar situations. Any action taken, determination
made, or requirement imposed by an official of another department or
agency acting pursuant to an assignment of responsibility under this
subsection shall have the same effect as though such action has been
taken by the responsible official of this agency.

[30 FR 301, Jan. 9, 1965, as amended at 38 FR 17937, July 5, 1973; 68 FR
51350, Aug. 26, 2003]

Sec. 1250.112 Relationship with other officials.

NASA officials, in performing the functions assigned to them by this
part, are responsible for recognizing the delegations of authority and
responsibility of other NASA officials and for seeing the actions taken
or instructions issued by them are properly coordinated with the offices
and divisions having joint interests.

Sec. Appendix A to Part 1250--NASA Federal Financial Assistance to Which
This Part Applies

1. Grants made under the authority of Pub. L. 85-934, approved
September 6, 1958 (42 U.S.C. 1891-1893).
2. Contracts with nonprofit institutions of higher education or with
nonprofit organizations whose primary purpose is the conduct of
scientific research, wherein title to equipment purchased with funds
under such contracts may be vested in such institutions or organizations
under the authority of section 2 of Pub. L. 85-934, approved September
6, 1938 (42 U.S.C. 1892).
3. Training grants made under the authority of the National
Aeronautics and Space Act of 1958, as amended (42 U.S.C. 2451-2460,
2472-2473).

[[Page 152]]

4. Facilities grants made under authority in annual NASA
authorization and appropriation acts.

[30 FR 301, Jan. 9, 1965, as amended at 38 FR 17936, July 5, 1973]

PART 1251_NONDISCRIMINATION ON BASIS OF DISABILITY--Table of Contents

Subpart 1251.1_General Provisions

Sec.
1251.100 Purpose and broad coverage.
1251.101 Application.
1251.102 Definitions.
1251.103 Discrimination prohibited.
1251.104 Assurances required.
1251.105 Remedial action, voluntary action, and self-evaluation.
1251.106 Designation of responsible employee and adoption of grievance
procedures.
1251.107 Notice.
1251.108 Administrative requirements for small recipients.
1251.109 Effect of State or local law or other requirements and effect
of employment opportunities.
1251.110 Direct threat.
1251.111 Reasonable accommodation.
1251.112 Communications.
1251.113 Illegal Use of drugs.

Subpart 1251.2_Employment Practices

1251.200 Discrimination prohibited.
1251.201 Reasonable accommodation.
1251.202 Employment criteria.
1251.203 Preemployment inquiries.

Subpart 1251.3_Accessibility

1251.300 Discrimination prohibited.
1251.301 Existing facilities.
1251.302 New construction.

Subpart 1251.4_Procedures

1251.400 Compliance Procedures.

Subpart 1251.5_Enforcement of Nondiscrimination on the Basis of
Disability in Programs or Activities Conducted by the National
Aeronautics and Space Administration

1251.501 Purpose.
1251.502 Application.
1251.503 Definitions.
1251.504-1251.509 [Reserved]
1251.510 Self-evaluation.
1251.511 Notice.
1251.512-1251.529 [Reserved]
1251.530 General prohibitions against discrimination.
1251.531-1251.539 [Reserved]
1251.540 Employment.
1251.541-1251.548 [Reserved]
1251.549 Program accessibility: Discrimination prohibited.
1251.550 Program accessibility: Existing facilities.
1251.551 Program accessibility: New construction and alterations.
1251.552-1251.559 [Reserved]
1251.560 Communications.
1251.561-1251.569 [Reserved]
1251.570 Compliance procedures.
1251.571-1251.579 [Reserved]
1251.580 Direct threat.
1251.581 Reasonable accommodation.
1251.582 Illegal use of drugs
1251.583-1251.999 [Reserved]

Authority: Sec. 504 (29 U.S.C. 794)

Source: 51 FR 26862, July 28, 1986, unless otherwise noted.

Editorial Note: Nomenclature changes to part 1251 appear at 81 FR
3709, Jan. 22, 2016.

Subpart 1251.1_General Provisions

Sec. 1251.100 Purpose and broad coverage.

(a) Purpose. This part effectuates section 504 of the Rehabilitation
Act of 1973, which is designed to eliminate discrimination on the basis
of disability in any program or activity receiving Federal financial
assistance.
(b) Broad scope of coverage. Consistent with the Americans with
Disabilities Act Amendments Act of 2008's purpose (ADA Amendments Act)
of reinstating a broad scope of protection under the ADA and section
504, the definition of ``disability'' applicable to this part shall be
construed broadly in favor of expansive coverage to the maximum extent
permitted by the terms of this part. The primary object of attention in
cases brought under this part should be whether entities covered under
section 504 have complied with their obligations and whether
discrimination has occurred, not whether the individual meets the
definition of disability. The question of whether an individual meets
the definition of disability under this part should not demand extensive
analysis.

[81 FR 3709, Jan. 22, 2016]

Sec. 1251.101 Application.

This part applies to each recipient of Federal financial assistance
from the

[[Page 153]]

National Aeronautics and Space Administration and to each program or
activity that receives such assistance.

[51 FR 26862, July 28, 1986, as amended at 68 FR 51351, Aug. 26, 2003]

Sec. 1251.102 Definitions

As used in this part, the term:
(a) 2004 ADAAG means the Americans with Disabilities Act (ADA)
Accessibility Guidelines for Buildings and Facilities requirements set
forth in appendices B and D to 36 CFR part 1191 (2009).
(b) 2010 Standards means the 2010 ADA Standards for Accessible
Design, which consist of the 2004 ADAAG and the requirements contained
in 28 CFR 35.151.
(c) Applicant for assistance means one who submits an application,
request, or plan required to be approved either by a NASA official or by
a recipient, as a condition to becoming a recipient.
(d) Associate Administrator means the Associate Administrator for
Diversity and Equal Opportunity Programs for NASA.
(e) Auxiliary aids and services means services or devices that
enable persons with sensory, manual, or speech disabilities to have an
equal opportunity to participate in, and enjoy the benefits of, programs
or activities conducted by the recipient. Auxiliary aids and services
include:
(1) Qualified interpreters onsite or through video remote
interpreting (VRI) services; notetakers; real-time computer-aided
transcription services; written materials; exchange of written notes;
telephone handset amplifiers; assistive listening devices; assistive
listening systems; telephones compatible with hearing aids; closed
caption decoders; open and closed captioning, including real-time
captioning; voice, text, and video-based telecommunications products and
systems, including text telephones (TTYs), videophones, and captioned
telephones, or equally effective telecommunications devices; videotext
displays; accessible electronic and information technology; or other
effective methods of making aurally delivered information available to
individuals who are deaf or hard of hearing;
(2) Qualified readers; taped texts; audio recordings; Brailled
materials and displays; screen reader software; magnification software;
optical readers; secondary auditory programs (SAP); large print
materials; accessible electronic and information technology; or other
effective methods of making visually delivered materials available to
individuals who are blind or have low vision;
(3) Acquisition or modification of equipment or devices; and
(4) Other similar services and actions.
(f) Direct threat means a significant risk to the health or safety
of others that cannot be eliminated by a change to policies, practices
or procedures, or by the provision of auxiliary aids or services as
provided in Sec. 1251.110 of this part.
(g) Disability means the definition given that term in the
Department of Justice's regulation implementing title II of the ADA at
28 CFR part 35.
(h) Drug means a controlled substance as defined in schedules I
through V of section 202 of the Controlled Substances Act (21 U.S.C.
812).
(i) Facility means all or any portion of buildings, structures,
equipment, roads, walks, parking lots, or other real or personal
property or interest in such property.
(j) Federal financial assistance means any grant, loan, contract
(other than a procurement contract or a contract of insurance or
guaranty), or any other arrangement by which the agency provides or
otherwise makes available assistance in the form of:
(1) Funds;
(2) Services of Federal personnel; or
(3) Real and personal property or any interest in or use of such
property, including:
(i) Transfers or leases of such property for less than fair market
value or for reduced consideration; and
(ii) Proceeds from a subsequent transfer or lease of such property
if the Federal share of its fair market value is not returned to the
Federal Government.
(k) Illegal use of drugs means the use of one or more drugs, the
possession or distribution of which is unlawful under the Controlled
Substances Act (21 U.S.C. 812). The term illegal use of drugs does not
include the use of a drug

[[Page 154]]

taken under supervision by a licensed health care professional, or other
uses authorized by the Controlled Substances Act or other provisions of
Federal law.
(l) Individual with a disability means any individual who has a
disability as defined in 28 CFR part 35. The term ``individual with a
disability'' does not include an individual who is currently engaging in
the illegal use of drugs, when the recipient acts on the basis of such
use.
(m) Program or activity means all of the operations of any entity
described in paragraphs (m)(1) through (4) of this section, any part of
which is extended Federal financial assistance:
(1)(i) A department, agency, special purpose district, or other
instrumentality of a State or of a local government; or
(ii) The entity of such State or local government that distributes
such assistance and each such department or agency (and each other State
or local government entity) to which the assistance is extended, in the
case of assistance to a State or local government;
(2)(i) A college, university, or other postsecondary institution, or
a public system of higher education; or
(ii) A local educational agency (as defined in 20 U.S.C. 7801),
system of vocational education, or other school system;
(3)(i) An entire corporation, partnership, or other private
organization, or an entire sole proprietorship--
(A) If assistance is extended to such corporation, partnership,
private organization, or sole proprietorship as a whole; or
(B) Which is principally engaged in the business of providing
education, health care, housing, social services, or parks and
recreation; or
(ii) The entire plant or other comparable, geographically separate
facility to which Federal financial assistance is extended, in the case
of any other corporation, partnership, private organization, or sole
proprietorship; or
(4) Any other entity which is established by two or more of the
entities described in paragraph (m)(1), (2), or (3) of this section.
(n) Qualified individual with a disability means:
(1) With respect to any aid, benefit, or service, provided under a
program or activity subject to this part, an individual with a
disability who, with or without reasonable accommodations in rules
policies, or procedures, the removal of architectural, communication, or
transportation barriers, or the provision auxiliary aids or services,
meets the essential eligibility requirements for participation in, or
receipt from, that aid, benefit, or service, and
(2) With respect to employment, the definition given that term in
the Equal Employment Opportunity Commission's regulation at 29 CFR part
1630, implementing Title I of the Americans with Disabilities Act of
1990, which regulation is made applicable to this part by Sec. 1251.2.
(o) Recipient means any state or its political subdivision, any
instrumentality of a state or its political subdivision, any public or
private agency, institution, organization, or other entity, or any
person to which Federal financial assistance is extended directly or
through another recipient, including any successor, assignee, or
transferee of a recipient, but excluding the ultimate beneficiary of the
assistance.
(p) Section 504 means section 504 of the Act.
(q) The Act means the Rehabilitation Act of 1973, Pub. L. 93-112, as
amended, 29 U.S.C. 794 et seq.

[81 FR 3709, Jan. 22, 2016]

Sec. 1251.103 Discrimination prohibited.

(a) General. No qualified individual with a disability shall, on the
basis of disability, be excluded from participation in, be denied the
benefits of, or otherwise be subjected to discrimination under any
program or activity which receives Federal financial assistance.
(b) Discriminatory actions prohibited. (1) A recipient, in providing
any aid, benefits, or services, may not, directly or through
contractual, licensing, or other arrangements, on the basis of
disability:
(i) Deny a qualified individual with a disability the opportunity to
participate in or benefit from the aid, benefit, or service;

[[Page 155]]

(ii) Afford a qualified individual with a disability an opportunity
to participate in or benefit from aid, benefit, or service that is not
equal to that afforded others;
(iii) Provide a qualified individual with a disability with an aid,
benefit, or service that is not as effective as that provided to others;
(iv) Provide different or separate aid, benefits, or services to
individuals with disabilities or to any class of individuals with
disabilities unless such action is necessary to provide qualified
individuals with disabilities with aid, benefits, or services that are
as effective as those provided to others;
(v) Aid or perpetuate discrimination against a qualified individual
with a disability by providing significant assistance to an agency,
organization, or person that discriminates on the basis of disability in
providing any aid, benefit, or service to beneficiaries of the
recipient's program or activity;
(vi) Deny a qualified individual with a disability the opportunity
to participate as a member of planning or advisory boards; or
(vii) Otherwise limit a qualified individual with a disability in
the enjoyment of any right, privilege, advantage, or opportunity enjoyed
by others receiving an aid, benefit, or service.
(2) For purposes of this part, aids, benefits, and services, to be
equally effective, are not required to produce the identical result or
level of achievement for individuals with disabilities and individuals
without disabilities, but must afford individuals with disabilities
equal opportunity to obtain the same result, to gain the same benefit,
or to reach the same level of achievement, in the most integrated
setting appropriate to the person's needs.
(3) Recipients shall take appropriate steps to ensure that no
individual with disability is denied the benefits of, excluded from
participation in, or otherwise subjected to discrimination in any
program or activity receiving Federal financial assistance because of
the absence of auxiliary aids for individuals with impaired sensory,
manual, or speaking skills.
(4) Despite the existence of separate or different aid, benefits, or
services provided in accordance with this part, a recipient may not deny
a qualified individual with a disability the opportunity to participate
in such programs or activities that are not separate or different.
(5) A recipient may not, directly or through contractual or other
arrangements, utilize criteria or methods of administration:
(i) That have the effect of subjecting qualified individuals with
disabilities to discrimination of the basis of disability;
(ii) That have the purpose or effect of defeating or substantially
impairing accomplishment of the objectives of the recipient's program or
activity with respect to individuals with disabilities; or
(iii) That perpetuate the discrimination of another recipient if
both recipients are subject to common administrative control or are
agencies of the same State.
(6) In determining the site or location of a facility, an applicant
for assistance or a recipient may not make selections:
(i) That have the effect of excluding individuals with disabilities
from, denying them the benefits of, or otherwise subjecting them to
discrimination under any program or activity that receives Federal
financial assistance; or
(ii) That have the purpose or effect of defeating or substantially
impairing the accomplishment of the objectives of the program or
activity with respect to individuals with disabilities.
(7) As used in this section, the aid, benefit, or service provided
under a program or activity receiving Federal financial assistance
includes any aid, benefit, or service provided in or through a facility
that has been constructed, expanded, altered, leased or rented, or
otherwise acquired, in whole or in part, with Federal financial
assistance.
(8) Recipients shall take appropriate steps to ensure that
communications with their applicants, employees, and beneficiaries are
available to persons with impaired vision and hearing.
(c) Aid, benefits, or services limited by Federal law. The exclusion
of individuals without disabilities from aid, benefits, or services
limited by Federal

[[Page 156]]

statute of Executive order to individuals with disabilities from aid,
benefits, or services limited by Federal statute or Executive order to a
different class of individuals with disabilities is not prohibited by
this part.

[51 FR 26862, July 28, 1986, as amended at 68 FR 51351, Aug. 26, 2003]

Sec. 1251.104 Assurances required.

(a) Assurances. An applicant for Federal financial assistance to
which this part applies shall submit an assurance, on a form specified
by the Associate Administrator, that the program or activity will be
operated in compliance with this part. An applicant may incorporate
these assurances by reference in subsequent applications to NASA.
(b) Duration of obligation. (1) In the case of Federal financial
assistance extended in the form of real property or to provide real
property or structures on the property, the assurance will obligate the
recipient or, in the case of a subsequent transfer, the transferee, for
the period during which the real property or structures are used for the
purpose for which Federal financial assistance is extended or for
another purpose involving the provision of similar services or benefits.
(2) In the case of Federal financial assistance extended to provide
personal property, the assurance will obligate the recipient for the
period during which it retains ownership or possession of the property.
(3) In all other cases, the assurance will obligate the recipient
for the period during which Federal financial assistance is extended.
(c) Covenants. (1) Where Federal financial assistance is provided in
the form of real property or interest in the property from NASA, the
instrument effecting or recording this transfer shall contain a covenant
running with the land to assure nondiscrimination for the period during
which the real property is used for a purpose for which the Federal
financial assistance is extended or for another purpose involving the
provision of similar services or benefits.
(2) Where no transfer of property is involved but property is
purchased or improved with Federal financial assistance, the recipient
shall agree to include the covenant described in paragraph (c)(3) of
this section in the instrument effecting or recording any subsequent
transfer of the property.
(3) Where Federal financial assistance is provided in the form of
real property or interest in the property from NASA, the covenant shall
also include a condition coupled with a right to be reserved by NASA to
revert title to the property in the event of a breach of the covenant.
If a transferee of real property proposes to mortgage or otherwise
encumber the real property as security for financing construction of
new, or improvement of existing facilities on the property for the
purposes for which the property was transferred, the Associate
Administrator may, upon request of the transferee and if necessary to
accomplish such financing and upon such conditions as he or she deems
appropriate, agree to forbear the exercise of such right to revert title
for so long as the lien of such mortgage or other encumbrance remains
effective.

[51 FR 26862, July 28, 1986, as amended at 68 FR 51351, Aug. 26, 2003;
81 FR 3711, Jan. 22, 2016]

Sec. 1251.105 Remedial action, voluntary action, and self-evaluation.

(a) Remedial action. (1) If the Associate Administrator finds that a
recipient has discriminated against persons on the basis of disability
in violation of section 504 or this part, the recipient shall take such
remedial action as the Associate Administrator deems necessary to
overcome the effects to the discrimination.
(2) Where a recipient is found to have discriminated against persons
on the basis of disability in violation of section 504 or this part and
where another recipient exercises control over the recipient that has
discriminated, the Associate Administrator, where appropriate, may
require either or both recipients to take remedial action.
(3) The Associate Administrator may, where necessary to overcome the
effects of discrimination in violation of section 504 or this part,
require a recipient to take remedial action:
(i) With respect to individuals with disabilities who are no longer
participants in the recipient's program or activity but who were
participants in the

[[Page 157]]

program or activity when such discrimination occurred; or
(ii) With respect to individuals with disabilities who would have
been participants in the program or activity had the discrimination not
occurred; or
(iii) With respect to individuals with disabilities presently in the
program or activity, but not receiving full benefits or equal and
integrated treatment within the program or activity.
(b) Voluntary action. A recipient may take steps, in addition to any
action that is required by this part, to overcome the effects of
conditions that resulted in limited participation in the recipient's
program or activity by qualified individuals with disabilities.
(c) Self-evaluation. (1) A recipient shall, within 1 year of the
effective date of this part; or within 1 year of first becoming a
recipient:
(i) Evaluate, with the assistance of interested persons, including
individuals with disabilities or organizations representing individuals
with disabilities, its current policies and practices and the effects
thereof that do not or may not meet the requirements of this part;
(ii) Modify, after consultation with interested persons, including
individuals with disabilities or organizations representing individuals
with disabilities, any policies and practices that do not meet the
requirements of this part; and
(iii) Take, after consultation with interested persons, including
individuals with disabilities or organizations representing individuals
with disabilities, appropriate remedial steps to eliminate the effects
of any discrimination that resulted from adherence to these policies and
practices.
(2) A recipient that employs 15 or more persons shall, for at least
3 years, follow completion of the evaluation required under paragraph
(c)(1) of this section, maintain on file, make available for public
inspection, and provide to the Associate Administrator upon request:
(i) A list of the interested persons consulted;
(ii) A description of areas examined and any problems identified;
and
(iii) A description of any modifications made and of any remedial
steps taken.

[51 FR 26862, July 28, 1986, as amended at 68 FR 51351, Aug. 26, 2003;
81 FR 3711, Jan. 22, 2016]

Sec. 1251.106 Designation of responsible employee and adoption of
grievance procedures.

(a) Designation of responsible employee. A recipient that employs 15
or more persons shall designate at least one person to coordinate its
efforts to comply with this part.
(b) Adoption of grievance procedures. A recipient that employs 15 or
more persons shall adopt grievance procedures that incorporate
appropriate due process standards and that provide for the prompt and
equitable resolution of complaints alleging any action prohibited by
this part. Such procedures need not to be established with respect to
complaints from applicants for employment or from applicants for
admission to postsecondary educational institutions.

Sec. 1251.107 Notice.

(a) A recipient that employs 15 or more persons shall take
appropriate initial and continuing steps to notify participants,
beneficiaries, applicants, and employees, including those with vision or
hearing disabilities, and unions or professional organizations holding
collective bargaining or professional agreements with the recipient that
it does not discriminate on the basis of disability in violation of
section 504 and this part. The notification shall state, where
appropriate, that the recipient does not discriminate in admission or
access to, or treatment or employment in, its programs or activities.
The notification shall also include an identification of the responsible
employee designated pursuant to Sec. 1251.106(a). A recipient shall make
the initial notification required by this paragraph within 90 days of
the effective date of this part. Methods of initial and continuing
notification may include the posting of notices, transmission via
electronic mail or text message, publication on the recipient's internet
Web site, or in newspapers and

[[Page 158]]

magazines, placement of notices in recipient's publication, and
distribution of memoranda or other written communications.
(b) If a recipient publishes or uses recruitment materials or
publications containing general information that it makes available to
participants, beneficiaries, applicants, or employees, it shall include
in those materials or publications a statement of the policy described
in paragraph (a) of this section. A recipient may meet the requirement
of this section and this paragraph either by including appropriate
inserts in existing materials and publications or by revising and
reprinting the materials and publications.

[51 FR 26862, July 28, 1986, as amended at 68 FR 51351, Aug. 26, 2003;
81 FR 3711, Jan. 22, 2016]

Sec. 1251.108 Administrative requirements for small recipients.

The Associate Administrator may require any recipient with fewer
than 15 employees, or any class of such recipients, to comply with
Secs. 1251.106 and 1251.107, in whole or in part, when the Associate
Administrator finds a violation of this part or finds that such
compliance will not significantly impair the ability of the recipient or
class of recipients to provide benefits or services.

[51 FR 26862, July 28, 1986, as amended at 81 FR 3711, Jan. 22, 2016]

Sec. 1251.109 Effect of State or local law or other requirements and
effect of employment opportunities.

(a) The obligation to comply with this part is not obviated or
alleviated by the existence of any state or local law or other
requirement that, on the basis of disability, imposes prohibitions or
limits upon the eligibility of qualified individuals with disabilities
to receive services or to practice any occupation or profession.
(b) The obligation to comply with this part is not obviated or
alleviated because employment opportunities in any occupation or
profession are or may be more limited for individuals with disabilities
than for individuals without disabilities.

Sec. 1251.110 Direct threat.

(a) This part does not require a recipient to permit an individual
to participate in or benefit from the services, programs, or activities
of that recipient when that individual poses a direct threat to the
health or safety of others.
(b) In determining whether an individual poses a direct threat to
the health or safety of others, a recipient must make an individualized
assessment, based on reasonable judgment that relies on current medical
knowledge or on the best available objective evidence, to ascertain: The
nature, duration, and severity of the risk; the probability that the
potential injury will actually occur; and whether reasonable
accommodations in policies, practices, or procedures or the provision of
auxiliary aids or services will mitigate the risk.

[81 FR 3711, Jan. 22, 2016]

Sec. 1251.111 Reasonable accommodation.

A recipient shall make reasonable accommodations in policies,
practices, or procedures when such accommodations are necessary to avoid
discrimination on the basis of disability, unless the recipient can
demonstrate that making the accommodations would fundamentally alter the
nature of the service, program, or activity or result in an undue
financial and administrative burden.

[81 FR 3711, Jan. 22, 2016]

Sec. 1251.112 Communications.

(a) A recipient shall take appropriate steps to ensure that
communications with applicants, participants, beneficiaries, members of
the public, and companions with disabilities, are as effective as
communications with others.
(b)(1) A recipient shall furnish appropriate auxiliary aids or
services where necessary to afford qualified individuals with
disabilities, including applicants, participants, beneficiaries, and
members of the public, an equal opportunity to participate in, and enjoy
the benefits of, a program or activity of the recipient.

[[Page 159]]

(i) In determining what type of auxiliary aid or service is
necessary, the recipient shall give primary consideration to the
requests of the individual with a disability.
(ii) The recipient need not provide individually prescribed devices,
readers for personal use or study, or other devices of a personal
nature.
(2) Where the recipient communicates with applicants and
beneficiaries by telephone, telecommunication devices for deaf persons
(TTY's) or equally effective telecommunication systems shall be used to
communicate with persons who are deaf or hard of hearing or have speech
impairments.
(c) This section does not require the recipient to take any action
that it can demonstrate would result in a fundamental alteration in the
nature of a program or activity or in undue financial and administrative
burdens. In those circumstances where the recipient believes that the
proposed action would fundamentally alter the program or activity or
would result in undue financial and administrative burdens, the
recipient has the burden of proving that compliance with Sec. 1251.112
would result in such alteration or burdens. The decision that compliance
would result in such alteration or burdens must be made by the chief
executive officer of the recipient or his or her designee after
considering all of the recipient's resources available for use in the
funding and operation of the conducted program or activity and must be
accompanied by a written statement of the reasons for reaching that
conclusion. If an action required to comply with this section would
result in such an alteration or such burdens, the recipient shall take
any other action that would not result in such an alteration or such
burdens but would nevertheless ensure that, to the maximum extent
possible, individuals with disabilities receive the benefits and
services of the program or activity.

[81 FR 3711, Jan. 22, 2016]

Sec. 1251.113 Illegal Use of Drugs

(a) General. (1) Except as provided in paragraph (b) of this
section, this part does not prohibit discrimination against an
individual based on that individual's current illegal use of drugs.
(2) A recipient shall not discriminate on the basis of illegal use
of drugs against an individual who is not engaging in current illegal
use of drugs and who--
(i) Has successfully completed a supervised drug rehabilitation
program or has otherwise been rehabilitated successfully;
(ii) Is participating in a supervised rehabilitation program; or
(iii) Is erroneously regarded as engaging in such use.
(b) Health and drug rehabilitation services. (1) A recipient shall
not deny health services, or services provided in connection with drug
rehabilitation, to an individual on the basis of that individual's
current illegal use of drugs, if the individual is otherwise entitled to
such services.
(2) A drug rehabilitation or treatment program may deny
participation to individuals who engage in illegal use of drugs while
they are in the program.
(c) Drug testing. (1) This part does not prohibit a recipient from
adopting or administering reasonable policies or procedures, including
but not limited to drug testing, designed to ensure that an individual
who formerly engaged in the illegal use of drugs is not now engaging in
current illegal use of drugs.
(2) Nothing in this paragraph (c) shall be construed to encourage,
prohibit, restrict, or authorize the conduct of testing for the illegal
use of drugs.

[81 FR 3711, Jan. 22, 2016]

Subpart 1251.2_Employment Practices

Sec. 1251.200 Discrimination prohibited.

(a) General. No qualified individual shall, on the basis of
disability, be subjected to discrimination in employment under any
program or activity to which this part applies.
(b) Employment discrimination standards. The standards used to
determine whether paragraph (a) of this section has been violated shall
be the standards applied under Title I of the Americans with
Disabilities Act of 1990 (42 U.S.C. 12111 et seq.) and, as such sections
relate to employment, the provisions of sections 501 through 504 and 510
of the Americans with Disabilities Act

[[Page 160]]

of 1990 (42 U.S.C. 12201-12204 and 12210), as amended by the ADA
Amendments Act of 2008 (Pub. L. 110-325), as such standards are
implemented in the Equal Employment Opportunity Commission's regulation
at 29 CFR part 1630. The procedures to be used to determine whether
paragraph (a) of this section has been violated shall be the procedures
set forth in Sec. 1251.400 of this part.

[81 FR 3712, Jan. 22, 2016]

Sec. 1251.201 Reasonable accommodation.

(a) A recipient shall make reasonable accommodation to the known
physical or mental limitations of an otherwise qualified applicant or
employee with disabilities unless the recipient can demonstrate that the
accommodation would impose an undue hardship on the operation of its
program or activity.
(b) Reasonable accommodation may include:
(1) Making facilities used by employees readily accessible to and
usable by individuals with disabilities; and
(2) Job restructuring, part-time or modified work schedules,
acquisition or modification of equipment or devices, the provision of
readers or interpreters, and other similar actions.
(c) In determining pursuant to paragraph (a) of this section whether
an accommodation would impose an undue hardship on the operation of a
recipient's programor activity, factors to be considered include:
(1) The overall size of the recipient's program or activity with
respect to number of employees, number and type of facilities, and size
of budget;
(2) The type of the recipient's operation, including the composition
and structure of the recipient's workforce; and
(3) The nature and cost of the accommodation needed.
(d) A recipient may not deny any employment opportunity to a
qualified applicant or employee with a disability if the basis for the
denial is the need to make reasonable accommodation to the physical or
mental limitations of the employee or applicant.

[51 FR 26862, July 28, 1986, as amended at 68 FR 51351, Aug. 26, 2003]

Sec. 1251.202 Employment criteria.

(a) A recipient may not make use of any employment test or other
selection criterion that screens out or tends to screen out individuals
with disabilities or any class of individuals with disabilities unless:
(1) The test score or other selection criterion, as used by the
recipient, is shown to be job-related for the position in question; and
(2) Alternative job-related tests of criteria that do not screen out
or tend to screen out as many individuals with disabilities are not
shown by the Associate Administrator to be available.
(b) A recipient shall select and administer tests concerning
employment so as best to ensure that, when administered to an applicant
or employee who has a disability that impairs sensory, manual, or
speaking skills, the test results accurately reflect the applicant's or
employee's job skills, aptitude, or whatever other factor the test
purports to measure, rather than reflecting the applicant's or
employee's impaired sensory, manual, or speaking skills (except where
those skills are the factors that the test purports to measure).

[51 FR 26862, July 28, 1986, as amended at 81 FR 3712, Jan. 22, 2016]

Sec. 1251.203 Preemployment inquiries.

(a) Except as provided in paragraphs (b) and (c) of this section, a
recipient may not conduct a preemployment medical examination or may not
make preemployment inquiry of an applicant as to whether the applicant
is a individual with a disabilityor as to the nature or severity of a
disability. A recipient may, however, make preemployment inquiry into an
applicant's ability to perform job-related functions.
(b) When a recipient is taking remedial action to correct the
effects of past discrimination pursuant to Sec. 1251.105(a), when a
recipient is taking voluntary action to overcome the effects of
conditions that resulted in limited participation in its Federally
assisted program or activity pursuant to Sec. 1251.105(b), or when a
recipient is taking affirmative action pursuant to section 504 of the
Act, the recipient may

[[Page 161]]

invite applicants for employment to indicate whether and to what extent
they are handicapped, provided that:
(1) The recipient states clearly on any written questionnaire used
for this purpose or makes clear orally if no written questionnaire is
used that the information requested is intended for use solely in
connection with its remedial action obligations or its voluntary of
affirmative action efforts; and
(2) The recipient states clearly that the information is being
requested on a voluntary basis, that it will be kept confidential as
provided in paragraph (d) of this section, that refusal to provide it
will not subject the applicant or employee to any adverse treatment, and
that it will be used only in accordance with this part.
(c) Nothing in this section shall prohibit a recipient from
conditioning an offer of employment on the results of a medical
examination conducted prior to the employee's entrance on duty, provided
that:
(1) All entering employees are subjected to such an examination
regardless of disability; and
(2) The results of such an examination are used only in accordance
with the requirements of this part.
(d) Information obtained in accordance with this section as to the
medical condition or history of the applicant shall be collected and
maintained on separate forms that shall be accorded confidentiality as
medical records, except that:
(1) Supervisors and managers may be informed regarding restrictions
on the work or duties of individuals with disabilities and regarding
necessary accommodations;
(2) First aid and safety personnel may be informed, where
appropriate, if the condition might require emergency treatment; and
(3) Government officials investigating compliance with the Act shall
be provided relevant information upon request.

Subpart 1251.3_Accessibility

Sec. 1251.300 Discrimination prohibited.

No qualified individual with a disability shall, because a
recipient's facilities are inaccessible to or unusable by individuals
with disabilities, be denied the benefits of, be excluded from
participation in, or otherwise be subjected to discrimination under any
program or activity to which this part applies.

Sec. 1251.301 Existing facilities.

(a) Accessibility. A recipient shall operate each program or
activity to which his part applies so that when each part is viewed in
its entirety it is readily accessible to individuals with disabilities.
This paragraph does not require a recipient to make each of its existing
facilities or every part of a facility accessible to and usable by
individuals with disabilities.
(b) Methods. A recipient may comply with the requirement of
paragraph (a) of this section through such means as redesign of
equipment; reassignment of classes or other services to accessible
buildings; assignment of aides to beneficiaries; home visits; delivery
of health, welfare, or other social services at alternate accessible
sites; alteration of existing facilities and construction of new
facilities in conformance with the requirements of Sec. 1251.302; or any
other methods that result in making its program or activity accessible
to individuals with disabilities. A recipient is not required to make
structural changes in existing facilities where other methods are
effective in achieving compliance with paragraph (a) of this section. In
choosing among available methods for meeting the requirement of
paragraph (a) of this section, a recipient shall give priority to those
methods that serve to individuals with disabilities in the most
integrated setting appropriate.
(c) Time period. A recipient shall comply with the requirement of
paragraph (a) of this section within 60 days of the effective date of
this part except that where structural changes in facilities are
necessary, such changes shall be made within 3 years of the effective
date of this part, but in any event as expeditiously as possible.
(d) Transition plan. In the event that structural changes to
facilities are necessary to meet the requirement of paragraph (a) of
this section, a recipient shall develop, within 6 months of

[[Page 162]]

the effective date of this part, a transition plan setting forth the
steps necessary to complete such changes. The plan shall be developed
with the assistance of interested persons, including individuals with
disabilities or organizations representing individuals with
disabilities. A copy of the transition plan shall be made available for
public inspection. The plan shall, at a minimum:
(1) Identify physical obstacles in the recipient's facilities that
limit the accessibility of its program or activity to individuals with
disabilities;
(2) Describe in detail the methods that will be used to make the
facilities accessible;
(3) Specify the schedule for taking the steps necessary to achieve
full accessibility under paragraph (a) of this section and, if the time
period of the transition plan is longer than 1 year, identify steps that
will be taken during each year of the transition period; and
(4) Indicate the person responsible for implementation of the plan.
(e) Safe harbor. For the purposes of complying with this section,
elements that have not been altered in existing facilities on or after
January 23, 2017, and that comply with the corresponding technical and
scoping specifications for those elements in the Uniform Federal
Accessibility Standards (UFAS), Appendix A to 41 CFR part 101-19.6, 49
FR 31528, app. A (Aug. 7, 1984), are not required to be modified to be
brought into compliance with the requirements set forth in the 2010
Standards.
(f) Notice of location of accessible facilities--(1) General. The
recipient shall adopt and implement procedures to ensure that interested
individuals, including individuals with vision or hearing disabilities,
can obtain information as to the existence and location of services,
activities, and facilities that are accessible to and usable by
individuals with disabilities.
(2) Signs at primary entrances. The recipient shall provide signs at
a primary entrance to each of its inaccessible facilities, directing
users to an accessible facility or a location at which they can obtain
information about accessible facilities. The international symbol for
accessibility shall be used at each accessible entrance to a facility.

[51 FR 26862, July 28, 1986, as amended at 68 FR 51351, Aug. 26, 2003;
81 FR 3712, Jan. 22, 2016]

Sec. 1251.302 New construction.

(a) Design and construction. Each facility or part of a facility
constructed by, on behalf of, or for the use of a recipient shall be
designed and constructed in such manner that the facility or part of the
facility is readily accessible to and usable by individuals with
disabilities.
(b) Alteration. Each facility or part of a facility which is altered
by, on behalf of, or for the use of a recipient after the effective date
of this part in a manner that affects or could affect the usability of
the facility or part of the facility shall, to the maximum extent
feasible, be altered in such manner that the altered portion of the
facility is readily accessible to and usable by individuals with
disabilities.
(c) Accessibility standards and compliance dates--(1) Applicable
accessibility standards. (i) New construction and alterations undertaken
prior to the compliance dates specified in paragraph (c)(2) of this
section must comply with either UFAS or the 2010 Standards.
(ii) New construction and alterations on or after the compliance
dates specified in paragraph (c)(2) of this section must comply with the
2010 Standards.
(iii) New construction and alterations of buildings or facilities
undertaken in compliance with the 2010 Standards shall comply with the
requirements for a ``public building or facility'' as defined in the
2010 Standards regardless of whether the recipient is a public or
private entity.
(iv) Departures from particular requirements of either standard by
the use of other methods shall be permitted when it is clearly evident
that equivalent access to the facility or part of the facility is
thereby provided.
(2) Compliance dates--(i) New Construction and alterations by
recipients that are private entities. (A) New construction and
alterations in which the last application for a building permit or
permit extension for such construction or alterations is certified to be
complete by a state, county, or local government

[[Page 163]]

(or, in those jurisdictions where the government does not certify
completion of applications, if the date when the last application for a
building permit or permit extension is received by the state, county, or
local government) is prior to January 23, 2017, or if no permit is
required, if the start of physical construction or alterations occurs
prior to January 23, 2017, then such new construction and alterations
must comply with either the Uniform Federal Accessibility Standards or
the 2010 Standards.
(B) New construction and alterations in which the last application
for a building permit or permit extension for such construction or
alterations is certified to be complete by a state, county, or local
government (or, in those jurisdictions where the government does not
certify completion of applications, if the date when the last
application for a building permit or permit extension is received by the
state, county, or local government) is on or after January 23, 2017, or
if no permit is required, if the start of physical construction or
alterations occurs on or after January 23, 2017, then such new
construction and alterations shall comply with the 2010 Standards.
(ii) New construction and alterations by recipients that are public
entities. (A) If physical construction or alterations commence prior to
January 23, 2017, then such new construction and alterations must comply
with either UFAS or the 2010 Standards.
(C) If physical construction or alterations commence on or after
January 23, 2017, then such new construction and alterations shall
comply with the 2010 Standards.
(3) For the purposes of this section, ceremonial groundbreaking or
razing of structures prior to site preparation will not be considered to
commence or start physical construction or alterations.

Table of Applicable Standards for Complying With 14 CFR 1251.302(c)
------------------------------------------------------------------------
Compliance dates for new Applicable standards for complying
construction and alterations with 14 CFR 1251.302(c)
------------------------------------------------------------------------
Prior to January 23, 2017........... UFAS or the scoping and technical
requirements for a ``public
building or facility'' in the
2010 Standards.
On or after January 23, 2017........ Scoping and technical requirements
for a ``public building or
facility'' in the 2010 Standards.
------------------------------------------------------------------------

(4)[Reserved]
(5) For purposes of this section, section 4.1.6(1)(g) of UFAS shall
be interpreted to exempt from the requirements of UFAS only mechanical
rooms and other spaces that, because of their intended use, will not
require accessibility to the public or beneficiaries or result in the
employment or residence therein of persons with physical disabilities.
(6) This section does not require recipients to make building
alterations that have little likelihood of being accomplished without
removing or altering a load-bearing structural member.

[51 FR 26862, July 28, 1986, as amended at 55 FR 52138, 52140, Dec. 19,
1990; 81 FR 3712, Jan. 22, 2016]

Subpart 1251.4_Procedures

Sec. 1251.400 Compliance Procedures.

(a) The investigative, compliance, and enforcement procedural
provisions of Title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d)
are hereby adopted and apply to this section 504 regulation. These
procedures are found at Secs. 1250.105 through 1250.110 of this chapter.
(b) The Agency shall ensure that complaints alleging violations of
section 504 with respect to employment are processed according to the
procedures established by the EEOC in 29 CFR part 1640 and the United
States DOJ at 28 CFR part 37.

[81 FR 3713, Jan. 22, 2016]

[[Page 164]]

Subpart 1251.5_Enforcement of Nondiscrimination on the Basis of
Disability in Programs or Activities Conducted by the National
Aeronautics and Space Administration

Source: 53 FR 25882, 25885, July 8, 1988, unless otherwise noted.

Sec. 1251.501 Purpose.

The purpose of this regulation is to effectuate section 119 of the
Rehabilitation, Comprehensive Services, and Developmental Disabilities
Amendments of 1978, which amended section 504 of the Rehabilitation Act
of 1973 to prohibit discrimination on the basis of disability in
programs or activities conducted by Executive agencies or the United
States Postal Service.

Sec. 1251.502 Application.

This regulation (Secs. 1251.501-1251.570) applies to all programs or
activities conducted by the agency, except for programs or activities
conducted outside the United States that do not involve individuals with
disabilities in the United States.

Sec. 1251.503 Definitions.

As used in this part, the term:
(a) Assistant Attorney General means the Assistant Attorney General,
Civil Rights Division, United States Department of Justice.
(b) Auxiliary aids and services means services or devices that
enable persons with sensory, manual, or speech disabilities to have an
equal opportunity to participate in, and enjoy the benefits of, programs
or activities conducted by the agency. Auxiliary aids and services
include:
(1) Qualified interpreters onsite or through Video Remote
Interpreting (VRI) services; notetakers; real-time computer-aided
transcription services; written materials; exchange of written notes;
telephone handset amplifiers; assistive listening devices; assistive
listening systems; telephones compatible with hearing aids; closed
caption decoders; open and closed captioning, including real-time
captioning; voice, text, and video-based telecommunications products and
systems, including text telephones (TTYs), videophones, and captioned
telephones, or equally effective telecommunications devices; videotext
displays; accessible electronic and information technology; or other
effective methods of making aurally delivered information available to
individuals who are deaf or hard of hearing;
(2) Qualified readers; taped texts; audio recordings; Brailled
materials and displays; screen reader software; magnification software;
optical readers; secondary auditory programs (SAP); large print
materials; accessible electronic and information technology; or other
effective methods of making visually delivered materials available to
individuals who are blind or have low vision;
(3) Acquisition or modification of equipment or devices; and
(4) Other similar services and actions.
(c) Complete complaint means a written statement that contains the
complainant's name and address and describes the agency's alleged
discriminatory action in sufficient detail to inform the agency of the
nature and date of the alleged violation of section 504. It shall be
signed by the complainant or by someone authorized to do so on his or
her behalf. Complaints filed on behalf of classes or third parties shall
describe or identify (by name, if possible) the alleged victims of
discrimination.
(d) Direct threat means a significant risk to the health or safety
of others that cannot be eliminated by a change to policies, practices
or procedures, or by the provision of auxiliary aids or services as
provided in Sec. 1251.110 of this part.
(e) Disability means the definition given that term in the
Department of Justice's regulation implementing title II of the ADA at
28 CFR part 35.
(f) Drug means a controlled substance as defined in schedules I
through V of section 202 of the Controlled Substances Act (21 U.S.C.
812).
(g) Facility means all or any portion of buildings, structures,
equipment, roads, walks, parking lots, rolling stock or other
conveyances, or other real or personal property.

[[Page 165]]

(h) Historic preservation programs means programs conducted by the
agency that have preservation of historic properties as a primary
purpose.
(i) Historic properties means those properties that are listed or
eligible for listing in the National Register of Historic Places or
properties designated as historic under a statute of the appropriate
state or local government body.
(j) Illegal use of drugs means the use of one or more drugs, the
possession or distribution of which is unlawful under the Controlled
Substances Act (21 U.S.C. 812). The term ``illegal use of drugs'' does
not include the use of a drug taken under supervision by a licensed
health care professional, or other uses authorized by the Controlled
Substances Act or other provisions of Federal law.
(k) Individual with a disability means any person who meets the
definition of ``disability'' under 28 CFR part 35.
(l) Qualified individual with a disability means any person who
meets the definition of ``qualified individual with a disability'' under
Sec. 1251.102(i) of this part.
(m) Section 504 means section 504 of the Rehabilitation Act of 1973
(Pub. L. 93-112, 87 Stat. 394 (29 U.S.C. 794)), as amended.

[81 FR 3713, Jan. 22, 2016]

Secs. 1251.504-1251.509 [Reserved]

Sec. 1251.510 Self-evaluation.

(a) The agency shall, by September 6, 1989, evaluate its current
policies and practices, and the effects thereof, that do not or may not
meet the requirements of this regulation and, to the extent modification
of any such policies and practices is required, the agency shall proceed
to make the necessary modifications.
(b) The agency shall provide an opportunity to interested persons,
including individuals with disabilities or organizations representing
individuals with disabilities, to participate in the self-evaluation
process by submitting comments (both oral and written).
(c) The agency shall, for at least three years following completion
of the self-evaluation, maintain on file and make available for public
inspection:
(1) A description of areas examined and any problems identified; and
(2) A description of any modifications made.

Sec. 1251.511 Notice.

The agency shall make available to employees, applicants,
participants, beneficiaries, and other interested persons such
information regarding the provisions of this regulation and its
applicability to the programs or activities conducted by the agency, and
make such information available to them in such manner as the head of
the agency finds necessary to apprise such persons of the protections
against discrimination assured them by section 504 and this regulation.

Secs. 1251.512-1251.529 [Reserved]

Sec. 1251.530 General prohibitions against discrimination.

(a) No qualified individual with disabilities shall, on the basis of
disability, be excluded from participation in, be denied the benefits
of, or otherwise be subjected to discrimination under any program or
activity conducted by the agency.
(b)(1) The agency, in providing any aid, benefit, or service, may
not, directly or through contractual, licensing, or other arrangements,
on the basis of disability--
(i) Deny a qualified individual with disabilities the opportunity to
participate in or benefit from the aid, benefit, or service;
(ii) Afford a qualified individual with disabilities an opportunity
to participate in or benefit from the aid, benefit, or service that is
not equal to that afforded others;
(iii) Provide a qualified individual with disabilities with an aid,
benefit, or service that is not as effective in affording equal
opportunity to obtain the same result, to gain the same benefit, or to
reach the same level of achievement as that provided to others;
(iv) Provide different or separate aid, benefits, or services to
individuals with disabilities or to any class of individuals with
disabilities than is provided to others unless such action is necessary
to provide qualified individuals with disabilities with aid, benefits,
or

[[Page 166]]

services that are as effective as those provided to others;
(v) Deny a qualified individual with disabilities the opportunity to
participate as a member of planning or advisory boards;
(vi) Otherwise limit a qualified individual with disabilities in the
enjoyment of any right, privilege, advantage, or opportunity enjoyed by
others receiving the aid, benefit, or service.
(2) The agency may not deny a qualified individual with disabilities
the opportunity to participate in programs or activities that are not
separate or different, despite the existence of permissibly separate or
different programs or activities.
(3) The agency may not, directly or through contractual or other
arrangements, utilize criteria or methods of administration the purpose
or effect of which would--
(i) Subject qualified individuals with disabilities to
discrimination on the basis of disability; or
(ii) Defeat or substantially impair accomplishment of the objectives
of a program or activity with respect to individuals with disabilities.
(4) The agency may not, in determining the site or location of a
facility, make selections the purpose or effect of which would--
(i) Exclude individuals with disabilities from, deny them the
benefits of, or otherwise subject them to discrimination under any
program or activity conducted by the agency; or
(ii) Defeat or substantially impair the accomplishment of the
objectives of a program or activity with respect to individuals with
disabilities.
(5) The agency, in the selection of procurement contractors, may not
use criteria that subject qualified individuals with disabilities to
discrimination on the basis of disability.
(6) The agency may not administer a licensing or certification
program in a manner that subjects qualified individuals with
disabilities to discrimination on the basis of disability, nor may the
agency establish requirements for the programs or activities of
licensees or certified entities that subject qualified individuals with
disabilities to discrimination on the basis of disability. However, the
programs or activities of entities that are licensed or certified by the
agency are not, themselves, covered by this regulation.
(c) The exclusion of individuals without disabilities from the
benefits of a program limited by Federal statute or Executive order to
individuals with disabilities or the exclusion of a specific class of
individuals with disabilities from a program limited by Federal statute
or Executive order to a different class of individuals with disabilities
is not prohibited by this regulation.
(d) The agency shall administer programs and activities in the most
integrated setting appropriate to the needs of qualified individuals
with disabilities.

Secs. 1251.531-1251.539 [Reserved]

Sec. 1251.540 Employment.

(a) General. No qualified individual shall, on the basis of
disability, be subjected to discrimination in employment under any
program or activity to which this part applies.
(b) Employment discrimination standards. The standards used to
determine whether paragraph (a) of this section has been violated shall
be the standards applied under Title I of the Americans with
Disabilities Act of 1990 (42 U.S.C. 12,111 et seq.) and, as such
sections relate to employment, the provisions of sections 501 through
504 and 510 of the Americans with Disabilities Act of 1990 (42 U.S.C.
12201-12204 and 12210), as amended by the ADA Amendments Act of 2008
(Pub. L. 110-325), as such standards are implemented in the Equal
Employment Opportunity Commission's regulation at 29 CFR part 1630, as
amended.

[81 FR 3713, Jan. 22, 2016]

Secs. 1251.541-1251.548 [Reserved]

Sec. 1251.549 Program accessibility: Discrimination prohibited.

Except as otherwise provided in Sec. 1251.550, no qualified
individual with disabilities shall, because the agency's facilities are
inaccessible to or unusable by individuals with disabilities, be denied
the benefits of, be excluded from

[[Page 167]]

participation in, or otherwise be subjected to discrimination under any
program or activity conducted by the agency.

Sec. 1251.550 Program accessibility: Existing facilities.

(a) General. The agency shall operate each program or activity so
that the program or activity, when viewed in its entirety, is readily
accessible to and usable by individuals with disabilities. This
paragraph does not--
(1) Necessarily require the agency to make each of its existing
facilities accessible to and usable by individuals with disabilities;
(2) In the case of historic preservation programs, require the
Agency to take any action that would threaten or destroy the historic
significance of historic properties.
(3) Require the agency to take any action that it can demonstrate
would result in a fundamental alteration in the nature of a program or
activity or in undue financial and administrative burdens. In those
circumstances where agency personnel believe that the proposed action
would fundamentally alter the program or activity or would result in
undue financial and administrative burdens, the agency has the burden of
proving that compliance with Sec. 1251.550(a) would result in such
alteration or burdens. The decision that compliance would result in such
alteration or burdens must be made by the agency head or his or her
designee after considering all agency resources available for use in the
funding and operation of the conducted program or activity, and must be
accompanied by a written statement of the reasons for reaching that
conclusion. If an action would result in such an alteration or such
burdens, the agency shall take any other action that would not result in
such an alteration or such burdens but would nevertheless ensure that
individuals with disabilities receive the benefits and services of the
program or activity.
(b) Methods--(1) General. The agency may comply with the
requirements of this section through such means as redesign of
equipment, reassignment of services to accessible buildings, assignment
of aides to beneficiaries, home visits, delivery of services at
alternate accessible sites, alteration of existing facilities and
construction of new facilities, use of accessible rolling stock, or any
other methods that result in making its programs or activities readily
accessible to and usable by individuals with disabilities. The agency is
not required to make structural changes in existing facilities where
other methods are effective in achieving compliance with this section.
The agency, in making alterations to existing buildings, shall meet
accessibility requirements to the extent compelled by the Architectural
Barriers Act of 1968, as amended (42 U.S.C. 4151-4157), and any
regulations implementing it. In choosing among available methods for
meeting the requirements of this section, the agency shall give priority
to those methods that offer programs and activities to qualified
individuals with disabilities in the most integrated setting
appropriate.
(2) Historic preservation programs. In meeting the requirements of
Sec. 1251.550(a) in historic preservation programs, the agency shall
give priority to methods that provide physical access to individuals
with disabilities. In cases where a physical alteration to an historic
property is not required because of Sec. 1251.550(a)(2) or (3),
alternative methods of achieving program accessibility include--
(i) Using audio-visual materials and devices to depict those
portions of an historic property that cannot otherwise be made
accessible;
(ii) Assigning persons to guide individuals with disabilities into
or through portions of historic properties that cannot otherwise be made
accessible; or
(iii) Adopting other innovative methods.
(c) Time period for compliance. The agency shall comply with the
obligations established under this section by November 7, 1988, except
that where structural changes in facilities are undertaken, such changes
shall be made by September 6, 1991, but in any event as expeditiously as
possible.
(d) Transition plan. In the event that structural changes to
facilities will be undertaken to achieve program accessibility, the
agency shall develop, by

[[Page 168]]

March 6, 1989, a transition plan setting forth the steps necessary to
complete such changes. The agency shall provide an opportunity to
interested persons, including individuals with disabilities or
organizations representing individuals with disabilities, to participate
in the development of the transition plan by submitting comments (both
oral and written). A copy of the transition plan shall be made available
for public inspection. The plan shall, at a minimum--
(1) Identify physical obstacles in the agency's facilities that
limit the accessibility of its programs or activities to individuals
with disabilities;
(2) Describe in detail the methods that will be used to make the
facilities accessible;
(3) Specify the schedule for taking the steps necessary to achieve
compliance with this section and, if the time period of the transition
plan is longer than one year, identify steps that will be taken during
each year of the transition period; and
(4) Indicate the official responsible for implementation of the
plan.

[53 FR 25882, 25885, July 8, 1988, as amended at 81 FR 3713, Jan. 22,
2016]

Sec. 1251.551 Program accessibility: New construction and alterations.

Each building or part of a building that is constructed or altered
by, on behalf of, or for the use of the agency shall be designed,
constructed, or altered so as to be readily accessible to and usable by
individuals with disabilities. The definitions, requirements, and
standards of the Architectural Barriers Act (42 U.S.C. 4151-4157), as
established in 41 CFR part 102-76, subpart C, apply to buildings covered
by this section.

[81 FR 3714, Jan. 22, 2016]

Secs. 1251.552-1251.559 [Reserved]

Sec. 1251.560 Communications.

(a) The agency shall take appropriate steps to ensure effective
communication with applicants, participants, personnel of other Federal
entities, and members of the public.
(1) The agency shall furnish appropriate auxiliary aids where
necessary to afford an individual with disabilities an equal opportunity
to participate in, and enjoy the benefits of, a program or activity
conducted by the agency.
(i) In determining what type of auxiliary aid is necessary, the
agency shall give primary consideration to the requests of the
individual with disabilities.
(ii) The agency need not provide individually prescribed devices,
readers for personal use or study, or other devices of a personal
nature.
(2) Where the agency communicates with applicants and beneficiaries
by telephone, telecommunication devices for deaf persons (TDD's) or
equally effective telecommunication systems shall be used to communicate
with persons with impaired hearing.
(b) The agency shall ensure that interested persons, including
persons with impaired vision or hearing, can obtain information as to
the existence and location of accessible services, activities, and
facilities.
(c) The agency shall provide signage at a primary entrance to each
of its inaccessible facilities, directing users to a location at which
they can obtain information about accessible facilities. The
international symbol for accessibility shall be used at each primary
entrance of an accessible facility.
(d) This section does not require the agency to take any action that
it can demonstrate would result in a fundamental alteration in the
nature of a program or activity or in undue financial and administrative
burdens. In those circumstances where agency personnel believe that the
proposed action would fundamentally alter the program or activity or
would result in undue financial and administrative burdens, the agency
has the burden of proving that compliance with Sec. 1251.560 would
result in such alteration or burdens. The decision that compliance would
result in such alteration or burdens must be made by the agency head or
his or her designee after considering all agency resources available for
use in the funding and operation of the conducted program or activity
and must be accompanied by a written statement of the reasons for
reaching that conclusion. If an action required to comply with this
section would result in such an alteration or such burdens, the

[[Page 169]]

agency shall take any other action that would not result in such an
alteration or such burdens but would nevertheless ensure that, to the
maximum extent possible, individuals with disabilities receive the
benefits and services of the program or activity.

Secs. 1251.561-1251.569 [Reserved]

Sec. 1251.570 Compliance procedures.

(a) Except as provided in paragraph (b) of this section, this
section applies to all allegations of discrimination on the basis of
disability in programs and activities conducted by the agency.
(b) The Agency shall process complaints alleging violations of
section 504 of the Rehabilitation Act with respect to employment
according to the procedures established by the Equal Employment
Opportunity Commission in 29 CFR part 1640 pursuant to section 501 of
the Rehabilitation Act of 1973 (29 U.S.C. 791).
(c) The Associate Administrator for Diversity and Equal Opportunity
shall be responsible for coordinating implementation of this section.
Complaints may be sent to the Office of Diversity and Equal Opportunity,
NASA Headquarters, 300 E Street SW., Washington, DC 20546.
(d) The agency shall accept and investigate all complete complaints
for which it has jurisdiction. All complete complaints must be filed
within 180 days of the alleged act of discrimination. The agency may
extend this time period for good cause.
(e) If the agency receives a complaint over which it does not have
jurisdiction, it shall promptly notify the complainant and shall make
reasonable efforts to refer the complaint to the appropriate Government
entity.
(f) The agency shall notify the Architectural and Transportation
Barriers Compliance Board upon receipt of any complaint alleging that a
building or facility that is subject to the Architectural Barriers Act
of 1968, as amended (42 U.S.C. 4151-4157), is not readily accessible to
and usable by individuals with disabilities.
(g) Within 180 days of the receipt of a complete complaint for which
it has jurisdiction, the agency shall notify the complainant of the
results of the investigation in a letter containing--
(1) Findings of fact and conclusions of law;
(2) A description of a remedy for each violation found; and
(3) A notice of the right to appeal.
(h) Appeals of the findings of fact and conclusions of law or
remedies must be filed by the complainant within 90 days of receipt from
the agency of the letter required by Sec. 1251.570(g). The agency may
extend this time for good cause.
(i) Timely appeals shall be accepted and processed by the head of
the agency.
(j) The head of the agency shall notify the complainant of the
results of the appeal within 60 days of the receipt of the request. If
the head of the agency determines that additional information is needed
from the complainant, he or she shall have 60 days from the date of
receipt of the additional information to make his or her determination
on the appeal.
(k) The time limits cited in paragraphs (g) and (j) of this section
may be extended with the permission of the Assistant Attorney General.
(l) The agency may delegate its authority for conducting complaint
investigations to other Federal agencies, except that the authority for
making the final determination may not be delegated to another agency.

[53 FR 25882, 25885, July 8, 1989, as amended at 81 FR 3714, Jan. 22,
2016]

Secs. 1251.571-1251.579 [Reserved]

Sec. 1251.580 Direct threat.

(a) This part does not require the Agency to permit an individual to
participate in or benefit from the services, programs, or activities of
that recipient when that individual poses a direct threat to the health
or safety of others.
(b) In determining whether an individual poses a direct threat to
the health or safety of others, the Agency must make an individualized
assessment, based on reasonable judgment that relies on current medical
knowledge or on the best available objective evidence, to ascertain: The
nature, duration, and severity of the risk; the probability that the
potential injury

[[Page 170]]

will actually occur; and whether reasonable accommodations in policies,
practices, or procedures or the provision of auxiliary aids or services
will mitigate the risk.

[81 FR 3714, Jan. 22, 2016]

Sec. 1251.581 Reasonable accommodation.

The Agency shall make reasonable accommodations in policies,
practices, or procedures when such accommodations are necessary to avoid
discrimination on the basis of disability, unless the Agency can
demonstrate that making the accommodations would fundamentally alter the
nature of the service, program, or activity or result in an undue
financial and administrative burden.

[81 FR 3714, Jan. 22, 2016]

Sec. 1251.582 Illegal use of drugs

(a) General. (1) Except as provided in paragraph (b) of this
section, this part does not prohibit discrimination against an
individual based on that individual's current illegal use of drugs.
(2) The Agency shall not discriminate on the basis of illegal use of
drugs against an individual who is not engaging in current illegal use
of drugs and who--
(i) Has successfully completed a supervised drug rehabilitation
program or has otherwise been rehabilitated successfully;
(ii) Is participating in a supervised rehabilitation program; or
(iii) Is erroneously regarded as engaging in such use.
(b) Health and drug rehabilitation services. (1) The Agency shall
not deny health services, or services provided in connection with drug
rehabilitation, to an individual on the basis of that individual's
current illegal use of drugs, if the individual is otherwise entitled to
such services.
(2) A drug rehabilitation or treatment program may deny
participation to individuals who engage in illegal use of drugs while
they are in the program.
(c) Drug testing. (1) This part does not prohibit the Agency from
adopting or administering reasonable policies or procedures, including
but not limited to drug testing, designed to ensure that an individual
who formerly engaged in the illegal use of drugs is not now engaging in
current illegal use of drugs.
(2) Nothing in this paragraph (c) shall be construed to encourage,
prohibit, restrict, or authorize the conducting of testing for the
illegal use of drugs.

[81 FR 3714, Jan. 22, 2016]

Secs. 1251.583-1251.999 [Reserved]

PART 1252_NONDISCRIMINATION ON THE BASIS OF AGE IN PROGRAMS OR ACTIVITIES
RECEIVING FEDERAL FINANCIAL ASSISTANCE--Table of Contents

Subpart 1252.1_General

Sec.
1252.100 What is the purpose of NASA's age discrimination regulations?
1252.102 To what programs or activities do these regulations apply?
1252.103 Definitions.

Subpart 1252.2_Standards for Determining Age Discrimination

1252.200 Rules against age discrimination.
1252.201 Exceptions to the rules against age discrimination.
1252.202 Burden of proof.
1252.203 Special benefits for children and the elderly.

Subpart 1252.3_Responsibilities of Recipients

1252.300 General responsibilities of recipients.
1252.301 Notice to subrecipients.
1252.302 Assurance of compliance and recipient assessment of age
distinctions.
1252.303 Information requirements.

Subpart 1252.4_Investigation, Conciliation, and Enforcement Procedures

1252.400 Compliance reviews.
1252.401 Complaints.
1252.402 Mediation.
1252.403 Investigation.
1252.404 Prohibition against intimidation or retaliation.
1252.405 Compliance procedure.
1252.406 Hearings.
1252.407 Notices, decisions, and post-termination proceedings.
1252.408 Remedial action by recipients.
1252.409 Alternate funds disbursal procedure.
1252.410 Exhaustion of administrative remedies.
1252.411 Age distinctions.

[[Page 171]]

Authority: Age Discrimination Act of 1975, as amended, 42 U.S.C.
6101 et seq. (45 CFR part 90).

Source: 50 FR 13311, Apr. 4, 1985, unless otherwise noted.

Subpart 1252.1_General

Sec. 1252.100 What is the purpose of NASA's age discrimination
regulations?

The purpose of these regulations is to set out NASA's policies and
to implement agencywide or agency procedures under the Age
Discrimination Act of 1975 according to the government-wide age
discrimination regulations at 45 CFR part 90. (Published at 44 FR 33768,
June 12, 1979.) The Act and the government-wide regulations prohibit
discrimination on the basis of age in programs or activities receiving
Federal financial assistance. The Act and the governmentwide regulations
permit federally assisted programs or activities and recipients of
Federal funds, to continue to use age distinctions and factors other
than age which meet the requirements of the Act and the governmentwide
regulations.

[50 FR 13311, Apr. 4, 1985, as amended at 68 FR 51352, Aug. 26, 2003]

Sec. 1252.102 To what programs or activities do these regulations apply?

(a) These regulations apply to each NASA recipient and to each
program or activity operated by the recipient which receives Federal
financial assistance provided by NASA.
(b) The Age Discrimination Act of 1975 does not apply to:
(1) An age distinction contained in that part of a Federal, State,
or local statute or ordinance adopted by an elected body which:
(i) Provides any benefits or assistance to persons based on age; or
(ii) Establishes criteria for participation in age-related terms; or
(iii) Describes intended beneficiaries or target groups in age-
related terms.
(2) Any employment practice of any employer, employment agency,
labor organization, or any labor-management joint apprenticeship
training program, except for any program or activity receiving Federal
financial assistance for public service employment under the
Comprehensive Employment and Training Act of 1974 (CETA) (29 U.S.C. 801
et seq.).

[50 FR 13311, Apr. 4, 1985, as amended at 68 FR 51352, Aug. 26, 2003]

Sec. 1252.103 Definitions.

As used in these regulations, the term:
(a) Act means the Age Discrimination Act of 1975, as amended. (Title
III of Pub. L. 94-135.)
(b) Action means any act, activity, policy, rule, standard, or
method of administration; or the use of any policy, rule, standard, or
method of administration.
(c) Age means how old a person is, or the number of elapsed years
from the date of a person's birth.
(d) Age distinction means any action using age or an age-related
term.
(e) Age-related term means a word or words which necessarily imply a
particular age or range of ages (for example, ``children,'' ``adult,''
``older persons,'' but not ``student'').
(f) Discrimination means unlawful treatment based on age.
(g) NASA means the National Aeronautics and Space Administration.
(h) Federal financial assistance means any grant, entitlement, loan,
cooperative agreement contract (other than a procurement contract or a
contract of insurance or guaranty), or any other arrangement by which
the agency provides or otherwise makes available assistance in the form
of:
(1) Funds;
(2) Services of Federal personnel; or interest in or use of
property, including:
(i) Transfer or lease of property for less than fair market value or
for reduced consideration; and
(ii) Proceeds from a subsequent transfer or lease of property if the
Federal share of its fair market value is not returned to the Federal
Government.
(i) FMCS means the Federal Mediation and Conciliation Service.
(j) Recipient means any State or its political subdivision, any
instrumentality of a State or its political subdivision, any public or
private agency,

[[Page 172]]

institution, organization, or other entity, or any person to which
Federal financial assistance is extended, directly or through another
recipient. Recipient includes any successor, assignee, or transferee,
but excludes the ultimate beneficiary of the assistance.
(k) Administrator means the Administrator of the National
Aeronautics and Space Administration or designee.
(l) Subrecipient means any of the entities in the definition of
``recipient'' to which a recipient extents or passes on Federal
financial assistance. A subrecipient is generally regarded as a
recipient of Federal financial assistance and has all the duties of a
recipient in these regulations.
(m) United States means the 50 States, the District of Columbia,
Puerto Rico, the Virgin Islands, American Samoa, Guam, Wake Island, the
Canal Zone, the Trust Territory of the Pacific Islands, the Northern
Marianas, and the territories and possessions of the United States.
(n) Program or activity means all of the operations of any entity
described in paragraphs (n)(1) through (4) of this section, any part of
which is extended Federal financial assistance:
(1)(i) A department, agency, special purpose district, or other
instrumentality of a State or of a local government; or
(ii) The entity of such State or local government that distributes
such assistance and each such department or agency (and each other State
or local government entity) to which the assistance is extended, in the
case of assistance to a State or local government;
(2)(i) A college, university, or other postsecondary institution, or
a public system of higher education; or
(ii) A local educational agency (as defined in 20 U.S.C. 7801),
system of vocational education, or other school system;
(3)(i) An entire corporation, partnership, or other private
organization, or an entire sole proprietorship--
(A) If assistance is extended to such corporation, partnership,
private organization, or sole proprietorship as a whole; or
(B) Which is principally engaged in the business of providing
education, health care, housing, social services, or parks and
recreation; or
(ii) The entire plant or other comparable, geographically separate
facility to which Federal financial assistance is extended, in the case
of any other corporation, partnership, private organization, or sole
proprietorship; or
(4) Any other entity which is established by two or more of the
entities described in paragraph (n)(1), (2), or (3) of this section.

[50 FR 13311, Apr. 4, 1985, as amended at 68 FR 51351, Aug. 26, 2003]

Subpart 1252.2_Standards for Determining Age Discrimination

Sec. 1252.200 Rules against age discrimination.

The rules stated in this section are limited by the exceptions
contained in Sec. 1252.201.
(a) General rule: No person in the United States shall, on the basis
of age be excluded from participation in, be denied the benefits of, or
be subjected to discrimination under any program or activity receiving
Federal financial assistance.
(b) Specific rules: A recipient may not, in any program or activity
receiving Federal financial assistance, directly or through contractual,
licensing, or other arrangements use age distinctions or take any other
actions which have the effect, on the basis of age, of:
(1) Excluding individuals from, denying them the benefits of, or
subjecting them to discrimination under a program or activity receiving
Federal financial assistance; or
(2) Denying or limiting individuals in their opportunity to
participate in any program or activity receiving Federal financial
assistance.
(c) The specific forms of age discrimination listed in paragraph (b)
of this section do not necessarily constitute a complete list.

Sec. 1252.201 Exceptions to the rules against age discrimination.

(a) Definitions. For purposes of this section, the terms normal
operation and statutory objective shall have the following meaning:
(1) Normal operation means the operation of a program or activity
without

[[Page 173]]

significant changes that would impair its ability to meet its
objectives.
(2) Statutory objective means any purpose of a program or activity
expressly stated in any Federal statute, state statute or local statute
or ordinance adopted by any elected, general purpose legislative body.
(b) Normal operation or statutory objective of any program or
activity. A recipient is permitted to take an action otherwise
prohibited by Sec. 1252.200 if the action reasonably takes into account
age as a factor necessary to the normal operation of the achievement of
any statutory objective of a program or activity. An action reasonably
takes into account age as a factor necessary to the normal operation or
the achievement of any statutory objective of a program or activity, if:
(1) Age is used as a measure of approximation of one or more other
characteristics; and
(2) The other characteristic(s) must be measured or approximated in
order for the normal operation of the program or activity to continue,
or to achieve any statutory objective of the program or activity; and
(3) The other characteristic(s) can be reasonably measured or
approximated by the use of age; and
(4) The other characteristic(s) are impractical to measure directly
on an individual basis.
(c) Reasonable factors other than age. A recipient is permitted to
take an action otherwise prohibited by Sec. 1252.200 which is based on a
factor other than age, even though that action may have a
disproportionate effect on persons of different ages. An action may be
based on a factor other than age only if the factor bears a direct and
substantial relationship to the normal operation of the program or
activity or to the achievement of a statutory objective.

Sec. 1252.202 Burden of proof.

The burden of proving that an age distinction or other action falls
within the exceptions outlined in Sec. 1252.201 (b) and (c) is on the
recipient of Federal financial assistance.

Sec. 1252.203 Special benefits for children and the elderly.

If a recipient operating a program or activity provides special
benefits to the elderly or to children, such use of age distinctions
shall be presumed to be necessary to the normal operation of the program
or activity, notwithstanding the provision of Sec. 1252.10.

[50 FR 13311, Apr. 4, 1985, as amended at 68 FR 51352, Aug. 26, 2003]

Subpart 1252.3_Responsibilities of Recipients

Sec. 1252.300 General responsibilities of recipients.

Each NASA recipient must ensure that its programs or activities
comply with these regulations.

[50 FR 13311, Apr. 4, 1985, as amended at 68 FR 51352, Aug. 26, 2003]

Sec. 1252.301 Notice to subrecipients.

Where a recipient passes on Federal financial assistance from NASA
to subrecipients, the recipient shall provide the subrecipient written
notice of their obligations under these regulations.

Sec. 1252.302 Assurance of compliance and recipient assessment of
age distinctions.

(a) Each recipient of Federal financial assistance from NASA shall
sign a written assurance as specified by NASA that it will comply with
the Act and these regulations.
(b) Recipient assessment of age distinctions. (1) As part of a
compliance review under Sec. 91.41, NASA may require a recipient
employing the equivalent of 15 or more employees to complete a written
self-evaluation, in a manner specified by the responsible Agency
official, of any age distinction imposed in its program or activity
receiving Federal financial assistance from NASA to assess the
recipient's compliance with the Act.
(2) Whenever an assessment indicates a violation of the Act and the
NASA regulations, the recipient shall take corrective action.

[[Page 174]]

Sec. 1252.303 Information requirements.

(a) Keep records in a form that contains information which NASA
determines may be necessary to ascertain whether the recipient is
complying with the Act and these regulations.
(b) Provide to NASA, upon request, information and reports which
NASA determines are necessary to ascertain whether the recipient is
complying with the Act and these regulations.
(c) Permit reasonable access by NASA to the books, records,
accounts, and other recipient facilities and sources of information to
the extent NASA determines is necessary to ascertain whether the
recipient is complying with the Act and these regulations.

Subpart 1252.4_Investigation, Conciliation, and Enforcement Procedures

Sec. 1252.400 Compliance reviews.

(a) NASA may conduct compliance reviews and pre-award reviews of
recipients or use other similar procedures that will permit it to
investigate and correct violations of the Act and these regulations.
NASA may conduct these reviews even in the absence of a complaint
against a recipient. The review may be as comprehensive as necessary to
determine whether a violation of these regulations has occurred.
(b) If a compliance review or pre-award review indicates a violation
of the Act or these regulations, NASA will attempt to secure the
recipient's voluntary compliance with the Act. If voluntary compliance
cannot be achieved, NASA will arrange for enforcement as described in
Sec. 1252.405.

Sec. 1252.401 Complaints.

(a) Any person, individually or as a member of a class or on behalf
of others, may file a complaint with NASA, alleging discrimination
prohibited by the Act or these regulations based on an action occurring
on or after July 1, 1979. A complaint must be filed within 180 days from
the date the complainant first had knowledge of the alleged act of
discrimination. However, for good cause shown, NASA may extend this time
limit.
(b) NASA will attempt to facilitate the filing of complaints
wherever possible, including taking the following measures:
(1) Accepting as a sufficient complaint, any written statement,
which identifies the parties involved and the date the complainant first
had knowledge of the alleged violation, describes generally the action
or practice complained of, and assigned by the complainant.
(2) Freely permitting a complainant to add information to the
complaint to meet the requirements of a sufficient complaint.
(3) Widely disseminating information regarding the obligations of
recipients under the Act and these regulations.
(4) Notifying the complainant and the recipient of their rights and
obligations under the complaint procedure, including the right to have a
representative at all stages of the complaint procedure.
(5) Notifying the complainant and the recipient (or their
representatives) of their right to contact NASA for information and
assistance regarding the complaint resolution process.
(c) NASA will return to the complainant any complaint outside the
jurisdiction of these regulations, and will state the reason(s) why it
is outside the jurisdiction of these regulations.

Sec. 1252.402 Mediation.

(a) Referral of complaints for mediation. NASA will refer to the
Federal Mediation and Conciliation Service all complaints that:
(1) Fall within the jurisdiction of the Act and these regulations;
and
(2) Contain all information necessary for further processing.
(b) Both the complainant and the recipient shall participate in the
mediation process to the extent necessary to reach an agreement or make
an informed judgment that an agreement is not possible. There must be at
least one meeting with the mediator before NASA will accept a judgment
that an agreement is not possible. However, the recipient and the
complainant need not meet with the mediator at the same time.
(c) If the complainant and the recipient reach an agreement, the
mediator

[[Page 175]]

shall prepare a written statement of the agreement and have the
complainant and recipient sign it. The mediator shall send a copy of the
agreement to NASA. NASA will take no further action on the complaint
unless the complainant or the recipient fails to comply with the
agreement. However, NASA retains the right to monitor the recipient's
compliance with the agreement.
(d) The mediator shall protect the confidentiality of all
information obtained in the course of the mediation process. No mediator
shall testify in any adjudicative proceeding, produce any document, or
otherwise disclose any information obtained in the course of the
mediation process without prior approval of the head of the mediation
agency.
(e) NASA will use the mediation process for a maximum of 60 days
after receiving a complaint.
(f) Mediation ends if:
(1) 60 days elapse from the time NASA receives the complaint; or
(2) Prior to the end of that 60-day period, an agreement is reached;
or
(3) Prior to the end of that 60-day period, the mediator determines
that an agreement cannot be reached.
(g) The mediator shall return unresolved complaints to NASA.

Sec. 1252.403 Investigation.

(a) Informal inquiry. (1) NASA will investigate complaints that are
unresolved after mediation or are reopened because of a violation of a
mediation agreement.
(2) As part of the initial inquiry, NASA will use informal fact
finding methods, including joint or separate discussions with the
complainant and recipient to establish the facts, and, if possible,
settle the complaint on terms that are mutually agreeable to the
parties. NASA may seek the assistance of any involved State agency.
(3) NASA will put any agreement in writing and have it signed by the
parties and an authorized official at NASA.
(4) The settlement shall not affect the operation of any other
enforcement effort of NASA, including compliance reviews and
investigation of other complaints which may involve the recipient.
(5) The settlement is not a finding of discrimination against a
recipient.
(b) Formal investigation. If NASA cannot resolve the complaint
through informal means it will develop formal findings through further
investigations of the complaint. If the investigation indicates a
violation of these regulations, NASA will attempt to obtain voluntary
compliance. If NASA cannot obtain voluntary compliance, it will begin
enforcement as described in Sec. 1252.405.

[50 FR 13311, Apr. 4, 1985, as amended at 68 FR 51352, Aug. 26, 2003]

Sec. 1252.404 Prohibition against intimidation or retaliation.

A recipient may not engage in acts of intimidation or retaliation
against any person who:
(a) Attempts to assert a right protected by the Act or these
regulations; or
(b) Cooperates in any mediation, inquiry, hearing, or other part of
NASA's investigation, conciliation, and enforcement process.

Sec. 1252.405 Compliance procedure.

(a) NASA may enforce the Act and these regulations through:
(1) Termination of a recipient's Federal financial assistance from
NASA under the program or activity involved where the recipient has
violated the Act or these regulations. The determination of the
recipient's violation may be made only after a recipient has had an
opportunity for a hearing on the record before an administrative law
judge. Therefore, cases which are settled in mediation, or prior to a
hearing, will not involve termination of a recipient's Federal financial
assistance from NASA.
(2) Any other means authorized by law including but not limited to:
(i) Referral to the Department of Justice for proceedings to enforce
any rights of the United States or obligations of the recipient created
by the Act or these regulations.
(ii) Use of any requirement of or referral to any Federal, State, or
local government agency that will have the

[[Page 176]]

effect of correcting a violation of the Act or these regulations.
(b) NASA will limit any termination under Sec. 1252.405(a)(1) to the
particular program or activity NASA finds in violations of these
regulations. NASA will not base any part of a termination on a finding
with respect to any program or activity of the recipient which does not
receive Federal financial assistance from NASA.
(c) NASA will take no action under paragraph (a) until:
(1) The Administrator has advised the recipient of its failure to
comply with the Act and these regulations and has determined that
voluntary compliance cannot be obtained.
(2) 30 days have elapsed after the Administrator has sent a written
report of the circumstances and grounds of the action to the committees
of Congress having legislative jurisdiction over the program or activity
involved. The Administrator will file a report whenever any action is
taken under paragraph (a) of this section.
(d) NASA also may defer granting new Federal financial assistance
from NASA to a recipient when a hearing under Sec. 1252.405(a)(1) is
initiated.
(1) New Federal financial assistance from NASA includes all
assistance for which NASA requires an application or approval, including
renewal or continuation of existing activities during the deferral
period. New Federal financial assistance from NASA does not include
assistance approved prior to the beginning of a hearing under
Sec. 1252.405(a)(1).
(2) NASA will not begin a deferral until the recipient has received
a notice of an opportunity for a hearing under Sec. 1252.405(a)(1). NASA
will not continue a deferral for more than 60 days unless a hearing has
begun within that time or the time for beginning the hearing has been
extended by mutual consent of the recipient and the Administrator. NASA
will not continue a deferral for more than 30 days after the close of
the hearing, unless the hearing results in a finding against the
recipient.

[50 FR 13311, Apr. 4, 1985, as amended at 68 FR 51352, Aug. 26, 2003]

Sec. 1252.406 Hearings.

The procedural provisions for those hearings required by
Sec. 1252.405 are contained in 14 CFR 1250.108.

Sec. 1252.407 Notices, decisions, and post-termination proceedings.

All notices, decisions, and post-termination proceedings, insofar as
NASA is concerned, shall be made in accordance with 14 CFR 1250.109.

Sec. 1252.408 Remedial action by recipients.

(a) Where NASA finds a recipient has discriminated on the basis of
age, the recipient shall take any remedial action that NASA may require
to overcome the effects of the discrimination. If another recipient
exercises control over the recipient that has discriminated, NASA may
require both recipients to take remedial action.
(b) Even in the absence of discrimination, a recipient may take
affirmative action to overcome the effects of conditions that resulted
in limited participation in the recipients program or activity on the
basis of age.

Sec. 1252.409 Alternate funds disbursal procedure.

(a) When NASA withholds funds from a recipient under these
regulations, the Administrator may disburse the withheld funds directly
to an alternate recipient.
(b) The Administrator will require any alternate recipient to
demonstrate:
(1) The ability to comply with these regulations; and
(2) The ability to achieve the goals of the Federal statute
authorizing the Federal financial assistance.

[50 FR 13311, Apr. 4, 1985, as amended at 68 FR 51352, Aug. 26, 2003]

Sec. 1252.410 Exhaustion of administrative remedies.

(a) A complainant may file a civil action following the exhaustion
of administrative remedies under the Act. Administrative remedies are
exhausted if:
(1) 180 days have elapsed since the complainant filed the complaint
and NASA has made no finding with regard to the complaint; or

[[Page 177]]

(2) NASA issues any findings in favor of the recipient.
(b) If NASA fails to make a finding within 180 days or issues a
finding in favor of the recipient, NASA will:
(1) Promptly advise the complainant of this fact; and
(2) Advise the complainant of his or her right to bring a civil
action for injunctive relief; and
(3) Inform the complainant:
(i) That the complainant may bring a civil action only in a United
States district court for the district in which the recipient is located
or transacts business;
(ii) That a complainant prevailing in a civil action has the right
to be awarded the costs of the action, including reasonable attorney's
fees, but that the complainant must demand these costs in the complaint.
(iii) That before commencing the action the complainant shall give
30 days notice by registered mail to the Administrator, the Attorney
General of the United States, and
(iv) That the notice must state: the alleged violation of the act;
the relief requested; the court in which the complainant is bringing the
action; and, whether or not attorney's fees are demanded in the event
the complainant prevails; and
(v) That the complainant may not bring an action if the same alleged
violation of the Act by the same recipient is the subject of a pending
action in any court of the United States.

Sec. 1252.411 Age distinctions.

There are no Federal statutes or regulations containing age
distinctions which affect financial assistance administered by the
agency.

PART 1253_NONDISCRIMINATION ON THE BASIS OF SEX IN EDUCATION PROGRAMS
OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE--Table of Contents

Subpart A_Introduction

Sec.
1253.100 Purpose and effective date.
1253.105 Definitions.
1253.110 Remedial and affirmative action and self-evaluation.
1253.115 Assurance required.
1253.120 Transfers of property.
1253.125 Effect of other requirements.
1253.130 Effect of employment opportunities.
1253.135 Designation of responsible employee and adoption of grievance
procedures.
1253.140 Dissemination of policy.

Subpart B_Coverage

1253.200 Application.
1253.205 Educational institutions and other entities controlled by
religious organizations.
1253.210 Military and merchant marine educational institutions.
1253.215 Membership practices of certain organizations.
1253.220 Admissions.
1253.225 Educational institutions eligible to submit transition plans.
1253.230 Transition plans.
1253.235 Statutory amendments.

Subpart C_Discrimination on the Basis of Sex in Admission and
Recruitment Prohibited

1253.300 Admission.
1253.305 Preference in admission.
1253.310 Recruitment.

Subpart D_Discrimination on the Basis of Sex in Education Programs or
Activities Prohibited

1253.400 Education programs or activities.
1253.405 Housing.
1253.410 Comparable facilities.
1253.415 Access to course offerings.
1253.420 Access to schools operated by LEAs.
1253.425 Counseling and use of appraisal and counseling materials.
1253.430 Financial assistance.
1253.435 Employment assistance to students.
1253.440 Health and insurance benefits and services.
1253.445 Marital or parental status.
1253.450 Athletics.
1253.455 Textbooks and curricular material.

Subpart E_Discrimination on the Basis of Sex in Employment in Education
Programs or Activities Prohibited

1253.500 Employment.
1253.505 Employment criteria.
1253.510 Recruitment.
1253.515 Compensation.
1253.520 Job classification and structure.
1253.525 Fringe benefits.
1253.530 Marital or parental status.
1253.535 Effect of state or local law or other requirements.

[[Page 178]]

1253.540 Advertising.
1253.545 Pre-employment inquiries.
1253.550 Sex as a bona fide occupational qualification.

Subpart F_Procedures

1253.600 Notice of covered programs.
1253.605 Enforcement procedures.

Authority: 20 U.S.C. 1681, 1682, 1683, 1685, 1686, 1687, 1688.

Source: 65 FR 52865, 52876, Aug. 30, 2000, unless otherwise noted.

Subpart A_Introduction

Sec. 1253.100 Purpose and effective date.

The purpose of these Title IX regulations is to effectuate Title IX
of the Education Amendments of 1972, as amended (except sections 904 and
906 of those Amendments) (20 U.S.C. 1681, 1682, 1683, 1685, 1686, 1687,
1688), which is designed to eliminate (with certain exceptions)
discrimination on the basis of sex in any education program or activity
receiving Federal financial assistance, whether or not such program or
activity is offered or sponsored by an educational institution as
defined in these Title IX regulations. The effective date of these Title
IX regulations shall be September 29, 2000.

Sec. 1253.105 Definitions.

As used in these Title IX regulations, the term:
Administratively separate unit means a school, department, or
college of an educational institution (other than a local educational
agency) admission to which is independent of admission to any other
component of such institution.
Admission means selection for part-time, full-time, special,
associate, transfer, exchange, or any other enrollment, membership, or
matriculation in or at an education program or activity operated by a
recipient.
Applicant means one who submits an application, request, or plan
required to be approved by an official of the Federal agency that awards
Federal financial assistance, or by a recipient, as a condition to
becoming a recipient.
Designated agency official means Associate Administrator for Equal
Opportunity Programs.
Educational institution means a local educational agency (LEA) as
defined by 20 U.S.C. 8801(18), a preschool, a private elementary or
secondary school, or an applicant or recipient that is an institution of
graduate higher education, an institution of undergraduate higher
education, an institution of professional education, or an institution
of vocational education, as defined in this section.
Federal financial assistance means any of the following, when
authorized or extended under a law administered by the Federal agency
that awards such assistance:
(1) A grant or loan of Federal financial assistance, including funds
made available for:
(i) The acquisition, construction, renovation, restoration, or
repair of a building or facility or any portion thereof; and
(ii) Scholarships, loans, grants, wages, or other funds extended to
any entity for payment to or on behalf of students admitted to that
entity, or extended directly to such students for payment to that
entity.
(2) A grant of Federal real or personal property or any interest
therein, including surplus property, and the proceeds of the sale or
transfer of such property, if the Federal share of the fair market value
of the property is not, upon such sale or transfer, properly accounted
for to the Federal Government.
(3) Provision of the services of Federal personnel.
(4) Sale or lease of Federal property or any interest therein at
nominal consideration, or at consideration reduced for the purpose of
assisting the recipient or in recognition of public interest to be
served thereby, or permission to use Federal property or any interest
therein without consideration.
(5) Any other contract, agreement, or arrangement that has as one of
its purposes the provision of assistance to any education program or
activity, except a contract of insurance or guaranty.
Institution of graduate higher education means an institution that:
(1) Offers academic study beyond the bachelor of arts or bachelor of
science

[[Page 179]]

degree, whether or not leading to a certificate of any higher degree in
the liberal arts and sciences;
(2) Awards any degree in a professional field beyond the first
professional degree (regardless of whether the first professional degree
in such field is awarded by an institution of undergraduate higher
education or professional education); or
(3) Awards no degree and offers no further academic study, but
operates ordinarily for the purpose of facilitating research by persons
who have received the highest graduate degree in any field of study.
Institution of professional education means an institution (except
any institution of undergraduate higher education) that offers a program
of academic study that leads to a first professional degree in a field
for which there is a national specialized accrediting agency recognized
by the Secretary of Education.
Institution of undergraduate higher education means:
(1) An institution offering at least two but less than four years of
college-level study beyond the high school level, leading to a diploma
or an associate degree, or wholly or principally creditable toward a
baccalaureate degree; or
(2) An institution offering academic study leading to a
baccalaureate degree; or
(3) An agency or body that certifies credentials or offers degrees,
but that may or may not offer academic study.
Institution of vocational education means a school or institution
(except an institution of professional or graduate or undergraduate
higher education) that has as its primary purpose preparation of
students to pursue a technical, skilled, or semiskilled occupation or
trade, or to pursue study in a technical field, whether or not the
school or institution offers certificates, diplomas, or degrees and
whether or not it offers full-time study.
Recipient means any State or political subdivision thereof, or any
instrumentality of a State or political subdivision thereof, any public
or private agency, institution, or organization, or other entity, or any
person, to whom Federal financial assistance is extended directly or
through another recipient and that operates an education program or
activity that receives such assistance, including any subunit,
successor, assignee, or transferee thereof.
Student means a person who has gained admission.
Title IX means Title IX of the Education Amendments of 1972, Public
Law 92-318, 86 Stat. 235, 373 (codified as amended at 20 U.S.C. 1681-
1688) (except sections 904 and 906 thereof), as amended by section 3 of
Public Law 93-568, 88 Stat. 1855, by section 412 of the Education
Amendments of 1976, Public Law 94-482, 90 Stat. 2234, and by Section 3
of Public Law 100-259, 102 Stat. 28, 28-29 (20 U.S.C. 1681, 1682, 1683,
1685, 1686, 1687, 1688).
Title IX regulations means the provisions set forth at
Secs. 1253.100 through 1253.605.
Transition plan means a plan subject to the approval of the
Secretary of Education pursuant to section 901(a)(2) of the Education
Amendments of 1972, 20 U.S.C. 1681(a)(2), under which an educational
institution operates in making the transition from being an educational
institution that admits only students of one sex to being one that
admits students of both sexes without discrimination.

Sec. 1253.110 Remedial and affirmative action and self-evaluation.

(a) Remedial action. If the designated agency official finds that a
recipient has discriminated against persons on the basis of sex in an
education program or activity, such recipient shall take such remedial
action as the designated agency official deems necessary to overcome the
effects of such discrimination.
(b) Affirmative action. In the absence of a finding of
discrimination on the basis of sex in an education program or activity,
a recipient may take affirmative action consistent with law to overcome
the effects of conditions that resulted in limited participation therein
by persons of a particular sex. Nothing in these Title IX regulations
shall be interpreted to alter any affirmative action obligations that a
recipient may have under Executive Order 11246, 3 CFR, 1964-1965 Comp.,
p. 339; as amended by Executive Order 11375, 3 CFR,

[[Page 180]]

1966-1970 Comp., p. 684; as amended by Executive Order 11478, 3 CFR,
1966-1970 Comp., p. 803; as amended by Executive Order 12086, 3 CFR,
1978 Comp., p. 230; as amended by Executive Order 12107, 3 CFR, 1978
Comp., p. 264.
(c) Self-evaluation. Each recipient education institution shall,
within one year of September 29, 2000:
(1) Evaluate, in terms of the requirements of these Title IX
regulations, its current policies and practices and the effects thereof
concerning admission of students, treatment of students, and employment
of both academic and non-academic personnel working in connection with
the recipient's education program or activity;
(2) Modify any of these policies and practices that do not or may
not meet the requirements of these Title IX regulations; and
(3) Take appropriate remedial steps to eliminate the effects of any
discrimination that resulted or may have resulted from adherence to
these policies and practices.
(d) Availability of self-evaluation and related materials.
Recipients shall maintain on file for at least three years following
completion of the evaluation required under paragraph (c) of this
section, and shall provide to the designated agency official upon
request, a description of any modifications made pursuant to paragraph
(c)(2) of this section and of any remedial steps taken pursuant to
paragraph (c)(3) of this section.

Sec. 1253.115 Assurance required.

(a) General. Either at the application stage or the award stage,
Federal agencies must ensure that applications for Federal financial
assistance or awards of Federal financial assistance contain, be
accompanied by, or be covered by a specifically identified assurance
from the applicant or recipient, satisfactory to the designated agency
official, that each education program or activity operated by the
applicant or recipient and to which these Title IX regulations apply
will be operated in compliance with these Title IX regulations. An
assurance of compliance with these Title IX regulations shall not be
satisfactory to the designated agency official if the applicant or
recipient to whom such assurance applies fails to commit itself to take
whatever remedial action is necessary in accordance with
Sec. 1253.110(a) to eliminate existing discrimination on the basis of
sex or to eliminate the effects of past discrimination whether occurring
prior to or subsequent to the submission to the designated agency
official of such assurance.
(b) Duration of obligation. (1) In the case of Federal financial
assistance extended to provide real property or structures thereon, such
assurance shall obligate the recipient or, in the case of a subsequent
transfer, the transferee, for the period during which the real property
or structures are used to provide an education program or activity.
(2) In the case of Federal financial assistance extended to provide
personal property, such assurance shall obligate the recipient for the
period during which it retains ownership or possession of the property.
(3) In all other cases such assurance shall obligate the recipient
for the period during which Federal financial assistance is extended.
(c) Form. (1) The assurances required by paragraph (a) of this
section, which may be included as part of a document that addresses
other assurances or obligations, shall include that the applicant or
recipient will comply with all applicable Federal statutes relating to
nondiscrimination. These include but are not limited to: Title IX of the
Education Amendments of 1972, as amended (20 U.S.C. 1681-1683, 1685-
1688).
(2) The designated agency official will specify the extent to which
such assurances will be required of the applicant's or recipient's
subgrantees, contractors, subcontractors, transferees, or successors in
interest.

Sec. 1253.120 Transfers of property.

If a recipient sells or otherwise transfers property financed in
whole or in part with Federal financial assistance to a transferee that
operates any education program or activity, and the Federal share of the
fair market value of the property is not upon such sale or transfer
properly accounted for to the Federal Government, both the transferor
and the transferee shall be

[[Page 181]]

deemed to be recipients, subject to the provisions of Secs. 1253.205
through 1253.235(a).

Sec. 1253.125 Effect of other requirements.

(a) Effect of other Federal provisions. The obligations imposed by
these Title IX regulations are independent of, and do not alter,
obligations not to discriminate on the basis of sex imposed by Executive
Order 11246, 3 CFR, 1964-1965 Comp., p. 339; as amended by Executive
Order 11375, 3 CFR, 1966-1970 Comp., p. 684; as amended by Executive
Order 11478, 3 CFR, 1966-1970 Comp., p. 803; as amended by Executive
Order 12087, 3 CFR, 1978 Comp., p. 230; as amended by Executive Order
12107, 3 CFR, 1978 Comp., p. 264; sections 704 and 855 of the Public
Health Service Act (42 U.S.C. 295m, 298b-2); Title VII of the Civil
Rights Act of 1964 (42 U.S.C. 2000e et seq.); the Equal Pay Act of 1963
(29 U.S.C. 206); and any other Act of Congress or Federal regulation.
(b) Effect of State or local law or other requirements. The
obligation to comply with these Title IX regulations is not obviated or
alleviated by any State or local law or other requirement that would
render any applicant or student ineligible, or limit the eligibility of
any applicant or student, on the basis of sex, to practice any
occupation or profession.
(c) Effect of rules or regulations of private organizations. The
obligation to comply with these Title IX regulations is not obviated or
alleviated by any rule or regulation of any organization, club, athletic
or other league, or association that would render any applicant or
student ineligible to participate or limit the eligibility or
participation of any applicant or student, on the basis of sex, in any
education program or activity operated by a recipient and that receives
Federal financial assistance.

Sec. 1253.130 Effect of employment opportunities.

The obligation to comply with these Title IX regulations is not
obviated or alleviated because employment opportunities in any
occupation or profession are or may be more limited for members of one
sex than for members of the other sex.

Sec. 1253.135 Designation of responsible employee and adoption of
grievance procedures.

(a) Designation of responsible employee. Each recipient shall
designate at least one employee to coordinate its efforts to comply with
and carry out its responsibilities under these Title IX regulations,
including any investigation of any complaint communicated to such
recipient alleging its noncompliance with these Title IX regulations or
alleging any actions that would be prohibited by these Title IX
regulations. The recipient shall notify all its students and employees
of the name, office address, and telephone number of the employee or
employees appointed pursuant to this paragraph.
(b) Complaint procedure of recipient. A recipient shall adopt and
publish grievance procedures providing for prompt and equitable
resolution of student and employee complaints alleging any action that
would be prohibited by these Title IX regulations.

Sec. 1253.140 Dissemination of policy.

(a) Notification of policy. (1) Each recipient shall implement
specific and continuing steps to notify applicants for admission and
employment, students and parents of elementary and secondary school
students, employees, sources of referral of applicants for admission and
employment, and all unions or professional organizations holding
collective bargaining or professional agreements with the recipient,
that it does not discriminate on the basis of sex in the educational
programs or activities that it operates, and that it is required by
Title IX and these Title IX regulations not to discriminate in such a
manner. Such notification shall contain such information, and be made in
such manner, as the designated agency official finds necessary to
apprise such persons of the protections against discrimination assured
them by Title IX and these Title IX regulations, but shall state at
least that the requirement not to discriminate in education programs or
activities extends to employment therein, and to admission thereto
unless

[[Page 182]]

Sec. Sec. 1253.300 through 1253.310 do not apply to the recipient, and
that inquiries concerning the application of Title IX and these Title IX
regulations to such recipient may be referred to the employee designated
pursuant to Sec. 1253.135, or to the designated agency official.
(2) Each recipient shall make the initial notification required by
paragraph (a)(1) of this section within 90 days of September 29, 2000 or
of the date these Title IX regulations first apply to such recipient,
whichever comes later, which notification shall include publication in:
(i) Newspapers and magazines operated by such recipient or by
student, alumnae, or alumni groups for or in connection with such
recipient; and
(ii) Memoranda or other written communications distributed to every
student and employee of such recipient.
(b) Publications. (1) Each recipient shall prominently include a
statement of the policy described in paragraph (a) of this section in
each announcement, bulletin, catalog, or application form that it makes
available to any person of a type, described in paragraph (a) of this
section, or which is otherwise used in connection with the recruitment
of students or employees.
(2) A recipient shall not use or distribute a publication of the
type described in paragraph (b)(1) of this section that suggests, by
text or illustration, that such recipient treats applicants, students,
or employees differently on the basis of sex except as such treatment is
permitted by these Title IX regulations.
(c) Distribution. Each recipient shall distribute without
discrimination on the basis of sex each publication described in
paragraph (b)(1) of this section, and shall apprise each of its
admission and employment recruitment representatives of the policy of
nondiscrimination described in paragraph (a) of this section, and shall
require such representatives to adhere to such policy.

Subpart B_Coverage

Sec. 1253.200 Application.

Except as provided in Secs. 1253.205 through 1253.235(a), these
Title IX regulations apply to every recipient and to each education
program or activity operated by such recipient that receives Federal
financial assistance.

Sec. 1253.205 Educational institutions and other entities controlled
by religious organizations.

(a) Exemption. These Title IX regulations do not apply to any
operation of an educational institution or other entity that is
controlled by a religious organization to the extent that application of
these Title IX regulations would not be consistent with the religious
tenets of such organization.
(b) Exemption claims. An educational institution or other entity
that wishes to claim the exemption set forth in paragraph (a) of this
section shall do so by submitting in writing to the designated agency
official a statement by the highest-ranking official of the institution,
identifying the provisions of these Title IX regulations that conflict
with a specific tenet of the religious organization.

Sec. 1253.210 Military and merchant marine educational institutions.

These Title IX regulations do not apply to an educational
institution whose primary purpose is the training of individuals for a
military service of the United States or for the merchant marine.

Sec. 1253.215 Membership practices of certain organizations.

(a) Social fraternities and sororities. These Title IX regulations
do not apply to the membership practices of social fraternities and
sororities that are exempt from taxation under section 501(a) of the
Internal Revenue Code of 1954, 26 U.S.C. 501(a), the active membership
of which consists primarily of students in attendance at institutions of
higher education.
(b) YMCA, YWCA, Girl Scouts, Boy Scouts, and Camp Fire Girls. These
Title IX regulations do not apply to the membership practices of the
Young Men's Christian Association (YMCA), the Young Women's Christian
Association (YWCA), the Girl Scouts, the Boy Scouts, and Camp Fire
Girls.
(c) Voluntary youth service organizations. These Title IX
regulations do not

[[Page 183]]

apply to the membership practices of a voluntary youth service
organization that is exempt from taxation under section 501(a) of the
Internal Revenue Code of 1954, 26 U.S.C. 501(a), and the membership of
which has been traditionally limited to members of one sex and
principally to persons of less than nineteen years of age.

Sec. 1253.220 Admissions.

(a) Admissions to educational institutions prior to June 24, 1973,
are not covered by these Title IX regulations.
(b) Administratively separate units. For the purposes only of this
section, Secs. 1253.225 and 1253.230, and Secs. 1253.300 through
1253.310, each administratively separate unit shall be deemed to be an
educational institution.
(c) Application of Secs. 1253.300 through 1253.310. Except as
provided in paragraphs (d) and (e) of this section, Secs. 1253.300
through 1253.310 apply to each recipient. A recipient to which
Secs. 1253.300 through 1253.310 apply shall not discriminate on the
basis of sex in admission or recruitment in violation of Secs. 1253.300
through 1253.310.
(d) Educational institutions. Except as provided in paragraph (e) of
this section as to recipients that are educational institutions,
Secs. 1253.300 through 1253.310 apply only to institutions of vocational
education, professional education, graduate higher education, and public
institutions of undergraduate higher education.
(e) Public institutions of undergraduate higher education.
Secs. 1253.300 through 1253.310 do not apply to any public institution
of undergraduate higher education that traditionally and continually
from its establishment has had a policy of admitting students of only
one sex.

Sec. 1253.225 Educational institutions eligible to submit transition plans.

(a) Application. This section applies to each educational
institution to which Secs. 1253.300 through 1253.310 apply that:
(1) Admitted students of only one sex as regular students as of June
23, 1972; or
(2) Admitted students of only one sex as regular students as of June
23, 1965, but thereafter admitted, as regular students, students of the
sex not admitted prior to June 23, 1965.
(b) Provision for transition plans. An educational institution to
which this section applies shall not discriminate on the basis of sex in
admission or recruitment in violation of Secs. 1253.300 through
1253.310.

Sec. 1253.230 Transition plans.

(a) Submission of plans. An institution to which Sec. 1253.225
applies and that is composed of more than one administratively separate
unit may submit either a single transition plan applicable to all such
units, or a separate transition plan applicable to each such unit.
(b) Content of plans. In order to be approved by the Secretary of
Education, a transition plan shall:
(1) State the name, address, and Federal Interagency Committee on
Education Code of the educational institution submitting such plan, the
administratively separate units to which the plan is applicable, and the
name, address, and telephone number of the person to whom questions
concerning the plan may be addressed. The person who submits the plan
shall be the chief administrator or president of the institution, or
another individual legally authorized to bind the institution to all
actions set forth in the plan.
(2) State whether the educational institution or administratively
separate unit admits students of both sexes as regular students and, if
so, when it began to do so.
(3) Identify and describe with respect to the educational
institution or administratively separate unit any obstacles to admitting
students without discrimination on the basis of sex.
(4) Describe in detail the steps necessary to eliminate as soon as
practicable each obstacle so identified and indicate the schedule for
taking these steps and the individual directly responsible for their
implementation.
(5) Include estimates of the number of students, by sex, expected to
apply for, be admitted to, and enter each class during the period
covered by the plan.
(c) Nondiscrimination. No policy or practice of a recipient to which
Sec. 1253.225 applies shall result in treatment of applicants to or
students of

[[Page 184]]

such recipient in violation of Secs. 1253.300 through 1253.310 unless
such treatment is necessitated by an obstacle identified in paragraph
(b)(3) of this section and a schedule for eliminating that obstacle has
been provided as required by paragraph (b)(4) of this section.
(d) Effects of past exclusion. To overcome the effects of past
exclusion of students on the basis of sex, each educational institution
to which Sec. 1253.225 applies shall include in its transition plan, and
shall implement, specific steps designed to encourage individuals of the
previously excluded sex to apply for admission to such institution. Such
steps shall include instituting recruitment programs that emphasize the
institution's commitment to enrolling students of the sex previously
excluded.

Sec. 1253.235 Statutory amendments.

(a) This section, which applies to all provisions of these Title IX
regulations, addresses statutory amendments to Title IX.
(b) These Title IX regulations shall not apply to or preclude:
(1) Any program or activity of the American Legion undertaken in
connection with the organization or operation of any Boys State
conference, Boys Nation conference, Girls State conference, or Girls
Nation conference;
(2) Any program or activity of a secondary school or educational
institution specifically for:
(i) The promotion of any Boys State conference, Boys Nation
conference, Girls State conference, or Girls Nation conference; or
(ii) The selection of students to attend any such conference;
(3) Father-son or mother-daughter activities at an educational
institution or in an education program or activity, but if such
activities are provided for students of one sex, opportunities for
reasonably comparable activities shall be provided to students of the
other sex;
(4) Any scholarship or other financial assistance awarded by an
institution of higher education to an individual because such individual
has received such award in a single-sex pageant based upon a combination
of factors related to the individual's personal appearance, poise, and
talent. The pageant, however, must comply with other nondiscrimination
provisions of Federal law.
(c) Program or activity or program means:
(1) All of the operations of any entity described in paragraphs
(c)(1)(i) through (iv) of this section, any part of which is extended
Federal financial assistance:
(i)(A) A department, agency, special purpose district, or other
instrumentality of a State or of a local government; or
(B) The entity of such State or local government that distributes
such assistance and each such department or agency (and each other State
or local government entity) to which the assistance is extended, in the
case of assistance to a State or local government;
(ii)(A) A college, university, or other postsecondary institution,
or a public system of higher education; or
(B) A local educational agency (as defined in section 8801 of title
20), system of vocational education, or other school system;
(iii)(A) An entire corporation, partnership, or other private
organization, or an entire sole proprietorship--
(1) If assistance is extended to such corporation, partnership,
private organization, or sole proprietorship as a whole; or
(2) Which is principally engaged in the business of providing
education, health care, housing, social services, or parks and
recreation; or
(B) The entire plant or other comparable, geographically separate
facility to which Federal financial assistance is extended, in the case
of any other corporation, partnership, private organization, or sole
proprietorship; or
(iv) Any other entity that is established by two or more of the
entities described in paragraphs (c)(1)(i), (ii), or (iii) of this
section.
(2)(i) Program or activity does not include any operation of an
entity that is controlled by a religious organization if the application
of 20 U.S.C. 1681 to such operation would not be consistent with the
religious tenets of such organization.

[[Page 185]]

(ii) For example, all of the operations of a college, university, or
other postsecondary institution, including but not limited to
traditional educational operations, faculty and student housing, campus
shuttle bus service, campus restaurants, the bookstore, and other
commercial activities are part of a ``program or activity'' subject to
these Title IX regulations if the college, university, or other
institution receives Federal financial assistance.
(d)(1) Nothing in these Title IX regulations shall be construed to
require or prohibit any person, or public or private entity, to provide
or pay for any benefit or service, including the use of facilities,
related to an abortion. Medical procedures, benefits, services, and the
use of facilities, necessary to save the life of a pregnant woman or to
address complications related to an abortion are not subject to this
section.
(2) Nothing in this section shall be construed to permit a penalty
to be imposed on any person or individual because such person or
individual is seeking or has received any benefit or service related to
a legal abortion. Accordingly, subject to paragraph (d)(1) of this
section, no person shall be excluded from participation in, be denied
the benefits of, or be subjected to discrimination under any academic,
extracurricular, research, occupational training, employment, or other
educational program or activity operated by a recipient that receives
Federal financial assistance because such individual has sought or
received, or is seeking, a legal abortion, or any benefit or service
related to a legal abortion.

Subpart C_Discrimination on the Basis of Sex in Admission and
Recruitment Prohibited

Sec. 1253.300 Admission.

(a) General. No person shall, on the basis of sex, be denied
admission, or be subjected to discrimination in admission, by any
recipient to which Secs. 1253.300 through Secs. 1253.310 apply, except
as provided in Secs. 1253.225 and Secs. 1253.230.
(b) Specific prohibitions. (1) In determining whether a person
satisfies any policy or criterion for admission, or in making any offer
of admission, a recipient to which Secs. 1253.300 through 1253.310 apply
shall not:
(i) Give preference to one person over another on the basis of sex,
by ranking applicants separately on such basis, or otherwise;
(ii) Apply numerical limitations upon the number or proportion of
persons of either sex who may be admitted; or
(iii) Otherwise treat one individual differently from another on the
basis of sex.
(2) A recipient shall not administer or operate any test or other
criterion for admission that has a disproportionately adverse effect on
persons on the basis of sex unless the use of such test or criterion is
shown to predict validly success in the education program or activity in
question and alternative tests or criteria that do not have such a
disproportionately adverse effect are shown to be unavailable.
(c) Prohibitions relating to marital or parental status. In
determining whether a person satisfies any policy or criterion for
admission, or in making any offer of admission, a recipient to which
Secs. 1253.300 through 1253.310 apply:
(1) Shall not apply any rule concerning the actual or potential
parental, family, or marital status of a student or applicant that
treats persons differently on the basis of sex;
(2) Shall not discriminate against or exclude any person on the
basis of pregnancy, childbirth, termination of pregnancy, or recovery
therefrom, or establish or follow any rule or practice that so
discriminates or excludes;
(3) Subject to Sec. 1253.235(d), shall treat disabilities related to
pregnancy, childbirth, termination of pregnancy, or recovery therefrom
in the same manner and under the same policies as any other temporary
disability or physical condition; and
(4) Shall not make pre-admission inquiry as to the marital status of
an applicant for admission, including whether such applicant is ``Miss''
or ``Mrs.'' A recipient may make pre-admission inquiry as to the sex of
an applicant for admission, but only if such inquiry is made equally of
such applicants of both sexes and if the results of such inquiry

[[Page 186]]

are not used in connection with discrimination prohibited by these Title
IX regulations.

Sec. 1253.305 Preference in admission.

A recipient to which Secs. 1253.300 through 1253.310 apply shall not
give preference to applicants for admission, on the basis of attendance
at any educational institution or other school or entity that admits as
students only or predominantly members of one sex, if the giving of such
preference has the effect of discriminating on the basis of sex in
violation of Secs. 1253.300 through 1253.310.

Sec. 1253.310 Recruitment.

(a) Nondiscriminatory recruitment. A recipient to which
Secs. 1253.300 through 1253.310 apply shall not discriminate on the
basis of sex in the recruitment and admission of students. A recipient
may be required to undertake additional recruitment efforts for one sex
as remedial action pursuant to Sec. 1253.110(a), and may choose to
undertake such efforts as affirmative action pursuant to
Sec. 1253.110(b).
(b) Recruitment at certain institutions. A recipient to which
Secs. 1253.300 through 1253.310 apply shall not recruit primarily or
exclusively at educational institutions, schools, or entities that admit
as students only or predominantly members of one sex, if such actions
have the effect of discriminating on the basis of sex in violation of
Secs. 1253.300 through 1253.310.

Subpart D_Discrimination on the Basis of Sex in Education Programs or
Activities Prohibited

Sec. 1253.400 Education programs or activities.

(a) General. Except as provided elsewhere in these Title IX
regulations, no person shall, on the basis of sex, be excluded from
participation in, be denied the benefits of, or be subjected to
discrimination under any academic, extracurricular, research,
occupational training, or other education program or activity operated
by a recipient that receives Federal financial assistance. Sections
1253.400 through 1253.455 do not apply to actions of a recipient in
connection with admission of its students to an education program or
activity of a recipient to which Secs. 1253.300 through 1253.310 do not
apply, or an entity, not a recipient, to which Secs. 1253.300 through
1253.310 would not apply if the entity were a recipient.
(b) Specific prohibitions. Except as provided in Secs. 1253.400
through 1253.455, in providing any aid, benefit, or service to a
student, a recipient shall not, on the basis of sex:
(1) Treat one person differently from another in determining whether
such person satisfies any requirement or condition for the provision of
such aid, benefit, or service;
(2) Provide different aid, benefits, or services or provide aid,
benefits, or services in a different manner;
(3) Deny any person any such aid, benefit, or service;
(4) Subject any person to separate or different rules of behavior,
sanctions, or other treatment;
(5) Apply any rule concerning the domicile or residence of a student
or applicant, including eligibility for in-state fees and tuition;
(6) Aid or perpetuate discrimination against any person by providing
significant assistance to any agency, organization, or person that
discriminates on the basis of sex in providing any aid, benefit, or
service to students or employees;
(7) Otherwise limit any person in the enjoyment of any right,
privilege, advantage, or opportunity.
(c) Assistance administered by a recipient educational institution
to study at a foreign institution. A recipient educational institution
may administer or assist in the administration of scholarships,
fellowships, or other awards established by foreign or domestic wills,
trusts, or similar legal instruments, or by acts of foreign governments
and restricted to members of one sex, that are designed to provide
opportunities to study abroad, and that are awarded to students who are
already matriculating at or who are graduates of the recipient
institution; Provided, that a recipient educational institution that
administers or assists in the administration of such scholarships,
fellowships, or other awards that are restricted to members of one sex
provides, or otherwise makes available,

[[Page 187]]

reasonable opportunities for similar studies for members of the other
sex. Such opportunities may be derived from either domestic or foreign
sources.
(d) Aids, benefits or services not provided by recipient. (1) This
paragraph (d) applies to any recipient that requires participation by
any applicant, student, or employee in any education program or activity
not operated wholly by such recipient, or that facilitates, permits, or
considers such participation as part of or equivalent to an education
program or activity operated by such recipient, including participation
in educational consortia and cooperative employment and student-teaching
assignments.
(2) Such recipient:
(i) Shall develop and implement a procedure designed to assure
itself that the operator or sponsor of such other education program or
activity takes no action affecting any applicant, student, or employee
of such recipient that these Title IX regulations would prohibit such
recipient from taking; and
(ii) Shall not facilitate, require, permit, or consider such
participation if such action occurs.

Sec. 1253.405 Housing.

(a) Generally. A recipient shall not, on the basis of sex, apply
different rules or regulations, impose different fees or requirements,
or offer different services or benefits related to housing, except as
provided in this section (including housing provided only to married
students).
(b) Housing provided by recipient. (1) A recipient may provide
separate housing on the basis of sex.
(2) Housing provided by a recipient to students of one sex, when
compared to that provided to students of the other sex, shall be as a
whole:
(i) Proportionate in quantity to the number of students of that sex
applying for such housing; and
(ii) Comparable in quality and cost to the student.
(c) Other housing. (1) A recipient shall not, on the basis of sex,
administer different policies or practices concerning occupancy by its
students of housing other than that provided by such recipient.
(2)(i) A recipient which, through solicitation, listing, approval of
housing, or otherwise, assists any agency, organization, or person in
making housing available to any of its students, shall take such
reasonable action as may be necessary to assure itself that such housing
as is provided to students of one sex, when compared to that provided to
students of the other sex, is as a whole:
(A) Proportionate in quantity; and
(B) Comparable in quality and cost to the student.
(ii) A recipient may render such assistance to any agency,
organization, or person that provides all or part of such housing to
students of only one sex.

Sec. 1253.410 Comparable facilities.

A recipient may provide separate toilet, locker room, and shower
facilities on the basis of sex, but such facilities provided for
students of one sex shall be comparable to such facilities provided for
students of the other sex.

Sec. 1253.415 Access to course offerings.

(a) A recipient shall not provide any course or otherwise carry out
any of its education program or activity separately on the basis of sex,
or require or refuse participation therein by any of its students on
such basis, including health, physical education, industrial, business,
vocational, technical, home economics, music, and adult education
courses.
(b)(1) With respect to classes and activities in physical education
at the elementary school level, the recipient shall comply fully with
this section as expeditiously as possible but in no event later than one
year from September 29, 2000. With respect to physical education classes
and activities at the secondary and post-secondary levels, the recipient
shall comply fully with this section as expeditiously as possible but in
no event later than three years from September 29, 2000.
(2) This section does not prohibit grouping of students in physical
education classes and activities by ability as assessed by objective
standards of individual performance developed and applied without regard
to sex.

[[Page 188]]

(3) This section does not prohibit separation of students by sex
within physical education classes or activities during participation in
wrestling, boxing, rugby, ice hockey, football, basketball, and other
sports the purpose or major activity of which involves bodily contact.
(4) Where use of a single standard of measuring skill or progress in
a physical education class has an adverse effect on members of one sex,
the recipient shall use appropriate standards that do not have such
effect.
(5) Portions of classes in elementary and secondary schools, or
portions of education programs or activities, that deal exclusively with
human sexuality may be conducted in separate sessions for boys and
girls.
(6) Recipients may make requirements based on vocal range or quality
that may result in a chorus or choruses of one or predominantly one sex.

Sec. 1253.420 Access to schools operated by LEAs.

A recipient that is a local educational agency shall not, on the
basis of sex, exclude any person from admission to:
(a) Any institution of vocational education operated by such
recipient; or
(b) Any other school or educational unit operated by such recipient,
unless such recipient otherwise makes available to such person, pursuant
to the same policies and criteria of admission, courses, services, and
facilities comparable to each course, service, and facility offered in
or through such schools.

Sec. 1253.425 Counseling and use of appraisal and counseling materials.

(a) Counseling. A recipient shall not discriminate against any
person on the basis of sex in the counseling or guidance of students or
applicants for admission.
(b) Use of appraisal and counseling materials. A recipient that uses
testing or other materials for appraising or counseling students shall
not use different materials for students on the basis of their sex or
use materials that permit or require different treatment of students on
such basis unless such different materials cover the same occupations
and interest areas and the use of such different materials is shown to
be essential to eliminate sex bias. Recipients shall develop and use
internal procedures for ensuring that such materials do not discriminate
on the basis of sex. Where the use of a counseling test or other
instrument results in a substantially disproportionate number of members
of one sex in any particular course of study or classification, the
recipient shall take such action as is necessary to assure itself that
such disproportion is not the result of discrimination in the instrument
or its application.
(c) Disproportion in classes. Where a recipient finds that a
particular class contains a substantially disproportionate number of
individuals of one sex, the recipient shall take such action as is
necessary to assure itself that such disproportion is not the result of
discrimination on the basis of sex in counseling or appraisal materials
or by counselors.

Sec. 1253.430 Financial assistance.

(a) General. Except as provided in paragraphs (b) and (c) of this
section, in providing financial assistance to any of its students, a
recipient shall not:
(1) On the basis of sex, provide different amounts or types of such
assistance, limit eligibility for such assistance that is of any
particular type or source, apply different criteria, or otherwise
discriminate;
(2) Through solicitation, listing, approval, provision of
facilities, or other services, assist any foundation, trust, agency,
organization, or person that provides assistance to any of such
recipient's students in a manner that discriminates on the basis of sex;
or
(3) Apply any rule or assist in application of any rule concerning
eligibility for such assistance that treats persons of one sex
differently from persons of the other sex with regard to marital or
parental status.
(b) Financial aid established by certain legal instruments. (1) A
recipient may administer or assist in the administration of
scholarships, fellowships, or other forms of financial assistance
established pursuant to domestic or foreign wills, trusts, bequests, or
similar

[[Page 189]]

legal instruments or by acts of a foreign government that require that
awards be made to members of a particular sex specified therein;
Provided, that the overall effect of the award of such sex-restricted
scholarships, fellowships, and other forms of financial assistance does
not discriminate on the basis of sex.
(2) To ensure nondiscriminatory awards of assistance as required in
paragraph (b)(1) of this section, recipients shall develop and use
procedures under which:
(i) Students are selected for award of financial assistance on the
basis of nondiscriminatory criteria and not on the basis of availability
of funds restricted to members of a particular sex;
(ii) An appropriate sex-restricted scholarship, fellowship, or other
form of financial assistance is allocated to each student selected under
paragraph (b)(2)(i) of this section; and
(iii) No student is denied the award for which he or she was
selected under paragraph (b)(2)(i) of this section because of the
absence of a scholarship, fellowship, or other form of financial
assistance designated for a member of that student's sex.
(c) Athletic scholarships. (1) To the extent that a recipient awards
athletic scholarships or grants-in-aid, it must provide reasonable
opportunities for such awards for members of each sex in proportion to
the number of students of each sex participating in interscholastic or
intercollegiate athletics.
(2) A recipient may provide separate athletic scholarships or
grants-in-aid for members of each sex as part of separate athletic teams
for members of each sex to the extent consistent with this paragraph (c)
and Sec. 1253.450.

Sec. 1253.435 Employment assistance to students.

(a) Assistance by recipient in making available outside employment.
A recipient that assists any agency, organization, or person in making
employment available to any of its students:
(1) Shall assure itself that such employment is made available
without discrimination on the basis of sex; and
(2) Shall not render such services to any agency, organization, or
person that discriminates on the basis of sex in its employment
practices.
(b) Employment of students by recipients. A recipient that employs
any of its students shall not do so in a manner that violates
Secs. 1253.500 through 1253.550.

Sec. 1253.440 Health and insurance benefits and services.

Subject to Sec. 1253.235(d), in providing a medical, hospital,
accident, or life insurance benefit, service, policy, or plan to any of
its students, a recipient shall not discriminate on the basis of sex, or
provide such benefit, service, policy, or plan in a manner that would
violate Secs. 1253.500 through 1253.550 if it were provided to employees
of the recipient. This section shall not prohibit a recipient from
providing any benefit or service that may be used by a different
proportion of students of one sex than of the other, including family
planning services. However, any recipient that provides full coverage
health service shall provide gynecological care.

Sec. 1253.445 Marital or parental status.

(a) Status generally. A recipient shall not apply any rule
concerning a student's actual or potential parental, family, or marital
status that treats students differently on the basis of sex.
(b) Pregnancy and related conditions. (1) A recipient shall not
discriminate against any student, or exclude any student from its
education program or activity, including any class or extracurricular
activity, on the basis of such student's pregnancy, childbirth, false
pregnancy, termination of pregnancy, or recovery therefrom, unless the
student requests voluntarily to participate in a separate portion of the
program or activity of the recipient.
(2) A recipient may require such a student to obtain the
certification of a physician that the student is physically and
emotionally able to continue participation as long as such a
certification is required of all students for other physical or
emotional conditions requiring the attention of a physician.
(3) A recipient that operates a portion of its education program or
activity separately for pregnant students, admittance to which is
completely voluntary on the part of the student as

[[Page 190]]

provided in paragraph (b)(1) of this section, shall ensure that the
separate portion is comparable to that offered to non-pregnant students.
(4) Subject to Sec. 1253.235(d), a recipient shall treat pregnancy,
childbirth, false pregnancy, termination of pregnancy and recovery
therefrom in the same manner and under the same policies as any other
temporary disability with respect to any medical or hospital benefit,
service, plan, or policy that such recipient administers, operates,
offers, or participates in with respect to students admitted to the
recipient's educational program or activity.
(5) In the case of a recipient that does not maintain a leave policy
for its students, or in the case of a student who does not otherwise
qualify for leave under such a policy, a recipient shall treat
pregnancy, childbirth, false pregnancy, termination of pregnancy, and
recovery therefrom as a justification for a leave of absence for as long
a period of time as is deemed medically necessary by the student's
physician, at the conclusion of which the student shall be reinstated to
the status that she held when the leave began.

Sec. 1253.450 Athletics.

(a) General. No person shall, on the basis of sex, be excluded from
participation in, be denied the benefits of, be treated differently from
another person, or otherwise be discriminated against in any
interscholastic, intercollegiate, club, or intramural athletics offered
by a recipient, and no recipient shall provide any such athletics
separately on such basis.
(b) Separate teams. Notwithstanding the requirements of paragraph
(a) of this section, a recipient may operate or sponsor separate teams
for members of each sex where selection for such teams is based upon
competitive skill or the activity involved is a contact sport. However,
where a recipient operates or sponsors a team in a particular sport for
members of one sex but operates or sponsors no such team for members of
the other sex, and athletic opportunities for members of that sex have
previously been limited, members of the excluded sex must be allowed to
try out for the team offered unless the sport involved is a contact
sport. For the purposes of these Title IX regulations, contact sports
include boxing, wrestling, rugby, ice hockey, football, basketball, and
other sports the purpose or major activity of which involves bodily
contact.
(c) Equal opportunity. (1) A recipient that operates or sponsors
interscholastic, intercollegiate, club, or intramural athletics shall
provide equal athletic opportunity for members of both sexes. In
determining whether equal opportunities are available, the designated
agency official will consider, among other factors:
(i) Whether the selection of sports and levels of competition
effectively accommodate the interests and abilities of members of both
sexes;
(ii) The provision of equipment and supplies;
(iii) Scheduling of games and practice time;
(iv) Travel and per diem allowance;
(v) Opportunity to receive coaching and academic tutoring;
(vi) Assignment and compensation of coaches and tutors;
(vii) Provision of locker rooms, practice, and competitive
facilities;
(viii) Provision of medical and training facilities and services;
(ix) Provision of housing and dining facilities and services;
(x) Publicity.
(2) For purposes of paragraph (c)(1) of this section, unequal
aggregate expenditures for members of each sex or unequal expenditures
for male and female teams if a recipient operates or sponsors separate
teams will not constitute noncompliance with this section, but the
designated agency official may consider the failure to provide necessary
funds for teams for one sex in assessing equality of opportunity for
members of each sex.
(d) Adjustment period. A recipient that operates or sponsors
interscholastic, intercollegiate, club, or intramural athletics at the
elementary school level shall comply fully with this section as
expeditiously as possible but in no event later than one year from
September 29, 2000. A recipient that operates or sponsors
interscholastic, intercollegiate, club, or intramural athletics at the
secondary or postsecondary school level shall comply fully

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with this section as expeditiously as possible but in no event later
than three years from September 29, 2000.

Sec. 1253.455 Textbooks and curricular material.

Nothing in these Title IX regulations shall be interpreted as
requiring or prohibiting or abridging in any way the use of particular
textbooks or curricular materials.

Subpart E_Discrimination on the Basis of Sex in Employment in Education
Programs or Activities Prohibited

Sec. 1253.500 Employment.

(a) General. (1) No person shall, on the basis of sex, be excluded
from participation in, be denied the benefits of, or be subjected to
discrimination in employment, or recruitment, consideration, or
selection therefor, whether full-time or part-time, under any education
program or activity operated by a recipient that receives Federal
financial assistance.
(2) A recipient shall make all employment decisions in any education
program or activity operated by such recipient in a nondiscriminatory
manner and shall not limit, segregate, or classify applicants or
employees in any way that could adversely affect any applicant's or
employee's employment opportunities or status because of sex.
(3) A recipient shall not enter into any contractual or other
relationship which directly or indirectly has the effect of subjecting
employees or students to discrimination prohibited by Secs. 1253.500
through 1253.550, including relationships with employment and referral
agencies, with labor unions, and with organizations providing or
administering fringe benefits to employees of the recipient.
(4) A recipient shall not grant preferences to applicants for
employment on the basis of attendance at any educational institution or
entity that admits as students only or predominantly members of one sex,
if the giving of such preferences has the effect of discriminating on
the basis of sex in violation of these Title IX regulations.
(b) Application. The provisions of Secs. 1253.500 through 1253.550
apply to:
(1) Recruitment, advertising, and the process of application for
employment;
(2) Hiring, upgrading, promotion, consideration for and award of
tenure, demotion, transfer, layoff, termination, application of nepotism
policies, right of return from layoff, and rehiring;
(3) Rates of pay or any other form of compensation, and changes in
compensation;
(4) Job assignments, classifications, and structure, including
position descriptions, lines of progression, and seniority lists;
(5) The terms of any collective bargaining agreement;
(6) Granting and return from leaves of absence, leave for pregnancy,
childbirth, false pregnancy, termination of pregnancy, leave for persons
of either sex to care for children or dependents, or any other leave;
(7) Fringe benefits available by virtue of employment, whether or
not administered by the recipient;
(8) Selection and financial support for training, including
apprenticeship, professional meetings, conferences, and other related
activities, selection for tuition assistance, selection for sabbaticals
and leaves of absence to pursue training;
(9) Employer-sponsored activities, including social or recreational
programs; and
(10) Any other term, condition, or privilege of employment.

Sec. 1253.505 Employment criteria.

A recipient shall not administer or operate any test or other
criterion for any employment opportunity that has a disproportionately
adverse effect on persons on the basis of sex unless:
(a) Use of such test or other criterion is shown to predict validly
successful performance in the position in question; and
(b) Alternative tests or criteria for such purpose, which do not
have such disproportionately adverse effect, are shown to be
unavailable.

Sec. 1253.510 Recruitment.

(a) Nondiscriminatory recruitment and hiring. A recipient shall not
discriminate on the basis of sex in the recruitment and hiring of
employees. Where a

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recipient has been found to be presently discriminating on the basis of
sex in the recruitment or hiring of employees, or has been found to have
so discriminated in the past, the recipient shall recruit members of the
sex so discriminated against so as to overcome the effects of such past
or present discrimination.
(b) Recruitment patterns. A recipient shall not recruit primarily or
exclusively at entities that furnish as applicants only or predominantly
members of one sex if such actions have the effect of discriminating on
the basis of sex in violation of Secs. 1253.500 through 1253.550.

Sec. 1253.515 Compensation.

A recipient shall not make or enforce any policy or practice that,
on the basis of sex:
(a) Makes distinctions in rates of pay or other compensation;
(b) Results in the payment of wages to employees of one sex at a
rate less than that paid to employees of the opposite sex for equal work
on jobs the performance of which requires equal skill, effort, and
responsibility, and that are performed under similar working conditions.

Sec. 1253.520 Job classification and structure.

A recipient shall not:
(a) Classify a job as being for males or for females;
(b) Maintain or establish separate lines of progression, seniority
lists, career ladders, or tenure systems based on sex; or
(c) Maintain or establish separate lines of progression, seniority
systems, career ladders, or tenure systems for similar jobs, position
descriptions, or job requirements that classify persons on the basis of
sex, unless sex is a bona fide occupational qualification for the
positions in question as set forth in Sec. 1253.550.

Sec. 1253.525 Fringe benefits.

(a) ``Fringe benefits'' defined. For purposes of these Title IX
regulations, fringe benefits means: Any medical, hospital, accident,
life insurance, or retirement benefit, service, policy or plan, any
profit-sharing or bonus plan, leave, and any other benefit or service of
employment not subject to the provision of Sec. 1253.515.
(b) Prohibitions. A recipient shall not:
(1) Discriminate on the basis of sex with regard to making fringe
benefits available to employees or make fringe benefits available to
spouses, families, or dependents of employees differently upon the basis
of the employee's sex;
(2) Administer, operate, offer, or participate in a fringe benefit
plan that does not provide for equal periodic benefits for members of
each sex and for equal contributions to the plan by such recipient for
members of each sex; or
(3) Administer, operate, offer, or participate in a pension or
retirement plan that establishes different optional or compulsory
retirement ages based on sex or that otherwise discriminates in benefits
on the basis of sex.

Sec. 1253.530 Marital or parental status.

(a) General. A recipient shall not apply any policy or take any
employment action:
(1) Concerning the potential marital, parental, or family status of
an employee or applicant for employment that treats persons differently
on the basis of sex; or
(2) Which is based upon whether an employee or applicant for
employment is the head of household or principal wage earner in such
employee's or applicant's family unit.
(b) Pregnancy. A recipient shall not discriminate against or exclude
from employment any employee or applicant for employment on the basis of
pregnancy, childbirth, false pregnancy, termination of pregnancy, or
recovery therefrom.
(c) Pregnancy as a temporary disability. Subject to
Sec. 1253.235(d), a recipient shall treat pregnancy, childbirth, false
pregnancy, termination of pregnancy, recovery therefrom, and any
temporary disability resulting therefrom as any other temporary
disability for all job-related purposes, including commencement,
duration, and extensions of leave, payment of disability income, accrual
of seniority and any other benefit or service, and reinstatement, and
under any fringe benefit offered to employees by virtue of employment.

[[Page 193]]

(d) Pregnancy leave. In the case of a recipient that does not
maintain a leave policy for its employees, or in the case of an employee
with insufficient leave or accrued employment time to qualify for leave
under such a policy, a recipient shall treat pregnancy, childbirth,
false pregnancy, termination of pregnancy, and recovery therefrom as a
justification for a leave of absence without pay for a reasonable period
of time, at the conclusion of which the employee shall be reinstated to
the status that she held when the leave began or to a comparable
position, without decrease in rate of compensation or loss of
promotional opportunities, or any other right or privilege of
employment.

Sec. 1253.535 Effect of state or local law or other requirements.

(a) Prohibitory requirements. The obligation to comply with
Secs. 1253.500 through 1253.550 is not obviated or alleviated by the
existence of any State or local law or other requirement that imposes
prohibitions or limits upon employment of members of one sex that are
not imposed upon members of the other sex.
(b) Benefits. A recipient that provides any compensation, service,
or benefit to members of one sex pursuant to a State or local law or
other requirement shall provide the same compensation, service, or
benefit to members of the other sex.

Sec. 1253.540 Advertising.

A recipient shall not in any advertising related to employment
indicate preference, limitation, specification, or discrimination based
on sex unless sex is a bona fide occupational qualification for the
particular job in question.

Sec. 1253.545 Pre-employment inquiries.

(a) Marital status. A recipient shall not make pre-employment
inquiry as to the marital status of an applicant for employment,
including whether such applicant is ``Miss'' or ``Mrs.''
(b) Sex. A recipient may make pre-employment inquiry as to the sex
of an applicant for employment, but only if such inquiry is made equally
of such applicants of both sexes and if the results of such inquiry are
not used in connection with discrimination prohibited by these Title IX
regulations.

Sec. 1253.550 Sex as a bona fide occupational qualification.

A recipient may take action otherwise prohibited by Secs. 1253.500
through 1253.550 provided it is shown that sex is a bona fide
occupational qualification for that action, such that consideration of
sex with regard to such action is essential to successful operation of
the employment function concerned. A recipient shall not take action
pursuant to this section that is based upon alleged comparative
employment characteristics or stereotyped characterizations of one or
the other sex, or upon preference based on sex of the recipient,
employees, students, or other persons, but nothing contained in this
section shall prevent a recipient from considering an employee's sex in
relation to employment in a locker room or toilet facility used only by
members of one sex.

Subpart F_Procedures

Sec. 1253.600 Notice of covered programs.

Within 60 days of September 29, 2000, each Federal agency that
awards Federal financial assistance shall publish in the Federal
Register a notice of the programs covered by these Title IX regulations.
Each such Federal agency shall periodically republish the notice of
covered programs to reflect changes in covered programs. Copies of this
notice also shall be made available upon request to the Federal agency's
office that enforces Title IX.

Sec. 1253.605 Enforcement procedures.

The investigative, compliance, and enforcement procedural provisions
of Title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d) (``Title
VI'') are hereby adopted and applied to these Title IX regulations.
These procedures may be found at 14 CFR 1250.105 through 1250.110.

[65 FR 52877, Aug. 30, 2000]

[[Page 194]]

PART 1259_NATIONAL SPACE GRANT COLLEGE AND FELLOWSHIP PROGRAM
--Table of Contents

Subpart 1_Basic Policy

Sec.
1259.100 Scope of part.
1259.101 Definitions.
1259.102 General policy.
1259.103 Special authorities--gift acceptance and other Federal
funding.

Subpart 2_Space Grant Program and Project Awards

1259.200 Description.
1259.201 Types of Space Grant program and project awards--regular and
special.
1259.202 Application procedures.
1259.203 Limitations.

Subpart 3_National Needs Grants

1259.300 Description.
1259.301 Identification of national needs.
1259.302 Application procedures.
1259.303 Limitations.

Subpart 4_Space Grant College and Consortium Designation

1259.400 Description.
1259.401 Responsibilities.
1259.402 Basic criteria and application procedures.
1259.403 Limitations.
1259.404 Suspension or termination of designation.

Subpart 5_Space Grant Fellowships

1259.500 Description.
1259.501 Responsibilities.
1259.502 Application procedures.
1259.503 Limitations.

Subpart 6_Space Grant Review Panel

1259.600 Panel description.
1259.601 Establishment and composition.
1259.602 Conflict of interest.
1259.603 Responsibilities.

Authority: Pub. L. 100-147, 101 Stat. 869-875, 42 U.S.C. 2486; 42
U.S.C. 2452.

Source: 54 FR 19880, May 9, 1989, unless otherwise noted.

Subpart 1_Basic Policy

Sec. 1259.100 Scope of part.

(a) This part 1259 establishes the policies, responsibilities and
procedures relative to the National Space Grant College and Fellowship
Program established by Title II of the National Aeronautics and Space
Administration Authorization Act of 1988 (Pub. L. 100-147, Oct. 30,
1987, 101 Stat. 869-875, 42 U.S.C. 2486). This statute authorizes the
Administrator of the National Aeronautics and Space Administration
(NASA), in order to carry out the purposes of the National Space Grant
College and Fellowship Act (the Act), to accept conditional or
unconditional gifts and donations, to accept and use funds from other
Federal departments, agencies and instrumentalities, to make awards with
respect to such needs or problems and to designate Space Grant colleges.
It further directs the Administrator to establish a graduate fellowship
program to provide educational assistance to qualified individuals in
fields related to space, and to establish an independent committee known
as the Space Grant Review Panel to review and advise the Administrator
with respect to Space Grant programs.
(b) The regulations of this part do not apply to awards made by NASA
under any other authority.

Sec. 1259.101 Definitions.

For the purposes of this part, the following definitions shall
apply:
(a) Field related to space means any academic discipline or field of
study (including the physical, natural and biological sciences, and
engineering, space technology, education, economics, sociology,
communications, planning, law, international affairs and public
administration) which is concerned with or likely to improve the
understanding, assessment, development and utilization of space.
(b) Institution of higher education means any college or university
in any State which:
(1) Admits as regular students only individuals who have a
certificate of graduation or equivalent from a secondary school;
(2) Is legally authorized within such State to provide a program of
education beyond secondary education;
(3) Provides an educational program for which a bachelor's degree or
other higher degree is awarded;
(4) Is a public or other nonprofit institution; and

[[Page 195]]

(5) Is accredited by a nationally recognized accrediting agency or
association.
(c) National of the United States means a citizen of the United
States or a native resident of a possession of the United States. It
does not refer to or include a citizen of another country who has
applied for United States citizenship.
(d) Panel means the Space Grant Review Panel established pursuant to
section 210 of the Act.
(e) Person means any individual, public or private corporation,
partnership or other association or entity (including any Space Grant
college, Space Grant consortium, institution of higher education,
institute or laboratory), or any State, political subdivision thereof,
or agency or officer of a State or political subdivision thereof.
(f) Space means aeronautical and space activities which has the
meaning given to such term in section 103(1) of the National Aeronautics
and Space Act of 1958, as amended (42 U.S.C. 2452).
(g) Space Grant college means any public or private institution of
higher education which is designated as such by the Administrator or
designee pursuant to section 208 of the Act.
(h) Space Grant regional consortium means any association or other
alliance which is designated as such by the Administrator or designee
pursuant to section 208 of the Act.
(i) Space Grant program means any program which:
(1) Is administered by any Space Grant college, Space Grant regional
consortium, institution of higher education, institute, laboratory or
State or local agency; and
(2) Includes two or more projects involving education and one or
more of the following activities in the fields related to space:
(i) Research;
(ii) Training; or
(iii) Advisory services.
(j) Space Grant program award means any award contemplated under
section 206(a) of the Act.
(k) Special Space Grant program award means any award extended under
section 206(b) of the Act.
(l) Specific national need grant means any award extended under
section 207 of the Act.
(m) State means any State of the United States, the District of
Columbia, the Commonwealth of Puerto Rico, the Virgin Islands, Guam,
American Samoa, the Commonwealth of the Northern Mariana Islands and any
other territory or possession of the United States.
(n) State Space Grant cooperating institution means any institution
of higher education in a State which does not have a designated Space
Grant college that is named by the Administrator or designee to provide
selected Space Grant program functions within that State.

Sec. 1259.102 General policy.

(a) In accordance with subsections 103(a)(2) and (3) of the National
Aeronautics and Space Act of 1958, as amended, (42 U.S.C. 2457(a)(3)),
it is NASA's policy, through various educational programs, to provide
direct support for and encouragement to teachers, students and
prospective students in fields related to space.
(b) In compliance with the National Space Grant College and
Fellowship Act (42 U.S.C. 2486), it shall be NASA's purpose to:
(1) Increase the understanding, assessment, development and
utilization of space resources by promoting a strong educational base,
responsive research and training activities and broad and prompt
dissemination of knowledge and techniques;
(2) Utilize the abilities and talents of the universities of the
Nation to support and contribute to the exploration and development of
the resources and opportunities afforded by the space environment;
(3) Encourage and support the existence of interdisciplinary and
multidisciplinary programs of space research, to engage in activities of
training (including teacher education), research and public service and
to have cooperative programs with industry;
(4) Encourage and support the existence of consortia, composed of
university and industry members, to advance the exploration and
development of

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space resources in cases in which national objectives can be better
fulfilled than through the programs of single universities;
(5) Encourage and support Federal funding for graduate fellowships
in fields related to space;
(6) Support activities in colleges and universities generally for
the purpose of creating and operating a network of institutional
programs that will enhance achievements resulting from efforts under
this Act; and
(7) Encourage cooperation and coordination among Federal agencies
and Federal programs concerned with space issues.
(c) It shall be NASA's policy to designate Space Grant colleges,
State Space Grant cooperating institutions and Space Grant regional
consortia and award fellowships, grants, contracts and other
transactions competitively in a merit-based review process.
(d) It shall be NASA's policy to designate and make awards without
discriminating on the basis of sex, race, color, religion, national
origin or handicap.

Sec. 1259.103 Special authorities--gift acceptance and other Federal
funding.

(a) Acceptance of gifts:
(1) In order to carry out the provisions of the Act, the
Administrator is authorized to accept conditional or unconditional gifts
or donations of services, money or property, real, personal or mixed,
tangible or intangible. This authority is delegated to the Director,
Educational Affairs Division.
(2) The Administrator or designee may decline any gift or donation
that the Administrator determines is not in accord with the purposes of
the program. Also, conditional gifts or donations that are not in
compliance with the Act or the implementing regulations shall be
declined. NASA may use a reasonable amount from a gift or donation to
cover any administrative costs associated with such gift or donation.
(b) Acceptance and use of funds from other Federal agencies:
(1) To carry out the provisions of the Act, the Administrator is
authorized to accept and use funds from other Federal departments,
agencies and instrumentalities to pay for awards under this program.
This authority is delegated to the Director, Educational Affairs
Division.
(2) The Administrator or designee may decline any such funds when
the Administrator determines acceptance would not be in accord with the
purposes of the program. NASA may use a reasonable amount from
transferred Federal funds to cover any administrative costs associated
with such transfer.

Subpart 2_Space Grant Program and Project Awards

Sec. 1259.200 Description.

Awards are authorized to establish any Space Grant and/or fellowship
program or project if such program or project will further the purposes
of the Act.

Sec. 1259.201 Types of Space Grant program and project awards--regular
and special.

(a) A regular Space Grant program or project award shall:
(1) Be funded by NASA up to 66 percent of the total cost of the
Space Grant award and/or fellowship program involved; or
(2) Be funded up to 100 percent of its cost if funded by another
Federal entity.
(b) A special Space Grant program or project award may be funded up
to 100 percent of the total cost of the special project if the
Administrator or designee, the Director, Educational Affairs Division,
finds that:
(1) No reasonable means is available through which the applicant can
meet the matching requirements for a regular Space Grant award under
paragraph (a) of this section;
(2) The probable benefit of such project outweighs the public
interest in such matching requirement; and
(3) The same or equivalent benefit cannot be obtained through the
award of a regular Space Grant program or project award under paragraph
(a) of this section or the award of a specific national need grant under
section 207 of the Act.

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Sec. 1259.202 Application procedures.

(a) The opportunity to apply shall be announced by the Director,
Educational Affairs Division.
(b) The application procedures and evaluation guidelines for awards
under this section will be included in the announcements of such
programs.
(c) The applications will be reviewed by a peer review merit
selection panel appointed by the Director, Educational Affairs Division.

Sec. 1259.203 Limitations.

Public Law 100-147, Section 206(d)(2) and (3), states that:
(a) Funds for awards made under this section may not be used to:
(1) Purchase land;
(2) Purchase, construct, preserve or repair any building; or
(3) Purchase or construct any launch facility or launch vehicle.
(b) Funds may be used to lease any of the items listed in paragraph
(a) of this section as long as prior written approval is obtained from
the Administrator or designee.

Subpart 3_National Needs Grants

Sec. 1259.300 Description.

National needs awards may be awarded by the Administrator or
designee to meet such needs or problems relating to aerospace identified
by the Space Grant Review Panel, by NASA officials or by any person.
Such awards may be up to 100 percent of the total cost of the program or
project.

Sec. 1259.301 Identification of national needs.

National needs shall be identified by the Administrator who shall
consider specific national needs and problems relating to space proposed
by the Space Grant Review Panel, any NASA official or any person.

Sec. 1259.302 Application procedures.

(a) The Administrator or designee has the authority to make awards
to meet identified national needs.
(b) The Director, Educational Affairs Division, shall establish a
competitive, merit-based review process to examine unsolicited national
needs proposals.

Sec. 1259.303 Limitations.

The same limitations shall apply as are stated in Sec. 1259.203.

Subpart 4_Space Grant College and Consortium Designation

Sec. 1259.400 Description.

(a) The Administrator may designate Space Grant colleges, Space
Grant college consortia and Space Grant regional consortia in order to
establish Federal/university partnerships to promote a strong
educational base in the space and aeronautical sciences. These
designated colleges and consortia will provide leadership for a network
of American colleges and universities, industry and State and local
governments in space-related fields. The Administrator hereby delegates
this authority to the Director, Educational Affairs Division.
(b) Designation of Space Grant colleges, Space Grant college
consortia and Space Grant regional consortia shall be for 5 years.
Designation of Space Grant colleges and consortia may be continued based
on a merit review at the beginning of the fifth year.
(c) Each designated Space Grant college or consortium will receive:
(1) A Space Grant award that requires a 100 percent match; and
(2) Funds for fellowships.
(d) Each Space Grant college or consortium will be funded annually.

Sec. 1259.401 Responsibilities.

Each designated Space Grant college or consortium shall:
(a) Designate a Space Grant Program Director;
(b) Establish a Space Grant Office;
(c) Administer a fellowship program;
(d) Develop and implement programs of public service,
interdisciplinary space-related programs, advisory activities and
cooperation with industry, research laboratories, State and local
governments and other colleges and universities, particularly
institutions in their State and/or region with significantly large
enrollments of racial minorities who are under-represented in science
and technology; and

[[Page 198]]

(e) Provide nonfederal matching funds (exclusive of in-kind
contributions) for the Space Grant program equal to that provided by
NASA.

Sec. 1259.402 Basic criteria and application procedures.

(a) Any institution of higher education may be designated a Space
Grant college if the Administrator or designee finds that it has a
balanced program of research, education, training and advisory services
in fields related to space, as further defined in the program
announcement.
(b) Any association or other alliance of two or more persons may be
designated a Space Grant regional consortium, if the Administrator or
designee finds that such association or alliance:
(1) Is established for the purpose of sharing expertise, research,
educational or training facilities and other capabilities in order to
facilitate research, education, training and advisory services, in any
field related to space;
(2) Will encourage and follow a regional approach to solving
problems or meeting needs relating to space, in cooperation with other
institutions of higher education, Space Grant program grantees and other
persons in the region.
(c) The opportunity to apply for designation shall be announced by
the Director, Educational Affairs Division. The application procedures
and evaluation guidelines for designation shall be included in the
designation announcement.
(d) Designation will be decided by a competitive merit review of the
program proposal measured against the purposes of the Act and including,
but not limited to, proposed linkages with other colleges and
universities (particularly institutions with significant enrollments of
under-represented minority groups), public service and collaboration
with space-related industry.

Sec. 1259.403 Limitations.

The same limitations shall apply as are stated in Sec. 1259.203.

Sec. 1259.404 Suspension or termination of designation.

The Administrator or designee, the Director, Educational Affairs
Division, may, for cause, and after an opportunity for a hearing before
an Administrative Judge appointed by the Deputy Administrator, suspend
or terminate the Space Grant designation of any institution or
consortium.

Subpart 5_Space Grant Fellowships

Sec. 1259.500 Description.

The Space Grant fellowship program will provide educational and
training assistance to qualified individuals at the graduate level in
fields related to space. Awards will be made to institutions of higher
education for fellowships. The student recipients shall be known as NASA
Space Grant Fellows.

Sec. 1259.501 Responsibilities.

(a) All institutions which receive Space Grant fellowships will be
expected to use the awards to increase the pool of graduate students in
fields related to space.
(b) The overall fellowship program shall be cognizant of
institutional diversity and geographical distribution.

Sec. 1259.502 Application procedures.

(a) All applicants for designation as Space Grant colleges and
consortia must apply for Space Grant fellowships.
(b) Applicants for Space Grant program or project grants (under
Sec. 1259.200) and for national needs grants (under Sec. 1259.300) may
also apply for Space Grant fellowships.
(c) There will be a merit review selection of Space Grant fellowship
awards.

Sec. 1259.503 Limitations.

(a) Fellowships shall be awarded only to Nationals of the United
States.
(b) Any students supported under this fellowship program shall not
be funded for more than 4 years unless the Director, Educational Affairs
Division, makes an exception.

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Subpart 6_Space Grant Review Panel

Sec. 1259.600 Panel description.

An independent committee, the Space Grant Review Panel, which is not
subject to the Federal Advisory Committee Act, shall be established to
advise the Administrator with respect to Space Grant program and project
awards, the Space Grant fellowship program and the designation and
operation of Space Grant colleges and consortia. A majority of the
voting members shall be individuals who, by reason of knowledge,
experience, or training are especially qualified in one or more of the
fields related to space. The other voting members shall be individuals
who, by reason of knowledge, experience or training, are especially
qualified in, or representative of, education, extension services, State
government, industry, economics, planning or any other activity related
to the purposes of the Space Grant program.

Sec. 1259.601 Establishment and composition.

(a) The Panel, to be located at NASA Headquarters in Washington, DC,
will be composed of ten voting members who are not current NASA
employees.
(b) It shall include four from Federal departments, agencies or
entities that have an interest in space programs or science and
education, and six nonfederal representatives.
(c) The nonfederal representatives shall include two persons who are
directly involved with the Space Grant program at a Space Grant college
or consortium, one person involved with the Space Grant program at a
university that is not a designated Space Grant college, a university
president or chancellor, one representative of a space-related industry
and the last person to be from whatever field the Administrator
determines to be of greatest concern.
(d) The Panel members shall be appointed by the Administrator or
designee.
(e) The relevant organizations and associations in aerospace and
science education fields will be asked to provide three names for each
position on the panel. The Administrator shall consider them, but not be
limited to them, in the selection process.
(f) The Administrator or designee shall select a Chair and a Vice
Chair. The Vice Chair shall act as Chair in the absence or incapacity of
the Chair.
(g) The Administrator or designee may select NASA officials to serve
as ex officio, nonvoting members of the panel.

Sec. 1259.602 Conflict of interest.

Any member of the Panel who has a personal or financial interest in
an issue before the Panel shall abstain from voting on such issue.

Sec. 1259.603 Responsibilities.

(a) The Panel shall advise the Administrator and the Director,
Educational Affairs Division, with respect to:
(1) Applications or proposals for, and performance under, awards
made pursuant to sections 206 and 207 of Title II of the Act;
(2) The Space Grant fellowship program;
(3) The designation and operation of Space Grant colleges and Space
Grant regional consortia, and the operation of Space Grant and
fellowship programs;
(4) The formulation and application of the planning guidelines and
priorities pursuant to section 205 (a) and (b)(1) of Title II of the
Act; and
(5) Such other matters as the Administrator refers to the Panel for
review and advice.
(b) The Panel shall meet biannually and at any other time at the
call of the Chair or upon a request from a majority of the voting
members or at the call of the Administrator.
(c) The Panel may exercise such powers as are reasonably necessary
in order to carry out the duties enumerated in paragraph (a) of this
section.
(d) The Director, Educational Affairs Division, shall appoint an
Executive Secretary who shall perform administrative duties for the
Panel.
(e) Federal members of the Panel will have their agencies reimbursed
by NASA for any travel costs and per diem expenses required to attend
Panel meetings.
(f) Nonfederal members of the Panel will be reimbursed by NASA for
travel

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costs and per diem expenses required to attend Panel meetings.

PART 1260 [RESERVED]

PART 1261_PROCESSING OF MONETARY CLAIMS (GENERAL)--Table of Contents

Subpart 1261.1_Employees' Personal Property Claims

Sec.
1261.100 Scope of subpart.
1261.101 Claimants.
1261.102 Maximum amount.
1261.103 Time limitations.
1261.104 Allowable claims.
1261.105 Unallowable claims.
1261.106 Submission of claims.
1261.107 Evidence in support of claim.
1261.108 Recovery from carriers, insurers, and other third parties.
1261.109 Computation of allowance.
1261.110 Settlement of claims.

Subpart 1261.2 [Reserved]

Subpart 1261.3_Claims Against NASA or Its Employees for Damage to or
Loss of Property or Personal Injury or Death_Accruing On or After
January 18, 1967

1261.300 Scope of subpart.
1261.301 Authority.
1261.302 Claim.
1261.303 Claimant.
1261.304 Place of filing claim.
1261.305 Form of claim.
1261.306 Evidence and information required.
1261.307 Time limitations.
1261.308 NASA officials authorized to act upon claims.
1261.309 Action under the Federal Tort Claims Act.
1261.310 Investigation of claims.
1261.311 Claims requiring Department of Justice approval or
consultation.
1261.312 Action on approved claims.
1261.313 Required notification in the event of denial.
1261.314 [Reserved]
1261.315 Procedures for the handling of lawsuits against NASA employees
arising within the scope of their office or employment.
1261.316 Policy.
1261.317 Attorney-client privilege.

Subpart 1261.4_Collection of Civil Claims of the United States Arising
Out of the Activities of the National Aeronautics and Space
Administration (NASA)

1261.400 Scope of subpart.
1261.401 Definitions.
1261.402 Delegation of authority.
1261.403 Consultation with appropriate officials; negotiation.
1261.404 Services of the Inspector General.
1261.405 Subdivision of claims not authorized; other administrative
proceedings.
1261.406 Aggressive collection action; documentation.
1261.407 Demand for payment; limitation periods.
1261.408 Use of consumer reporting agency.
1261.409 Contracting for collection services.
1261.410 Suspension or revocation of license or eligibility;
liquidation of collateral.
1261.411 Collection in installments.
1261.412 Interest, penalties, and administrative costs.
1261.413 Analysis of costs; automation; prevention of overpayments,
delinquencies, or defaults.
1261.414 Compromise of claims.
1261.415 Execution of releases.
1261.416 Suspending or terminating collection action.
1261.417 Referral to Department of Justice (DJ) or General Accounting
Office (GAO).

Subpart 1261.5_Administrative Offset of Claims

1261.500 Scope of subpart.
1261.501 Definition.
1261.502 Notification procedures.
1261.503 Agency records inspection; hearing or review.
1261.504 Interagency requests.
1261.505 Multiple debts.
1261.506 Limitation periods.
1261.507 Civil Service Retirement and Disability Fund.
1261.508 Offset against a judgment.

Subpart 1261.6_Collection by Offset From Indebted Government Employees

1261.600 Purpose of subpart.
1261.601 Scope of subpart.
1261.602 Definitions.
1261.603 Procedures for salary offset.
1261.604 Nonwaiver of rights by involuntary setoff.
1261.605 Refunds.
1261.606 Salary offset request by a creditor agency other than NASA
(the current paying agency).
1261.607 Obtaining the services of a hearing official.

Authority: Subparts 1261.4, 1261.5, and 1261.6 issued under 42
U.S.C. 2473(c); 31 U.S.C. 3711 et seq.; 5 U.S.C. 5514; 4 CFR parts 101-
105; 5 CFR part 550 subpart K, Secs. 550.1101-550.1107.

Source: 45 FR 48104, July 18, 1980, unless otherwise noted.

[[Page 201]]

Subpart 1261.1_Employees' Personal Property Claims

Authority: 31 U.S.C. 2371, et seq.

Sec. 1261.100 Scope of subpart.

This subpart prescribes regulations governing the settlement of
claims against the National Aeronautics and Space Administration (NASA)
for damage to, or loss of, personal property incident to service with
NASA.

Sec. 1261.101 Claimants.

(a) A claim for damage to, or loss of, personal property incident to
service with NASA may be made only by:
(1) An officer or employee of the National Aeronautics and Space
Administration;
(2) A member of the uniformed services (Army, Navy, Air Force,
Marine Corps, Coast Guard, Coast and Geodetic Survey and Public Health
Service) assigned to duty with or under the jurisdiction of NASA;
(3) The authorized agent or legal representative of a person named
in paragraph (a)(1) or (2) of this section; or
(4) The survivors of a person named in paragraph (a)(1) or (2) of
this section in the following order of precedence: Spouse; children,
father or mother, or both; or brothers or sisters, or both. Claims by
survivors may be allowed whether arising before, concurrently with, or
after the decedent's death, if otherwise covered by this subpart.
(b) Employees of contractors with the United States and employees of
nonappropriated fund activities are not included within the meaning of
paragraph (a)(1) or (2) of this section.
(c) Claims may not be made by or for the benefit of a subrogee,
assignee, conditional vendor, or other third party.

Sec. 1261.102 Maximum amount.

From October 1, 1982, to October 30, 1988, the maximum amount that
may be paid under the Military Personnel and Civilian Employees' Claim
Act of 1964, as amended (31 U.S.C. 3721) is $25,000, and on or after
October 31, 1988, the maximum amount is $40,000 (Pub. L. 100-565, 102
Stat. 2833, October 31, 1988).

[54 FR 35456, Aug. 28, 1989]

Sec. 1261.103 Time limitations.

(a) A claim may be allowed only if the claim is presented in writing
within 2 years after it accrues. For the purposes of this subpart, a
claim accrues at the time of the accident or incident causing the loss
or damage, or at such time as the loss or damage is or should have been
discovered by the claimant through the exercise of due diligence.
(b) If a claim accrues in time of war or if an armed conflict
intervenes within 2 years after it accrues, and if good cause is shown,
the claim may be presented not later than 2 years after that cause
ceases to exist, or 2 years after the war or armed conflict is
terminated, whichever is earlier. The dates of beginning and ending of
such an armed conflict are the dates established by concurrent
resolution of the Congress or by a determination of the President.

Sec. 1261.104 Allowable claims.

(a) A claim may be allowed only if:
(1) The damage or loss was not caused wholly or partly by the
negligent or wrongful act of the claimant, the claimant's agent, private
employee, or family member (the standard to be applied is that of
reasonable care under the circumstances);
(2) The possession of the property lost or damaged and the quantity
is determined to have been reasonable, useful, or proper under the
circumstances; and
(3) The claim is substantiated by proper and convincing evidence.
(b) Claims which are otherwise allowable under this subpart shall
not be disallowed solely because the property was not in the possession
of the claimant at the time of the damage or loss, or solely because the
claimant was not the legal owner of the property for which the claim is
made. For example, borrowed property may be the subject of a claim.
(c) Subject to the conditions in paragraph (a) of this section and
the other provisions of this subpart, any claim for damage to, or loss
of, personal property incident to service with NASA may be considered
and allowed. The following are examples of the principal types of claims
which may be allowed, but these examples are not exclusive

[[Page 202]]

and other types of claims may be allowed, unless excluded by
Sec. 1261.105.
(1) Property loss or damage in quarters or other authorized places.
Claims may be allowed for damage to, or loss of, property arising from
fire, flood, hurricane, other natural disaster, theft, or other unusual
occurrence, while such property is located at:
(i) Quarters within the 50 States or the District of Columbia that
were assigned to the claimant or provided by the United States;
(ii) Quarters outside the 50 States and the District of Columbia
that were occupied by the claimant, whether or not they were assigned or
provided by the United States, except when the claimant is a civilian
employee who is a local inhabitant; or
(iii) Any warehouse, office working area, hospital, or other place
authorized or apparently authorized for the reception or storage of
property.
(2) Transportation or travel losses. Claims may be allowed for
damage to, or loss of, property incident to transportation or storage
pursuant to orders, or in connection with travel under orders, including
property in the custody of a carrier, an agent or agency of the
Government, or the claimant.
(3) House trailers. Claims may be allowed for damage to, or loss of,
house trailers and their contents under the provisions of paragraph
(c)(2) of this section.
(4) Negligence of the Government. Claims may be allowed for damage
to, or loss of, property caused by the negligence or wrongful act or
omission of any employee of the Government while acting within the scope
of office or employment.
(5) Enemy action or public service. Claims may be allowed for damage
to, or loss of, property as a direct consequence of:
(i) Enemy action or threat of action or combat, guerrilla,
brigandage, or other belligerent activity, or unjust confiscation by a
foreign power or its nationals;
(ii) Action by the claimant to quiet a civil disturbance or to
alleviate a public disaster; or
(iii) Efforts by the claimant to save human life or Government
property.
(6) Property used for benefit of the Government. Claims may be
allowed for damage to, or loss of, property when used for the benefit of
the Government at the request of, or with the knowledge and consent of,
an authorized official.
(7) Clothing and accessories. Claims may be allowed for damage to,
or loss of, clothing or accessories customarily worn on the person, such
as eyeglasses, hearing aids or dentures.

Sec. 1261.105 Unallowable claims.

Claims are not allowable for the following:
(a) Unassigned quarters in United States. Claims may not be allowed
for property loss or damage in quarters occupied by the claimant within
the 50 States or the District of Columbia that were not assigned to
claimant or provided in kind by the United States.
(b) Money or currency. Claims may not be allowed for loss of money
or currency, except when lost incident to fire, flood, hurricane, other
natural disaster, or by theft from quarters (as limited by paragraph
(a)). Reimbursement for loss of money or currency is limited to an
amount which is determined reasonable to have been in the claimant's
possession at the time of the loss.
(c) Government property. Claims may not be allowed for property
owned by the United States, except that for which the claimant is
financially responsible to any agency of the Government other than NASA.
(d) Business property. Claims may not be allowed for property used
in a private business enterprise.
(e) Articles of extraordinary value. Claims may not be allowed for
valuable articles, such as cameras, watches, jewelry, furs; or other
articles of extraordinary value, when shipped with household goods or as
unaccompanied baggage (shipment includes storage). This prohibition does
not apply to articles in the personal custody of the claimant or
articles properly checked: Provided, That reasonable protection or
security measures have been taken by claimant.
(f) Unserviceable property. Claims may not be allowed for worn-out
unserviceable property.

[[Page 203]]

(g) Illegal possession. Claims may not be allowed for property
acquired, possessed, or transported in violation of law or in violation
of applicable regulations or directives.
(h) Estimate fees. Claims may not include fees paid to obtain
estimates or repair, except when it is clear that an estimate could not
have been obtained without paying a fee.
(i) Automobiles and other vehicles. Claims may not be allowed for
damage to, or loss of, automobiles and other vehicles unless:
(1) The vehicles were required to be used for official Government
business (official Government business, as used here, does not include
travel between quarters and place of duty, parking of vehicles incident
to such travel, or use of vehicles for the convenience of the owner); or
(2) Shipment of motor vehicles to, from, or between overseas areas
was being furnished or provided by the Government; or
(3) The damage or loss was caused by the negligent or wrongful act
or omission of any employee of the Government acting within the scope of
office or employment.

Sec. 1261.106 Submission of claims.

All claims shall be submitted in duplicate to the Administrator or
designee on NASA Form 1204, ``Employee's Claim for Damage to, or Loss
of, Personal Property Incident to Service.''

Sec. 1261.107 Evidence in support of claim.

(a) General. In addition to the information required on NASA Form
1204, and any other evidence required by the Administrator or designee,
the claimant will furnish the following evidence when relevant:
(1) A corroborating statement from the claimant's supervisor or
other person or persons having personal knowledge of the facts
concerning the claim.
(2) A statement of any property recovered or replaced in kind.
(3) An itemized bill of repair for property which has been repaired,
or one or more written estimates of the cost of repairs from competent
persons if the property is repairable but has not been repaired.
(b) Specific classes of claims. Claims of the following types shall
also be accompanied with specific and detailed evidence as indicated:
(1) Theft, burglary, etc. A statement describing in detail the
location where the loss occurred and the facts and circumstances
surrounding the loss, including supporting documentation, e.g., a police
report.
(2) Transportation losses. A copy of orders authorizing the travel,
transportation or shipment, or a certificate explaining the absence of
such orders and stating their substance; all bills of lading and
inventories of property shipped; and a statement indicating the
condition of the property when turned over to the carrier and when
received from the carrier.

Sec. 1261.108 Recovery from carriers, insurers, and other third parties.

(a) General. NASA is not an insurer and does not underwrite all
personal property losses that an employee may sustain. Employees are
encouraged to carry private insurance to the maximum extent practicable
to avoid large losses or losses which may not be recoverable from NASA.
The procedures set forth in this section are designed to enable the
claimant to obtain the maximum amount of compensation for personal
property loss or damage. Failure of the claimant to comply with these
procedures may reduce or preclude payment of the claim.
(b) Demand on carrier, contractor, warehouse owner/operator, or
insurer. When it appears that property has been damaged or lost under
circumstances in which a carrier, warehouse owner/operator, contractor
or insurer may be responsible, the claimant shall make a written demand
on such party, either before or after submitting a claim against NASA.
The Administrator or designee, if requested, will assist in making
demand on the third party. No such demand need be made if, in the
opinion of the Administrator or designee, it would be impracticable or
any recovery would be insignificant, or if circumstances preclude the
claimant from making timely demand.
(c) Action subsequent to demand. A copy of the demand and of any
related correspondence shall be submitted to

[[Page 204]]

the Administrator or designee. If the carrier, insurer, or other third
party offers a settlement which is less than the amount of the demand,
the claimant shall consult with the Administrator or designee before
accepting the amount offered. The claimant shall also notify the
Administrator or designee promptly of any other action by a third party,
including settlement, partial settlement, or denial of liability.
(d) Application of recovery. When the amount recovered from a
carrier, insurer, or other third party is greater than or equal to the
claimant's total loss as determined under this subpart, no compensation
is allowable under this subpart. When the amount recovered is less than
such total loss, the allowable amount is determined by deducting the
recovery from the amount of total loss subject to the maximum set forth
in Sec. 1261.102.
(e) Transfer of rights. The claimant shall assign to the United
States, to the extent of any payment accepted on a claim, all rights,
title, and interest in any claim he/she may have against any carrier,
insurer, or other party arising out of the accident or incident on which
the claim against the United States is based. The claimant shall also,
upon request, furnish such evidence and other cooperation as may be
required to enable the United States to enforce the claim. After payment
on the claim by the United States, the claimant shall, upon receipt of
any payment from a carrier, insurer, or other party, notify the
Administrator or designee and pay the proceeds to the United States to
the extent required under the provisions of paragraph (d).

Sec. 1261.109 Computation of allowance.

(a) The amount allowed for damage to or loss of any item of property
may not exceed the cost of the item (either the price paid in cash or
property, or the value at the time of acquisition if not acquired by
purchase or exchange). There will be no allowance for replacement cost
or for appreciation in the value of the property. Subject to these
limitations, the amount allowable is either:
(1) The depreciated value, immediately prior to the loss or damage
of property lost or damaged beyond economical repair, less any salvage
value; or
(2) The reasonable cost of repairs, when property is economically
repairable: Provided, That the cost of repairs does not exceed the
amount allowable under paragraph (a)(1) of this section.
(b) Depreciation in value is determined by considering the type of
article involved, its cost, its condition when damaged or lost, and the
time elapsed between the date of acquisition and the date of damage or
loss, with appropriate recognition of current replacement value.
(c) Limitation on agent or attorney fees. No more than 10 per centum
of the amount paid in settlement of each individual claim submitted and
settled shall be paid or delivered to or received by an agent or
attorney on account of services rendered in connection with that claim,
any contract to the contrary notwithstanding (31 U.S.C. 243).

Sec. 1261.110 Settlement of claims.

(a) Settlement officials. (1) Claims in the amount of $5,000 or more
will be acted upon by the General Counsel. Claims less than $5,000 will
be acted upon by the Chief Counsel of the NASA Field Installation where
the employee was assigned at the time of the loss or damage or the
Assistant General Counsel for Litigation for NASA Headquarters claims.
(2) Claims arising for $5,000 or more shall be investigated by the
Chief Counsel or Assistant General Counsel for Litigation, as
appropriate, and a report and recommendation thereon shall be forwarded
to the General Counsel.
(b) Action by settlement official. (1) For each claim, the
settlement official shall complete a report in duplicate on NASA Form
1204 and retain a claim file consisting of the original claim, the
report, and any other relevant evidence or documents.
(2) When a claim is allowed in an amount acceptable to the claimant,
the settlement official shall prepare a ``Voucher for Payment of
Employees' Personal Property Claims'' (NASA Form 1220), have it properly
executed by the claimant, and forward it with a copy of the approved
claim (NASA Form 1204) to the appropriate NASA

[[Page 205]]

fiscal or financial management office for payment.
(3) When a claim is disallowed or is partially allowed in an amount
unacceptable to the claimant, the settlement official shall notify the
claimant in writing of the action taken and the reasons therefor. If not
satisfied with the action taken, the claimant may, within 60 days after
receipt of such notice, request reconsideration of the claim and may
submit any new evidence that he/she feels to be pertinent to the claim.
If such a claim has been disallowed at the field installation level, the
claimant may request reconsideration by the field installation, or by
the General Counsel, or both.
(c) Final and conclusive. The settlement of a claim under this
subpart, whether by full or partial allowance or disallowance, is final
and conclusive.

Subpart 1261.2 [Reserved]

Subpart 1261.3_Claims Against NASA or Its Employees for Damage to or
Loss of Property or Personal Injury or Death_Accruing On or After
January 18, 1967

Authority: 28 U.S.C. 2671-2680, 42 U.S.C. 2473(c)(13), and 28 CFR
part 14.

Sec. 1261.300 Scope of subpart.

This subpart sets forth the procedures for:
(a) The submission of, and action by NASA upon, claims against the
United States arising out of the activities of NASA for damage to or
loss of property or personal injury or death, and designates the NASA
officials authorized to act upon such claims.
(b) The handling of lawsuits against NASA employee(s) for damage to
or loss of property or personal injury or death resulting from a NASA
employee's activities within the scope of his/her office or employment.

Sec. 1261.301 Authority.

(a) Under the provisions of the Federal Tort Claims Act, as amended
(see 28 U.S.C. 2671-2680), and subject to its limitations, the
Administrator or designee is authorized to consider, ascertain, adjust,
determine, compromise, and settle any claim for money damages against
the United States for injury or loss of property or personal injury or
death caused by the negligent or wrongful act or omission of any NASA
employee while acting within the scope of his/her office or employment,
under circumstances where the United States, if a private person, would
be liable to the claimant in accordance with the law of the place where
the act or omission occurred. In exercising such authority, the
Administrator or designee is required to act in accordance with
regulations prescribed by the Attorney General (28 CFR part 14). An
award, compromise, or settlement in excess of $25,000 may be effected
only with the prior written approval of the Attorney General or
designee.
(b) Under sec. 203(c)(13)(A) of the National Aeronautics and Space
Act of 1958, as amended, 42 U.S.C. 2473(c)(13)(A), NASA is authorized to
consider, ascertain, adjust, determine, settle, and pay, on behalf of
the United States, in full satisfaction thereof, any claim for $25,000
or less against the United States for bodily injury, death or damage to
or loss of real or personal property resulting from the conduct of
NASA's functions as specified in 42 U.S.C. 2473(a). At the discretion of
NASA, a claim may be settled and paid under this authority even though
the United States could not be held legally liable to the claimant.
(c) Under 42 U.S.C. 2473(c)(13)(B), if NASA considers that a claim
in excess of $25,000 is meritorious and would otherwise be covered by 42
U.S.C. 2473(c)(13)(A), NASA may report the facts and circumstances of
the claim to the Congress for its consideration or to the Comptroller
General as provided in the ``Supplemental Appropriations Act, 1978,''
Pub. L. 95-240 (92 Stat. 107), 31 U.S.C. 724a.
(d) Under 28 U.S.C. 2679, the Attorney General of the United States
shall defend any civil action or proceeding brought in any court against
a Government employee for injury or loss of property or personal injury
or death, resulting from the operation of a motor vehicle by the
Government employee while acting within the scope of office

[[Page 206]]

or employment. In effect, this legislation is designed to protect an
employee driving a motor vehicle on Government business by converting
such a civil court action or proceeding against the employee into a
claim against the United States: Provided, That the employee was acting
within the scope of employment at the time of the accident. The remedy
against the United States provided by 28 U.S.C. 2672 (administrative
adjustment of claims) and 28 U.S.C. 1346(b) (civil action against the
United States) then becomes the plaintiff's exclusive remedy.

Sec. 1261.302 Claim.

Unless the context otherwise requires, claim means a claim for money
damages against the United States arising out of the activities of NASA,
for injury or loss of property, or personal injury or death. A claim
``arises'' at the place where the injury, loss, or death occurs.

Sec. 1261.303 Claimant.

(a) A claim for damage to or loss of property may be presented by
the owner of the property, duly authorized agent or legal
representative.
(b) A claim for personal injury may be presented by the injured
person, duly authorized agent, or legal representative.
(c) A claim based on death may be presented by the executor(rix) or
administrator(rix) of the decedent's estate, or by any other person
legally entitled to assert such a claim in accordance with applicable
State law.
(d) A claim for loss wholly compensated by an insurer with the
rights of a subrogee may be presented by the insurer. A claim for loss
partially compensated by an insurer with the rights of a subrogee may be
presented by the parties individually as their respective interests
appear, or jointly.
(e) A claim presented by an agent or legal representative shall be
presented in the name of the claimant, be signed by the agent or legal
representative, show the title or legal capacity of the person signing
and be accompanied by evidence of the agent's or legal representative's
authority to present a claim on behalf of the claimant as agent,
executor(rix), administrator (rix), parent, guardian, or other
representative.

Sec. 1261.304 Place of filing claim.

A claim arising in the United States should be submitted to the
Chief Counsel of the NASA Installation whose activities are believed to
have given rise to the claimed injury, loss, or death. If the identity
of such installation is not known, or if the claim arose in a foreign
country, the claim should be submitted to the General Counsel, National
Aeronautics and Space Administration, Washington, DC 20546.

Sec. 1261.305 Form of claim.

(a) The official designated in Sec. 1261.308 shall, prior to acting
on a claim, require the claimant to submit a completed Standard Form
95--``Claim for Damage, Injury or Death.''
(b) NASA installations will furnish copies of Standard Form 95 upon
request.

Sec. 1261.306 Evidence and information required.

(a) The circumstances alleged to have given rise to the claim, and
the amount claimed, should, so far as possible, be substantiated by
competent evidence. Supporting statements, estimates, and the like
should, if possible, be obtained from disinterested parties. For
specific guidance as to Federal Tort Claims Act claims, see Department
of Justice regulations on ``Administrative Claims under Federal Tort
Claims Act'' at 28 CFR part 14.
(b) In addition to the evidence and information required under
paragraph (a), any claimant shall be required to submit information as
to the amount of money or other property received as damages or
compensation, or which the claimant may be entitled to receive, by
reason of the claimed injury, loss, or death from persons other than
NASA or NASA employees. (Such persons include, but are not limited to,
insurers, employers, and persons whose conduct was a cause of the
accident or incident.)
(c) Any document in other than the English language should be
accompanied by an English translation.

[[Page 207]]

Sec. 1261.307 Time limitations.

(a) A claim may not be acted upon pursuant to the Federal Tort
Claims Act unless it is presented to NASA within 2 years after it
accrued.
(b) A claim may not be acted upon pursuant to 42 U.S.C.
2473(c)(13)(A) or (B) unless it is presented to NASA within 2 years
after the occurrence of the accident or incident out of which the claim
arose.
(c) A claim shall be deemed to have been presented to NASA when NASA
receives from a claimant or duly authorized agent or legal
representative an executed Standard Form 95 or other written
notification of an incident or accident, accompanied by a claim in a sum
certain.

Sec. 1261.308 NASA officials authorized to act upon claims.

(a) Claims in the amount of $10,000 or more will be acted upon as
directed by the General Counsel;
(b) Claims less than $10,000 will be acted upon by the Chief Counsel
of the NASA Field Installation where the employee was assigned at the
time of the loss or damage or the Assistant General Counsel for
Litigation for NASA Headquarters claims.
(c) Claims of $10,000 or more, pursuant either to the Federal Tort
Claims Act, or 42 U.S.C. 2473(c)(13), shall be acted upon only with the
prior approval of the General Counsel. Such claims shall be forwarded to
the General Counsel for approval, if the Chief Counsel or the Assistant
General Counsel for Litigation is of the opinion that the claim may be
meritorious and otherwise suitable for settlement under any authority. A
claim so forwarded should be accompanied by a report of the facts of the
claim, based upon such investigation as may be appropriate, and a
recommendation as to the action to be taken.
(d) Claims acted upon by NASA officials pursuant to this section
shall be acted upon pursuant to the Federal Tort Claims Act, or 42
U.S.C. 2473(c)(13)(A) or (B), as the NASA official deems appropriate.

Sec. 1261.309 Action under the Federal Tort Claims Act.

Where a claim is to be acted upon pursuant to the Federal Tort
Claims Act, action shall be taken in accordance with 28 U.S.C. 2672,
other provisions of the Federal Tort Claims Act as may be applicable
(e.g., 28 U.S.C. 2680), and regulations prescribed by the Attorney
General which appear at 28 CFR part 14.

Sec. 1261.310 Investigation of claims.

The officials designated in Sec. 1261.308 shall conduct such
investigation of a claim as deemed appropriate. The officials may
request any NASA office or other Federal agency to assist in the
investigation.

Sec. 1261.311 Claims requiring Department of Justice approval or
consultation.

(a) When in the opinion of the NASA official designated in
Sec. 1261.308, Department of Justice approval or consultation may be
required, pursuant to 28 CFR part 14, in connection with a claim being
acted upon under the Federal Tort Claims Act, the following papers shall
be forwarded to the General Counsel:
(1) A short and concise statement of the facts of the claim.
(2) Copies of all relevant portions of the claim file.
(3) A statement of the recommendations or views of the forwarding
official.
(b) A claim forwarded to the General Counsel in accordance with
paragraph (a) of this section, or upon which the General Counsel is
acting pursuant to Sec. 1261.308(c), shall be referred to the Department
of Justice when, in the opinion of the General Counsel, Department of
Justice approval or consultation is required or may be appropriate.

Sec. 1261.312 Action on approved claims.

(a) Upon settlement of a claim, the official designated in
Sec. 1261.308 will prepare and have executed by the claimant a Voucher
for Payment of Tort Claims (NASA Form 616) if the claim has been acted
upon pursuant to 42 U.S.C. 2473(c)(13), or a Voucher for Payment under
Federal Tort Claims Act (Standard Form 1145) if the claim has

[[Page 208]]

been acted upon pursuant to the Federal Tort Claims Act. The form will
then be referred to the cognizant NASA installation fiscal or financial
management office for appropriate action.
(b) When a claimant is represented by an attorney, both the claimant
and attorney will be designated as ``payees'' on the voucher, and the
check will be delivered to the attorney whose address shall appear on
the voucher.
(c) Acceptance by the claimant, agent, or legal representative, of
any award, compromise, or settlement made pursuant to this subpart shall
be final and conclusive on the claimant, agent or legal representative
and any other person on whose behalf or for whose benefit the claim has
been presented, and shall constitute a complete release of any claim
against the United States and against any employee of the Government
whose act or omission gave rise to the claim, by reason of the same
subject matter.

Sec. 1261.313 Required notification in the event of denial.

Final denial of a claim shall be in writing and shall be sent to the
claimant, the attorney, or legal representative by certified or
registered mail. The notification of final denial may include a
statement of the reasons for the denial and shall include a statement
that if the claimant is dissatisfied with NASA's action, the claimant
may file suit in an appropriate U.S. District Court not later than 6
months after the date of mailing the notification.

Sec. 1261.314 [Reserved]

Sec. 1261.315 Procedures for the handling of lawsuits against NASA
employees arising within the scope of their office or employment.

The following procedures shall be followed in the event that a civil
action or proceeding is brought, in any court, against any employee of
NASA (or against the estate) for injury or loss of property or personal
injury or death, resulting from the NASA employee's activities while
acting within the scope of office or employment:
(a) After being served with process or pleadings in such an action
or proceeding, the employee (or the executor(rix) or administrator(rix)
of the estate) shall immediately deliver all such process and pleadings
or an attested true copy thereof, together with a fully detailed report
of the circumstances of the accident giving rise to the court action or
proceeding, to the following officials:
(1) The Assistant General Counsel for Litigation insofar as actions
or proceedings against employees of NASA Headquarters are concerned; or
(2) The Chief Counsel of the NASA Installation at which the employee
is employed, insofar as actions against other than NASA Headquarters
employees are concerned.
(b) Upon receipt of such process and pleadings, the Assistant
General Counsel for Litigation or the Chief Counsel of the NASA
Installation receiving the same shall furnish to the U.S. Attorney for
the district embracing the place where the action or proceeding is
brought and, if appropriate, the Director, Torts Branch, Civil Division,
Department of Justice, the following:
(1) Copies of all such process and pleadings in the action or
proceeding promptly upon receipt thereof; and
(2) A report containing a statement of the circumstances of the
incident giving rise to the action or proceeding, and all data bearing
upon the question of whether the employee was acting within the scope of
office or employment with NASA at the time of the incident, at the
earliest possible date, or within such time as shall be fixed by the
U.S. Attorney upon request.
(c) The Assistant General Counsel for Litigation or a Chief Counsel
acting pursuant to paragraph (b) of this section shall submit the
following documents to the General Counsel, who is hereby designated to
receive such documents on behalf of the Administrator:
(1) Copies of all process and pleadings submitted to a U.S. Attorney
in accordance with paragraph (b).
(2) In addition, where the action or proceeding is for damages in
excess of $25,000, or where (in the opinion of the Chief Counsel) such
action or proceeding involves a new precedent, a new point of law, or a
question of policy, copies of reports and all other papers submitted to
the U.S. Attorney.

[[Page 209]]

Sec. 1261.316 Policy.

(a) The National Aeronautics and Space Administration may indemnify
a present or former NASA employee, who is personally named as a
defendant in any civil suit in state or Federal court, or in an
arbitration proceeding or other proceeding seeking damages against that
employee personally, for any verdict, judgment, appeal bond, or other
monetary award which is rendered against such employee, provided that
the conduct giving rise to the verdict, judgment, appeal bond, or award
was taken within the scope of his or her employment and that such
indemnification is in the interest of the National Aeronautics and Space
Administration, as determined by the Administration or designee.
(b) The National Aeronautics and Space Administration may settle or
compromise a personal damage claim against a present or former NASA
employee by the payment of available funds, at any time, provided the
alleged conduct giving rise to the personal damage claim was taken
within the employee's scope of employment and that such settlement or
compromise is in the interest of the National Aeronautics and Space
Administration, as determined by the Administrator or designee.
(c) Absent exceptional circumstances as determined by the
Administrator or designee, the agency will not entertain a request
either to agree to indemnify or to settle a personal damage claim before
entry of an adverse verdict, judgment, or award.
(d) A present or past NASA employee may request indemnification to
satisfy a verdict, judgment, or award entered against that employee. The
employee shall submit a written request, with appropriate documentation
including copies of the verdict, judgment, appeal bond, award, or
settlement proposal to the General Counsel, who shall make a recommended
disposition of the request. Where appropriate, the agency shall seek the
views of the Department of Justice. The General Counsel shall forward
the request, the accompanying documentation, and the General Counsel's
recommendation to the Administrator for decision.
(e) Any payment under this section either to indemnify a National
Aeronautics and Space Administration employee or to settle a personal
damage claim shall be contingent upon the availability of appropriated
funds of the National Aeronautics and Space Administration.

[53 FR 27482, July 21, 1988]

Sec. 1261.317 Attorney-client privilege.

(a) Attorneys employed by the National Aeronautics and Space
Administration participate in the process utilized for the purpose of
determining whether the agency should request the Department of Justice
to provide representation to a present or former agency employee sued,
subpoenaed, or charged in his/her individual capacity, and attorneys
employed by the National Aeronautics and Space Administration provide
assistance in obtaining representation of such an agency employee. In
these roles, agency attorneys undertake a full and traditional attorney-
client relationship with the employee with respect to application of the
attorney-client privilege. If representation is authorized, National
Aeronautics and Space Administration attorneys who assist in the
representation of a present or former employee also undertake a full and
traditional attorney-client relationship with that employee with respect
to the attorney-client privilege.
(b) Any adverse information communicated by the client-employee to
an agency attorney during the course of such attorney-client
relationship shall not be disclosed to anyone, either inside or outside
the National Aeronautics and Space Administration, other than attorneys
resonsible for representation of the employee, unless such disclosure is
authorized by the employee. Such adverse information shall continue to
be fully protected whether or not representation is provided and even
though representation may be denied or discontinued.

[53 FR 27483, July 21, 1988]

[[Page 210]]

Subpart 1261.4_Collection of Civil Claims of the United States Arising
Out of the Activities of the National Aeronautics and Space
Administration (NASA)

Source: 52 FR 19487, May 26, 1987, unless otherwise noted.

Sec. 1261.400 Scope of subpart.

(a) These regulations do the following:
(1) Prescribe standards for the administrative collection,
compromise, suspension or termination of collection, and referral to the
General Accounting Office (GAO), and/or to the Department of Justice
(DJ) for litigation, of civil claims as defined by 31 U.S.C. 3701(b),
arising out of the activities of NASA;
(2) Designate the responsible NASA officials authorized to effect
actions hereunder; and
(3) Require compliance with the GAO/DJ joint regulations at 4 CFR
parts 101 through 105 and the Office of Personnel Management (OPM)
regulations at 5 CFR part 550, subpart K.
(b) Failure to comply with any provision of the GAO/DJ or OPM
regulations shall not be available as a defense to any debtor (4 CFR
101.8).
(c) These regulations do not include any claim based in whole or in
part on violation of the anti-trust laws; any claim as to which there is
an indication of fraud, the presentation of a false claim, or
misrepresentation on the part of the debtor or any party having an
interest in the claim; tax claims; or Federal interagency claims (4 CFR
101.3).

Sec. 1261.401 Definitions.

(a) Claim and debt. The terms denote a civil claim arising from the
activities of NASA for an amount of money, or return or value of
property (see 4 CFR 101.5), owing to the United States from any person,
organization, or entity, except another Federal agency. The words claim
and debt have been used interchangeably and are considered synonymous.
(b) Delinquent debt. The debt is delinquent if it has not been paid
by the date specified in the initial written notification (e.g.,
Sec. 1261.407) or applicable contractual agreement, unless other
acceptable (to NASA) payment arrangements have been made by that date,
or if, at any time thereafter, the debtor fails to satisfy an obligation
under the payment agreement.
(c) Referral for litigation. Referral through the NASA
installation's legal counsel to the Department of Justice (Main Justice
or the United States Attorney, as appropriate) for legal proceedings.

Sec. 1261.402 Delegation of authority.

The following NASA officials are delegated authority, as qualified
by Sec. 1261.403, to take such action as is authorized by these
regulations to collect, compromise, suspend/terminate collection, and
upon consultation with and through legal counsel, to refer the claim (as
applicable) to the GAO or Department of Justice:
(a) For field installations, with regard to subpart 1261.4 and
subpart 1261.5: The Director of the Installation or a designee who
reports directly to the Installation Director. A copy of such
designation, if any, shall be sent to the Director, Financial Management
Division, NASA Headquarters.
(b) For Headquarters, with regard to subpart 1261.4 and subpart
1261.5: The Associate Administrator for Management or a designee who
reports directly to the Associate Administrator for Management. A copy
of such designation, if any, shall be sent to the Director, Financial
Management Division, NASA Headquarters.
(c) With respect to the analysis required by Sec. 1261.413: The NASA
Comptroller or designee.
(d) NASA wide, with regard to subpart 1261.6: The NASA Comptroller
or designee.
(e) NASA wide, for complying with pertinent provisions under these
regulations for agency hearing or review (see Secs. 1261.408(b),
1261.503, and 1261.603(c)): The NASA General Counsel or designee.

Sec. 1261.403 Consultation with appropriate officials; negotiation.

(a) The authority pursuant to Sec. 1261.402 to determine to forego
collection of interest, to accept payment of a claim in installments,
or, as to claims

[[Page 211]]

which do not exceed $20,000, exclusive of interest and related charges,
to compromise a claim or to refrain from doing so, or to refrain from,
suspend or terminate collection action, shall be exercised only after
consultation with legal counsel for the particular installation and the
following NASA officials or designees, who may also be requested to
negotiate the appropriate agreements or arrangements with the debtor:
(1) With respect to claims against contractors or grantees arising
in connection with contracts or grants--the contracting officer and the
financial management officer of the installation concerned.
(2) With respect to claims against commercial carriers for loss of
or damage to NASA freight shipment--the cognizant transportation
officers or the official who determined the amount of the claim, as
appropriate, and the financial management officers of the installation
concerned.
(3) With respect to claims against employees of NASA incident to
their employment--the personnel officer and the financial management
officer of the installation concerned.
(b) The appropriate counsel's office shall review and concur in the
following:
(1) All communications to and agreements with debtors relating to
claims collection.
(2) All determinations to compromise a claim, or to suspend or
terminate collection action.
(3) All referrals of claims, other than referrals to the Department
of Justice pursuant to Sec. 1261.404(b)(1).
(4) All documents releasing debtors from liability to the United
States.
(5) All other actions relating to the collection of a claim which in
the opinion of the official designated in or pursuant to Sec. 1261.402
may affect the rights of the United States.

Sec. 1261.404 Services of the Inspector General.

(a) At the request of an official designated in or pursuant to
Sec. 1261.402, the Office of the Inspector General will, where
practicable, conduct such investigations as may assist in the
collection, compromise, or referral of claims of the United States,
including investigations to determine the location and financial
resources of the debtors.
(b) Any claim which, in the opinion of an official designated in or
pursuant to Sec. 1261.402 or Sec. 1261.403, may indicate fraud,
presentation of a false claim, or misrepresentation, on the part of the
debtor or any other party having an interest in the claim, shall be
referred by the designated official to the Inspector General (IG), NASA
Headquarters, or to the nearest office of the NASA IG. After an
investigation as may be appropriate, the IG shall:
(1) Notice the official, from whom the claim was received, of the
findings and refer the claim to the Department of Justice in accordance
with the provisions of 4 CFR 101.3; or
(2) If it were found that there is no such indication of fraud, the
presentation of a false claim, or misrepresentation, return the claim to
the official from whom it was received.

Sec. 1261.405 Subdivision of claims not authorized; other administrative
proceedings.

(a) Subdivision of claims. Claims may not be subdivided to avoid the
$20,000 ceiling, exclusive of interest, penalties, and administrative
costs, for purposes of compromise (Sec. 1261.414) or suspension or
termination of collection (Sec. 1261.416). The debtor's liability
arising from a particular transaction or contract shall be considered a
single claim (4 CFR 101.6).
(b) Required administrative proceedings. Nothing contained in these
regulations is intended to require NASA to omit, foreclose, or duplicate
administrative proceedings required by contract or other applicable laws
and implementing regulations (4 CFR 101.7).

Sec. 1261.406 Aggressive collection action; documentation.

(a) NASA shall take aggressive action, on a timely basis with
effective followup, to collect all claims of the United States for money
or property arising out of NASA activities, and to cooperate with the
other Federal agencies in debt collection activities.
(b) All administrative collection action shall be documented and the
bases

[[Page 212]]

for compromise, or for termination or suspension of collection action,
should be set out in detail. Such documentation, including the Claims
Collection Litigation Report under Sec. 1261.417(e), should be retained
in the appropriate claims file.

Sec. 1261.407 Demand for payment; limitation periods.

(a) Appropriate written demands shall be made promptly upon a debtor
of the United States in terms which inform the debtor of the
consequences of failure to cooperate. A total of three progressively
stronger written demands at not more than 30-day intervals will normally
be made unless a response to the first or second demand indicates that a
further demand would be futile and the debtor's response does not
require rebuttal. In determining the timing of demand letters, NASA will
give due regard to the need to act promptly so that, as a general rule,
if necessary to refer the debt to the Department of Justice for
litigation, such referral can be made within one year of the agency's
final determination of the fact and the amount of the debt. When
necessary to protect the Government's interests (for example, to prevent
the statute of limitations, 28 U.S.C. 2415, from expiring), written
demand may be preceded by other appropriate actions, including immediate
referral for litigation.
(b) The initial demand letter should inform the debtor of:
(1) The basis for the indebtedness and whatever rights the debtor
may have to seek review within the agency;
(2) The applicable standards for assessing interest, penalties, and
administrative costs (Sec. 1261.412); and
(3) The date by which payment is to be made, which normally should
be not more than 30 days from the date that the initial demand letter
was mailed or hand delivered. The responsible official should exercise
care to ensure that demand letters are mailed or hand delivered on the
same day that they are actually dated. Apart from these requirements,
there is no prescribed format for demand letters. However, as
appropriate to the circumstances, the responsible official may consider
including, either in the initial demand letter or in subsequent letters,
such items the NASA's willingness to discuss alternative methods of
payment, or intentions with respect to referral of the debt to the
Department of Justice for litigation.
(c) NASA should respond promptly to communications from the debtor,
within 30 days whenever feasible, and should advise debtors who dispute
the debt to furnish available evidence to support their contentions.
(d) If either prior to the initiation of, any time during, or after
completion of the demand cycle, a determination to pursue offset is
made, then the procedures specified in subparts 1261.5 and 1261.6, as
applicable, should be followed. The availability of funds for offset and
NASA's determination to pursue it release the agency from the necessity
of further compliance with paragraphs (a), (b), and (c) of this section.
If the agency has not already sent the first demand letter, the agency's
written notification of its intent to offset must give the debtor the
opportunity to make voluntary payment, a requirement which will be
satisfied by compliance with the notice requirements of Sec. 1261.502 or
Sec. 1261.603(a), as applicable.
(e) NASA should undertake personal interviews with its debtors
whenever this is feasible, having regard for the amounts involved and
the proximity of agency representatives to such debtors; and may attempt
to effect compromise of the claim in accordance with Sec. 1261.414.
(f) When a debtor is employed by the Federal government or is a
member of the military establishment or the Coast Guard, and collection
by offset cannot be accomplished in accordance with subpart 1261.6, the
employing agency will be contacted for the purpose of arranging with the
debtor for payment of the indebtedness by allotment or otherwise in
accordance with section 206 of Executive Order 11222, May 8, 1965, 30 FR
6469, which provides that: ``An employee is expected to meet all just
financial obligations, especially those--such as Federal, State, or
local taxes--which are imposed by law'' (4 CFR 102.81).

[[Page 213]]

Sec. 1261.408 Use of consumer reporting agency.

(a) The term consumer reporting agency has the meaning provided in
the Federal Claims Collection Act of 1966, as amended (31 U.S.C.
3701(a)(3)):
(1) A consumer reporting agency as that term is defined in section
603(f) of the Fair Credit Reporting Act (15 U.S.C. 1681a(f); or
(2) A person that, for money or on a cooperative basis, regularly--
(i) Gets information on consumers to give the information to a
consumer reporting agency; or
(ii) Serves as a marketing agent under an arrangement allowing a
third party to get the information from a consumer reporting agency.
(b) NASA Headquarters Financial Management Division, shall be the
focal contact between NASA and consumer reporting agencies. The
following procedures shall apply when such agencies are employed by
NASA:
(1) After the appropriate notice pursuant to 5 U.S.C. 552a(e)(4) has
been published, NASA may disclose, in accordance with 5 U.S.C.
552a(b)(12), information about a debtor to a consumer reporting agency.
Such information may include:
(i) That a claim has been determined to be valid and is overdue
(including violation by debtor of a repayment plan or other claim
settlement agreement);
(ii) The name, address, taxpayer identification number, and any
other information necessary to establish the identity of the individual
responsible for the claim;
(iii) Amount, status, and history of the claim;
(iv) Program or pertinent activity under which the claim arose.
(2) Before disclosing the information specified in paragraph (b)(1)
of this section, NASA shall comply with 31 U.S.C. 3711(f) by:
(i) Taking reasonable action to locate the individual if a current
address is not available;
(ii) If a current address is available, noticing the individual by
certified mail, return receipt requested, that: The designated NASA
official has reviewed the claim and determined that it is valid and
overdue; within not less than 60 days after sending this notice, NASA
intends to disclose to a consumer reporting agency the specific
information to be disclosed under paragraph (b)(1) of this section; the
individual may request a complete explanation of the claim, dispute the
information in the records of NASA about the claim, and file for an
administrative review or repeal of the claim or for reconsideration of
the initial decision on the claim.
(3) If an administrative review or reconsideration is requested, the
responsible official or designee shall refer the request to the
appropriate NASA legal counsel for an impartial review and determination
by counsel or designee based on the entire written record. If the
reviewer cannot resolve the question of indebtedness based upon the
available documentary evidence, verified written statements by the
debtor or the responsible official may be requested on any pertinent
matter not addressed by the available record.
(c) If the information is to be submitted to a consumer reporting
agency, the responsible official shall obtain a verified statement from
such agency which gives satisfactory assurances that the particular
agency is complying with all laws of the United States related to
providing consumer credit information; and thereafter ensure that the
consumer reporting agency is promptly informed of any substantial change
in the condition or amount of the claim, or, on request of such agency,
promptly verify or correct information about the claim.

Sec. 1261.409 Contracting for collection services.

(a) When NASA determines that there is a need to contract for
collection services, the following conditions must attach:
(1) The authority to resolve disputes, compromise claims, suspend or
terminate collection action, and refer the matter for litigation must be
retained by NASA.
(2) The contractor shall be subject to the Privacy Act of 1974, as
amended, to the extent specified in 5 U.S.C. 552a(m), and to applicable
Federal and State laws and regulations pertaining to debt collection
practices--for example, the

[[Page 214]]

Fair Debt Collection Practices Act (15 U.S.C. 1692), and 26 U.S.C.
6103(p)(4) and applicable regulations of the Internal Revenue Service;
(3) The contractor must be required to account strictly for all
amounts collected; and
(4) The contractor must agree to provide any data contained in its
files relating to collection actions and related reports, current
address of debtor, and reasonably current credit information upon
returning an account to NASA for subsequent referral to the Department
of Justice for litigation.
(b) Funding of collection service contracts:
(1) NASA may fund a collection service contract on a fixed-fee
basis--that is, payment of a fixed fee determined without regard to the
amount actually collected under the contract. However, such contract may
be entered into only if and to the extent provided in the appropriation
act or other legislation, except that this requirement does not apply to
the use of a revolving fund authorized by statute. Accordingly, payment
of the fixed-fee must be charged to available agency appropriations. See
4 CFR 102.6(b)(1) and (3).
(2) NASA may also fund a collection service contract on a
contingent-fee basis--that is, by including a provision in the contract
permitting the contractor to deduct its fee from amounts collected under
the contract. The fee should be based on a percentage of the amount
collected, consistent with prevailing commercial practice. See 4 CFR
102.6(b)(2).
(3) Except as authorized under paragraph (b)(2) of this section, or
unless otherwise specifically provided by law, NASA must deposit all
amounts recovered under collection service contracts (or by NASA
employees on behalf of the agency) in the Treasury Department as
miscellaneous receipts pursuant to 31 U.S.C. 3302. See 4 CFR
102.6(b)(4).

Sec. 1261.410 Suspension or revocation of license or eligibility;
liquidation of collateral.

(a) In seeking the collection of statutory penalties, forfeitures,
or debts provided for as an enforcement aid or for compelling
compliance, NASA will give serious consideration to the suspension or
revocation of licenses or other privileges for any inexcusable,
prolonged, or repeated failure of a debtor to pay such a claim. In the
case of a contractor under 48 CFR chapter 18, NASA will comply with the
debarment, suspension, and ineligibility requirements of the NASA
Federal Acquisition Regulation Supplement (NASA/FAR Supplement) at 48
CFR 1809.4. Likewise, in making, guaranteeing, insuring, acquiring, or
participating in loans, NASA will give serious consideration to
suspending or disqualifying any lender, contractor, broker, borrower, or
other debtor from doing further business with it or engaging in programs
sponsored by it if such a debtor fails to pay its debts to the
Government within a reasonable time. The failure of any surety to honor
its obligations in accordance with 31 U.S.C. 9305 must be reported to
the Treasury Department at once. Notification that a surety's
certificate of authority to do business with the Federal Government has
been revoked or forfeited by the Treasury Department will be forwarded
by that Department to all interested agencies.
(b) If NASA is holding security or collateral which may be
liquidated and the proceeds applied on debts due it through the exercise
of a power of sale in the security instrument or a nonjudicial
foreclosure, it should do so by such procedures if the debtor fails to
pay the debt within a reasonable time after demand, unless the cost of
disposing of the collateral will be disproportionate to its value or
special circumstances require judicial foreclosure. NASA will provide
the debtor with reasonable notice of the sale, an accounting of any
surplus proceeds, and any other procedures required by applicable
contract or law. Collection from other sources, including liquidation of
security or collateral, is not a prerequisite to requiring payment by a
surety or insurance concern unless such action is expressly required by
statute or contract.

Sec. 1261.411 Collection in installments.

(a) Whenever feasible, and except as otherwise provided by law,
debts owed

[[Page 215]]

to the United States, together with interest penalties, and
administrative costs as required by Sec. 1261.412, should be collected
in full in one lump sum. This is true whether the debt is being
collected by administrative offset or by another method, including
voluntary payment. However, if the debtor is financially unable to pay
the indebtedness in one lump sum, payment may be accepted in regular
installments. Debtors who represent that they are unable to pay the debt
in one lump sum must submit financial statements. If NASA agrees to
accept payment in regular installments, it will obtain a legally
enforceable written agreement from the debtor which specifies all of the
terms of the arrangement and which contains a provision accelerating the
debt in the event the debtor defaults. The size and frequency of
installment payments should bear a reasonable relation to the size of
the debt and the debtor's ability to pay. If possible, the installment
payments should be sufficient in size and frequency to liquidate the
Government's claim in not more than 3 years. Installment payments of
less than $50 per month should be accepted only if justifiable on the
grounds of financial hardship or for some other reasonable cause. If the
claim is unsecured, an executed confess-judgment note, comparable to the
Department of Justice Form USA-70a, should be obtained from a debtor
when the total amount of the deferred installments will exceed $750.
Such notes may be sought when an unsecured obligation of a lesser amount
is involved. When attempting to obtain confess-judgment notes, the
debtor should be provided with written explanation of the consequences
of signing the note, and documentation should be maintained sufficient
to demonstrate that the debtor has signed the note knowingly and
voluntarily. Security for deferred payments other than a confess-
judgment note may be accepted in appropriate cases. NASA, at its option,
may accept installment payments notwithstanding the refusal of a debtor
to execute a confess-judgment note or to give other security.
(b) If the debtor owes more than one debt and designates how a
voluntary installment payment is to be applied as among those debts,
that designation must be followed. If the debtor does not designate the
application of the payment, agencies should apply payments to the
various debts in accordance with the best interests of the United
States, as determined by the facts and circumstances of the particular
case, paying special attention to applicable statutes of limitations.

Sec. 1261.412 Interest, penalties, and administrative costs.

(a) Pursuant to 31 U.S.C. 3717, NASA shall assess interest,
penalties, and administrative costs on debts owed to the United States.
Before assessing these charges, NASA must mail or hand deliver a written
notice to the debtor explaining the requirements concerning the charges
(see Sec. 1261.407(b)).
(b) Interest shall accrue from the date on which notice of the debt
and the interest requirements is first mailed or hand delivered to the
debtor (on or after October 25, 1982), using the most current address
that is available to the agency. If an ``advance billing'' procedure is
used--that is, a bill is mailed before the debt is actually owed--it can
include the required interest notification in the advance billing, but
interest may not start to accrue before the debt is actually owed.
Designated officials should exercise care to ensure that the notices
required by this section are dated and mailed or hand delivered on the
same day.
(c) The rate of interest assessed shall be the rate of the current
value of funds to the United States Treasury (i.e., the Treasury tax and
loan account rate), as prescribed and published by the Secretary of the
Treasury in the Federal Register and the Treasury Fiscal Requirements
Manual Bulletins annually or quarterly, in accordance with 31 U.S.C.
3717. NASA may assess a higher rate of interest if it reasonably
determines that a higher rate is necessary to protect the interests of
the United States. The rate of interest, as initially assessed, shall
remain fixed for the duration of the indebtedness, except that where a
debtor has defaulted on a repayment agreement and seeks to enter into a
new agreement, NASA may set a new interest rate

[[Page 216]]

which reflects the current value of funds to the Treasury Department at
the time the new agreement is executed. Interest should not be assessed
on interest, penalties, or administrative costs required by this
section. However, if the debtor defaults on a previous repayment
agreement, charges which accrued but were not collected under the
defaulted agreement shall be added to the principal to be paid under a
new repayment agreement.
(d) NASA shall assess against a debtor charges to cover
administrative costs incurred as a result of a delinquent debt--that is,
the additional costs incurred in processing and handling the debt
because it became delinquent as defined in Sec. 1261.401(b).
Calculations of administrative costs should be based upon actual costs
incurred or upon cost analyses establishing an average of actual
additional costs incurred by the agency in processing and handling
claims against other debtors in similar stages of delinquency.
Administrative costs may include costs incurred in obtaining a credit
report or in using a private debt collector, to the extent they are
attributable to delinquency.
(e) NASA shall assess a penalty charge, not to exceed 6 percent a
year, on any portion of a debt that is delinquent as defined in
Sec. 1261.401(b) for more than 90 days. This charge need not be
calculated until the 91st day of delinquency, but shall accrue from the
date that the debt became delinquent.
(f) When a debt is paid in partial or installment payments, amounts
received by the agency shall be applied first to outstanding penalty and
administrative cost charges, second to accrued interest, and third to
outstanding principal.
(g) NASA must waive the collection of interest on the debt or any
portion of the debt which is paid within 30 days after the date on which
interest began to accrue. NASA may extend this 30-day period, on a case-
by-case basis, if it reasonably determines that such action is
appropriate. Also, NASA may waive, in whole or in part, the collection
of interest, penalties, and/or administrative costs (assessed under this
section) under the criteria specified in Sec. 1261.414 relating to the
compromise of claims (without regard to the amount of the debt), or if
NASA determines that collection of these charges would be against equity
and good conscience or not in the best interests of the United States.
See 4 CFR 101.13(g). Such optional waivers should be handled on a case-
by-case basis, in consultation with officials designated under
Sec. 1261.403. Examples of situations in which NASA may consider waiving
interest and other related charges are:
(1) Pending consideration of a request for reconsideration or
administrative review;
(2) Acceptance of an installment plan or other compromise agreement,
where there is no indication of lack of good faith on the part of the
debtor in not repaying the debt, and the debtor has provided
substantiating information of inability to pay or other unavoidable
hardship which reasonably prevented the debt from being repaid.
(h) Where a mandatory waiver or review statute applies, interest and
related charges may not be assessed for those periods during which
collection action must be suspended under Sec. 1261.416(c)(3).
(i) Exemptions. (1) The provisions of 31 U.S.C. 3717 do not apply:
(i) To debts owed by any State or local government;
(ii) To debts arising under contracts which were executed prior to,
and were in effect on (i.e., were not completed as of) October 25, 1982;
(iii) To debts where an applicable statute, regulation required by
statute, loan agreement, or contract either prohibits such charges or
explicitly fixes the charges that apply to the debts involved; or
(iv) Debts arising under the Social Security Act, the Internal
Revenue Code of 1954, or the tariff laws of the United States.
(2) NASA may, however, assess interest and related charges on debts
which are not subject to 31 U.S.C. 3717 to the extent authorized under
the common law or other applicable statutory authority.

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Sec. 1261.413 Analysis of costs; automation; prevention of overpayments,
delinquencies, or defaults.

The Office of the NASA Comptroller will:
(a) Issue internal procedures to provide for periodic comparison of
costs incurred and amounts collected. Data on costs and corresponding
recovery rates for debts of different types and in various dollar ranges
should be used to compare the cost effectiveness of alternative
collection techniques, establish guidelines with respect to points at
which costs of further collection efforts are likely to exceed
recoveries, and assist in evaluating offers in compromise.
(b) Consider the need, feasibility, and cost effectiveness of
automated debt collection operation.
(c) Establish internal controls to identify causes, if any, of
overpayments, delinquencies, and defaults, and establish procedures for
corrective actions as needs dictate.

Sec. 1261.414 Compromise of claims.

(a) Designated NASA officials (see Secs. 1261.402 and 1261.403) may
compromise claims for money or property arising out of the activities of
the agency where the claim, exclusive of interest, penalties, and
administrative costs, does not exceed $20,000, prior to the referral of
such claims to the General Accounting Office, or to the Department of
Justice for litigation. The Comptroller General may exercise such
compromise authority with respect to claims referred to the General
Accounting Office (GAO) prior to their further referral for litigation.
Only the Comptroller General may effect the compromise of a claim that
arises out of an exception made by the GAO in the account of an
accountable officer, including a claim against the payee, prior to its
referral by the GAO for litigation.
(b) When the claim, exclusive of interest, penalties, and
administrative costs, exceeds $20,000, the authority to accept the
compromise rests solely with the Department of Justice. NASA should
evaluate the offer, using the factors set forth in paragraphs (c)
through (f) of this section, and may recommend compromise for reasons
under one, or more than one, of those paragraphs. If NASA then wishes to
accept the compromise, it must refer the matter to the Department of
Justice, using the Claims Collection Litigation Report. See
Sec. 1261.417(e) or 4 CFR 105.2(b). Claims for which the gross amount is
over $200,000 shall be referred to the Commercial Litigation Branch,
Civil Division, Department of Justice, Washington, DC 20530. Claims for
which the gross original amount is $200,000 or less shall be referred to
the United States Attorney in whose judicial district the debtor can be
found. The referral should specify the reasons for the agency's
recommendation. If NASA has a debtor's firm written offer of compromise
which is substantial in amount and the agency is uncertain as to whether
the offer should be accepted, it may refer the offer, the supporting
data, and particulars concerning the claim to the General Accounting
Office or to the Department of Justice. The General Accounting Office or
the Department of Justice may act upon such an offer or return it to the
agency with instructions or advice. If NASA wishes to reject the
compromise, GAO or Department of Justice approval is not required.
(c) A claim may be compromised pursuant to this section if NASA
cannot collect the full amount because of the debtor's inability to pay
the full amount within a reasonable time, or the refusal of the debtor
to pay the claim in full and the Government's inability to enforce
collection in full within a reasonable time by enforced collection
proceedings. In determining the debtor's inability or refusal to pay,
the following factors, among others, may be considered:
(1) Age and health of the debtor;
(2) Present and potential income;
(3) Inheritance prospects;
(4) The possibility that assets have been concealed or improperly
transferred by the debtor;
(5) The availability of assets or income which may be realized by
enforced collection proceedings; and
(6) The applicable exemptions available to the debtor under State
and Federal law in determining the Government's ability to enforce
collection.

[[Page 218]]

Uncertainty as to the price which collateral or other property will
bring at forced sale may properly be considered in determining the
Government's ability to enforce collection. The compromise should be for
an amount which bears a reasonable relation to the amount which can be
recovered by enforced collection procedures, having regard for the
exemptions available to the debtor and the time which collection will
take.
(d) A claim may be compromised if there is a real doubt concerning
the Government's ability to prove its case in court for the full amount
claimed, either because of the legal issues involved or a bona fide
dispute as to the facts. The amount accepted in compromise in such cases
should fairly reflect the probability of prevailing on the legal
question involved, the probabilities with respect to full or partial
recovery of a judgment, paying due regard to the availability of
witnesses and other evidentiary support for the Government claim, and
related pragmatic considerations. In determining the litigative risks
involved, proportionate weight should be given to the probable amount of
court costs and attorney fees pursuant to the Equal Access to Justice
Act which may be assessed against the Government if it is unsuccessful
in litigation. See 28 U.S.C. 2412.
(e) A claim may be compromised if the cost of collecting the claim
does not justify the enforced collection of the full amount. The amount
accepted in compromise in such cases may reflect an appropriate discount
for the administrative and litigative costs of collection, paying heed
to the time which it will take to effect collection. Costs of collecting
may be a substantial factor in the settlement of small claims, but
normally will not carry great weight in the settlement of large claims.
In determining whether the cost of collecting justifies enforced
collection of the full amount, it is legitimate to consider the positive
effect that enforced collection of some claims may have on the
collection of other claims. Since debtors are more likely to pay when
first requested to do so if an agency has a policy of vigorous
collection of all claims, the fact that the cost of collection of any
one claim may exceed the amount of the claim does not necessarily mean
that the claim should be compromised. The practical benefits of vigorous
collection of a small claim may include a demonstration to other debtors
that resistance to payment is not likely to succeed.
(f) Enforcement policy. Statutory penalties, forfeitures, or debts
established as an aid to enforcement and to compel compliance may be
compromised pursuant to this part if the agency's enforcement policy in
terms of deterrence and securing compliance, both present and future,
will be adequately served by acceptance of the sum to be agreed upon.
Mere accidental or technical violations may be dealt with less severely
than willful and substantial violations.
(g) Compromises payable in installments are to be discouraged.
However, if payment of a compromise by installments is necessary, a
legally enforceable agreement for the reinstatement of the prior
indebtedness less sums paid thereon and acceleration of the balance due
upon default in the payment of any installment should be obtained,
together with security in the manner set forth in Sec. 1261.411, in
every case in which this is possible.
(h) If the agency's files do not contain reasonably up-to-date
credit information as a basis for assessing a compromise proposal, such
information may be obtained from the individual debtor by obtaining a
statement executed under penalty of perjury showing the debtor's assets
and liabilities, income, and expenses. Forms such as Department of
Justice Form OBD-500 or OBD-500B may be used for this purpose. Similar
data may be obtained from corporate debtors using a form such as
Department of Justice Form OBD-500C or by resort to balance sheets and
such additional data as seems required. Samples of the Department of
Justice forms are available from the Office of the NASA General Counsel.
Neither a percentage of a debtor's profits nor stock in a debtor
corporation will be accepted in compromise of a claim. In negotiating a
compromise with a business concern, consideration should be given to
requiring a waiver of the tax-loss-carry-back rights of the debtor.

[[Page 219]]

(i) Joint and several liability. When two or more debtors are
jointly and severally liable, collection action will not be withheld
against one such debtor until the other or others pay their
proportionate shares. NASA will not attempt to allocate the burden of
paying such claims as between the debtors but will proceed to liquidate
the indebtedness as quickly as possible. Care should be taken that a
compromise agreement with one such debtor does not release the agency's
claim against the remaining debtors. The amount of a compromise with one
such debtor shall not be considered a precedent or as morally binding in
determining the amount which will be required from other debtors jointly
and severally liable on the claim.

Sec. 1261.415 Execution of releases.

Upon receipt of full payment of a claim, or the amount in compromise
of a claim as determined pursuant to Sec. 1261.414, the official
designated in Sec. 1261.402 will prepare and execute, on behalf of the
United States, an appropriate release, which shall include the provision
that it shall be void if procured by fraud, misrepresentation, the
presentation of a false claim, or mutual mistake of fact.

Sec. 1261.416 Suspending or terminating collection action.

(a) The standards set forth in this section apply to the suspension
or termination of collection action pursuant to 31 U.S.C. 3711(a)(3) on
claims which do not exceed $20,000, exclusive of interest, penalties,
and administrative costs, after deducting the amount of partial payments
or collections, if any. NASA may suspend or terminate collection action
under this part with respect to claims for money or property arising out
of activities of the agency, prior to the referral of such claims to the
General Accounting Office or to the Department of Justice for
litigation. The Comptroller General (or designee) may exercise such
authority with respect to claims referred to the General Accounting
Office prior to their further referral for litigation.
(b) If, after deducting the amount of partial payments or
collections, if any, a claim exceeds $20,000, exclusive of interest,
penalties, and administrative costs, the authority to suspend or
terminate rests solely with the Department of Justice. If the designated
official believes suspension or termination may be appropriate, the
matter should be evaluated using the factors set forth in paragraphs (c)
and (d) of this section. If the agency concludes that suspension or
termination is appropriate, it must refer the matter, with its reasons
for the recommendation, to the Department of Justice, using the Claims
Collection Litigation Report. See Sec. 1261.417(e) or 4 CFR 105.2(b). If
NASA decides not to suspend or terminate collection action on the claim,
Department of Justice approval is not required; or if it determines that
its claim is plainly erroneous or clearly without legal merit, it may
terminate collection action regardless of the amount involved, without
the need for Department of Justice concurrence.
(c) Suspension of collection activity--(1) Inability to locate
debtor. Collection action may be suspended temporarily on a claim when
the debtor cannot be located after diligent effort and there is reason
to believe that future collection action may be sufficiently productive
to justify periodic review and action on the claim, with due
consideration for the size and amount which may be realized thereon. The
following sources may be of assistance in locating missing debtors:
Telephone directories; city directories; postmasters; drivers' license
records; automobile title and registration records; state and local
government agencies; the Internal Revenue Service (see 4 CFR 102.18);
other Federal agencies; employers, relatives, friends; credit agency
skip locate reports, and credit bureaus. Suspension as to a particular
debtor should not defer the early liquidation cf security for the debt.
Every reasonable effort should be made to locate missing debtors
sufficiently in advance of the bar of the applicable statute of
limitations, such as 28 U.S.C. 2415, to permit the timely filing of suit
if such action is warranted. If the missing debtor has signed a confess-
judgment note and is in default, referral of the note for the entry of
judgment should not be delayed because of the debtor's missing status.

[[Page 220]]

(2) Financial condition of debtor. Collection action may also be
suspended temporarily on a claim when the debtor owns no substantial
equity in realty or personal property and is unable to make payments on
the Government's claim or effect a compromise at the time, but the
debtor's future prospects justify retention of the claim for periodic
review and action, and:
(i) The applicable statute of limitations has been tolled or started
running anew; or
(ii) Future collection can be effected by offset, notwithstanding
the statute of limitations, with due regard to the 10-year limitation
prescribed by 31 U.S.C. 3716(c)(1); or
(iii) The debtor agrees to pay interest on the amount of the debt on
which collection action will be temporarily suspended, and such
temporary suspension is likely to enhance the debtor's ability to fully
pay the principle amount of the debt with interest at a later date.
(3) Request for waiver or administrative review. If the statute
under which waiver or administrative review is sought is ``mandatory,''
that is, if it prohibits the agency from collecting the debt prior to
the agency's consideration of the request for waiver or review (see
Califano v. Yamasaki, 422 U.S. 682 (1979)), then collection action must
be suspended until either: The agency has considered the request for
waiver/review; or the applicable time limit for making the waiver/review
request, as prescribed in a written notice, has expired and the debtor,
upon notice, has not made such a request. If the applicable waiver/
review statute is ``permissive,'' that is, if it does not require all
requests for waiver/review to be considered, and if it does not prohibit
collection action pending consideration of a waiver/request (for
example, 5 U.S.C. 5584), collection action may be suspended pending
agency action on a waiver/review request based upon appropriate
consideration, on a case-by-case basis, as to whether:
(i) There is a reasonable possibility that waiver will be granted or
that the debt (in whole or in part) will be found not owing from the
debtor;
(ii) The Government's interests would be protected, if suspension
were granted, by reasonable assurance that the debt could be recovered
if the debtor does not prevail; and
(iii) Collection of the debt will cause undue hardship.
(4) If the applicable statutes and regulations would not authorize
refund by the agency to the debtor of amounts collected prior to agency
consideration of the debtor's waiver/review request (in the event the
agency acts favorably on it), collection action should ordinarily be
suspended, without regard to the factors specified for permissive
waivers, unless it appears clear, based on the request and the
surrounding circumstances, that the request is frivolous and was made
primarily to delay collection. See 4 CFR 104.2.
(d) Termination of collection activity. Collection activity may be
terminated and NASA may close its file on the claim based on the
following:
(1) Inability to collect any substantial amount. Collection action
may be terminated on a claim when it becomes clear that the Government
cannot collect or enforce collection of any significant sum from the
debtor, having due regard for the judicial remedies available to the
Government, the debtor's future financial prospects, and the exemptions
available to the debtor under State and Federal law. In determining the
debtor's inability to pay, the following factors, among others, may be
considered: Age and health of the debtor; present and potential income;
inheritance prospects; the possibility that assets have been concealed
or improperly transferred by the debtor; the availability of assets or
income which may be realized by enforced collection proceedings.
(2) Inability to locate debtor. Collection action may be terminated
on a claim when the debtor cannot be located, and either:
(i) There is no security remaining to be liquidated; or
(ii) The applicable statute of limitations has run and the prospects
of collecting by offset, notwithstanding the bar of the statute of
limitations, are too remote to justify retention of the claim.
(3) Cost will exceed recovery. Collection action may be terminated
on a claim

[[Page 221]]

when it is likely that the cost of further collection action will exceed
the amount recoverable thereby.
(4) Claim legally without merit. Collection action should be
terminated immediately on a claim whenever it is determined that the
claim is legally without merit.
(5) Claim cannot be substantiated by evidence. Collection action
should be terminated when it is determined that the evidence necessary
to prove the claim cannot be produced or the necessary witnesses are
unavailable and efforts to reduce voluntary payment are unavailing.
(e) Transfer of claim. When NASA has doubt as to whether collection
action should be suspended or terminated on a claim, it may refer the
claim to the General Accounting Office for advice. When a significant
enforcement policy is involved in reducing a statutory penalty or
forfeiture to judgment, or recovery of a judgment is a prerequisite to
the imposition of administrative sanctions, such as the suspension or
revocation of a license or the privilege of participating in a
Government sponsored program, NASA may refer such a claim for litigation
even though termination of collection activity might otherwise be given
consideration under paragraphs (d)(1) and (2) of this section. Claims on
which NASA holds a judgment by assignment or otherwise will be referred
to the Department of Justice for further action if renewal of the
judgment lien or enforced collection proceedings are justified under the
criteria discussed in this section.

Sec. 1261.417 Referral to Department of Justice (DJ) or General
Accounting Office (GAO).

(a) Prompt referral. Except as provided in paragraphs (b) and (c) of
this section, claims on which aggressive collection action has been
taken in accordance with Sec. 1261.406 and which cannot be compromised,
or on which collection action cannot be suspended or terminated, in
accordance with Secs. 1261.414 and 1261.416, shall be promptly referred
to the Department of Justice for litigation.
(1) Claims for which the gross original amount is over $200,000
shall be referred to the Commercial Litigation Branch, Civil Division,
Department of Justice, Washington, DC 20530.
(2) Claims for which the gross original amount is $200,000 or less
shall be referred to the United States Attorney in whose judicial
district the debtor can be found. Referrals should be made as early as
possible, consistent with aggressive agency collection action and the
observance of the regulations contained in this subpart, and in any
event, well within the period for bringing a timely suit against the
debtor. Ordinarily, referrals should be made within l year of the
agency's final determination of the fact and the amount of the debt.
(3) Minimum amount. NASA is not to refer claims of less than $600,
exclusive of interest, penalties, and administrative costs, for
litigation unless:
(i) Referral is important to a significant enforcement policy; or
(ii) The debtor not only has the clear ability to pay the claim but
the Government can effectively enforce payment, having due regard for
the exemptions available to the debtor under State and Federal law and
the judicial remedies available to the Government.
(b) Claims arising from audit exceptions taken by the GAO to
payments made by agencies must be referred to the GAO for review and
approval prior to referral to the Department of Justice for litigation,
unless NASA has been granted an exception by the GAO. Referrals shall
comply with instructions, including monetary limitations, contained in
the GAO Policy and Procedures Manual for Guidance to Federal Agencies
and paragraphs (e) and (f) of this section.
(c) When the merits of the claim, the amount owed on the claim, or
the propriety of acceptance of a proposed compromise, suspension, or
termination are in doubt, the designated official should refer the
matter to the General Accounting Office for resolution and instructions
prior to proceeding with collection action and/or referral to the
Department of Justice for litigation.
(d) Once a claim has been referred to GAO or to the Department of
Justice pursuant to this section, NASA shall refrain from having any
contact with the debtor about the pending claim and shall direct the
debtor to GAO or to

[[Page 222]]

the DJ, as appropriate, when questions concerning the claim are raised
by the debtor. GAO or the DJ, as appropriate, shall be immediately
notified by NASA of any payments which are received from the debtor
subsequent to referral of a claim under this section.
(e) Claims Collection Litigation Report (CCLR). Unless an exception
has been granted by the Department of Justice in consultation with the
General Accounting Office, the Claims Collection Litigation Report
(CCLR), which was officially implemented by NASA, effective March 1,
1983, shall be used with all referrals of administratively uncollectible
claims. As required by the CCLR, the following information must be
included:
(1) Report of prior collection actions. A checklist or brief summary
of the actions previously taken to collect or compromise the claim. If
any of the administrative collection actions have been omitted, the
reason for their omission must be provided. GAO, the United States
Attorney, or the Civil Division of the Department of Justice may return
claims at their option when there is insufficient justification for the
omission of one or more of the administrative collection actions
enumerated in this subpart (see 4 CFR part 102).
(2) Current address of debtor. The current address of the debtor, or
the name and address of the agent for a corporation upon whom service
may be made. Reasonable and appropriate steps will be taken to locate
missing parties in all cases. Referrals to the Department of Justice for
the commencement of foreclosure of other proceedings, in which the
current address of any party is unknown, will be accompanied by a
listing of the prior known addresses of such party and a statement of
the steps taken to locate that party.
(3) Credit data. Reasonably current credit data which indicates that
there is a reasonable prospect of effecting enforced collection from the
debtor, having due regard for the exemptions available to the debtor
under State and Federal law and the judicial remedies available to the
Government. Such credit data may take the form of:
(i) A commercial credit report;
(ii) An agency investigative report showing the debtor's assets,
liabilities, income, and expenses;
(iii) The individual debtor's own financial statement executed under
penalty of perjury reflecting the debtor's assets, liabilities, income,
and expenses; or
(iv) An audited balance sheet of a corporate debtor.
(4) Reasons for credit data omissions. The credit data may be
omitted if:
(i) A surety bond is available in an amount sufficient to satisfy
the claim in full;
(ii) The forced sale value of the security available for application
to the Government's claim is sufficient to satisfy the claim in full;
(iii) NASA wishes to liquidate loan collateral through judicial
foreclosure but does not desire a deficiency judgment;
(iv) The debtor is in bankruptcy or receivership;
(v) The debtor's liability to the Government is fully covered by
insurance, in which case NASA will furnish such information as it can
develop concerning the identity and address of the insurer and the type
and amount of insurance coverage; or
(vi) The status of the debtor is such that credit data is not
normally available or cannot reasonably be obtained, for example, a unit
of State or local government.
(f) Preservation of evidence. Care will be taken to preserve all
files, records, and exhibits on claims referred or to be referred to the
Department of Justice for litigation. Under no circumstances should
original documents be sent to the Department of Justice or the United
States Attorney without specific prior approval to do so. Copies of
relevant documents should be sent whenever necessary.

Subpart 1261.5_Administrative Offset of Claims

Source: 52 FR 19487, May 26, 1987, unless otherwise noted.

Sec. 1261.500 Scope of subpart.

(a) This subpart applies to collection of claims by administrative
offset under section 5 of the Federal Claims

[[Page 223]]

Collection Act of 1966 as amended by the Debt Collection Act of 1982 (31
U.S.C. 3716), other statutory authority, or the common law; it does not
include ``Salary Offset,'' which is governed by subpart 1261.6, infra.
Consistent with 4 CFR 102.3, collection by administrative offset will be
undertaken by NASA on all liquidated or certain in amount claims in
every instance in which such collection is determined to be feasible and
not otherwise prohibited.
(b) Whether collection by administrative offset is feasible is a
determination to be made by NASA on a case-by-case basis, in the
exercise of sound discretion. NASA will consider not only whether
administrative offset can be accomplished, both practically and legally,
but also whether offset is best suited to further and protect all of the
Government's interests. In appropriate circumstances, NASA may give due
consideration to the debtor's financial condition; or whether offset
would tend to substantially interfere with or defeat the purposes of the
program authorizing the payments against which offset is contemplated.
For example, under a grant program in which payments are made in advance
of the grantee's performance, offset will normally be inappropriate.
(c) NASA is not authorized by 31 U.S.C. 3716 to use administrative
offset with respect to:
(1) Debts owed by any State or local Government;
(2) Debts arising under or payments made under the Social Security
Act, the Internal Revenue Code of 1954, or the tariff laws of the United
States; or
(3) Any case in which collection of the type of debt involved by
administrative offset is explicitly provided for or prohibited by
another statute. However, unless otherwise provided by contract or law,
debts or payments which are not subject to administrative offset under
31 U.S.C. 3716 may be collected by administrative offset under the
common law or other applicable statutory authority.

Sec. 1261.501 Definition.

Administrative offset--the term, as defined in 31 U.S.C. 3701(a)(1),
means ``withholding money payable by the United States Government to, or
held by the Government for, a person to satisfy a debt the person owes
the Government.''

Sec. 1261.502 Notification procedures.

(a) Before collecting any claims through administrative offset, a
30-day written notice must be sent to the debtor by certified mail,
return receipt requested. The notice must include:
(1) The nature and amount of the debt;
(2) NASA's intention to collect by administrative offset; and
(3) An explanation of the debtor's rights under 31 U.S.C. 3716(a),
or other relied upon statutory authority, which must include a statement
that the debtor has the opportunity, within the 30-day notice period,
to:
(i) Inspect and copy records of NASA with respect to the debt;
(ii) Request a review by NASA of its decision related to the claim;
and
(iii) Enter into a written agreement with the designated official
(see Sec. 1261.402) to repay the amount of the claim. However, sound
judgment should be exercised in determining whether to accept a
repayment agreement in lieu of offset. The determination should balance
the Government's interest in collecting the debt against fairness to the
debtor. If the debt is delinquent and the debtor has not disputed its
existence or amount, NASA should accept a repayment agreement in lieu of
offset only if the debtor is able to establish that offset would result
in undue financial hardship or would be against equity and good
conscience.
(b) NASA may effect administrative offset against a payment to be
made to a debtor prior to the completion of the procedures required by
paragraph (a) of this section if:
(1) Failure to take the offset would substantially prejudice the
Government's ability to collect the debt; and
(2) The time before the payment is to be made does not reasonably
permit the completion of those procedures. Such prior offset must be
promptly followed by the completion of those procedures. Amounts
recovered by offset but later found not to be owed to the Government
shall be promptly refunded.

[[Page 224]]

(3) In cases where the procedural requirements of paragraph (a) of
this section had previously been provided to the debtor in connection
with the same debt under some other statutory or regulatory authority,
such as pursuant to a notice of audit disallowance or salary offset
under Sec. 1261.603, the agency is not required to duplicate those
requirements before taking administrative offset.

Sec. 1261.503 Agency records inspection; hearing or review.

(a) NASA shall provide the debtor with a reasonable opportunity for
an ``oral hearing'' when:
(1) An applicable statute authorizes or requires the agency to
consider waiver of the indebtedness involved, the debtor requests waiver
of the indebtedness, and the waiver determination turns on an issue of
credibility or veracity; or
(2) The debtor requests reconsideration of the debt and the agency
determines that the question of the indebtedness cannot be resolved by
review of the documentary evidence, for example, when the validity of
the debt turns on an issue of credibility or veracity. Unless otherwise
required by law, an oral hearing under this section is not required to
be a formal evidentiary-type hearing, although significant matters
discussed at the hearing should be carefully documented. See 4 CFR
102.3(c)(1). Such hearing may be an informal discussion/interview with
the debtor, face-to-face meeting between debtor and cognizant NASA
personnel, or written formal submission by the debtor and response by
the NASA cognizant personnel with an opportunity for oral presentation.
The hearing will be conducted before or in the presence of an official
designated by the NASA General Counsel or designee on a case-by-case
basis. The decision of the reviewing/hearing official should be
communicated in writing (no particular form is required) to the affected
parties, and will constitute the final administrative decision of the
agency.
(b) Paragraph (a) of this section does not require an oral hearing
with respect to debt collection systems in which determinations of
indebtedness or waiver rarely involve issues of credibility or veracity
and NASA has determined that review of the written record is ordinarily
an adequate means to correct prior mistakes. In administering such a
system, the agency is not required to sift through all of the requests
received in order to accord oral hearings in those few cases which may
involve issues of credibility or veracity. See 4 CFR 102.3(c)(2).
(c) In those cases where an oral hearing is not required or granted,
NASA will nevertheless accord the debtor a ``paper hearing''--that is,
the agency will make its determination on the request for waiver or
reconsideration based upon a review of the available written record. See
4 CFR 102.3(c)(3). In such case, the responsible official or designee
shall refer the request to the appropriate NASA legal counsel for review
and determination by counsel or designee.
(d) A request to inspect and/or copy the debtor's own debt records
or related files, and/or for a hearing or review accompanied by a
statement of the basis or grounds for such hearing or review, must be
submitted within 30 calendar days of the receipt of the written notice
under Sec. 1261.502(a). A reasonable time to inspect and copy records
will be provided during official working hours, but not to exceed 5
business days, unless a verified statement showing good cause requires a
longer period. Any suspension of collection or other charges during the
period of the inspection, or hearing or review, shall comply with
Secs. 1261.412 and 1261.416. Requests for or consideration of
compromising the debt must comply with Sec. 1261.414.

Sec. 1261.504 Interagency requests.

(a) Requests to NASA by other Federal agencies for administrative
offset should be in writing and forwarded to the Office of the NASA
Comptroller, NASA Headquarters, Washington, DC 20546.
(b) Requests by NASA to other Federal agencies holding funds payable
to the debtor should be in writing and forwarded, certified return
receipt, as specified by that agency in its regulations; however, if
such rule is not readily available or identifiable, the request should
be submitted to that

[[Page 225]]

agency's office of legal counsel with a request that it be processed in
accordance with their internal procedures.
(c) Requests to and from NASA should be processed within 30 calendar
days of receipt. If such processing is impractical or not feasible,
notice to extend the time period for another 30 calendar days should be
forwarded 10 calendar days prior to the expiration of the first 30-day
period.
(d) Requests from or to NASA must be accompanied by a certification
that the debtor owes the debt (including the amount) and that the
provisions of (or comparable to) subpart 1261.5 or subpart 1261.6, as
applicable, have been fully complied with. NASA will cooperate with
other agencies in effecting collection.

Sec. 1261.505 Multiple debts.

When collecting multiple debts by administrative offset, NASA will
apply the recovered amounts to those debts in accordance with the best
interests of the United States, as determined by the facts and
circumstances of the particular case, paying special attention to
applicable statutes of limitations.

Sec. 1261.506 Limitation periods.

NASA may not initiate administrative offset to collect a debt under
31 U.S.C. 3716 more than 10 years after the Government's right to
collect the debt first accrued, unless facts material to the
Government's right to collect the debt were not known and could not
reasonably have been known by the official or officials of the
Government who were charged with the responsibility to discover and
collect such debts. Determination of when the debt first accrued is to
be made in accordance with existing law regarding the accrual of debts,
such as under 28 U.S.C. 2415. See 4 CFR 102.3(b)(3).

Sec. 1261.507 Civil Service Retirement and Disability Fund.

(a) Unless otherwise prohibited by law, NASA may request that moneys
which are due and payable to a debtor from the Civil Service Retirement
and Disability Fund be administratively offset in reasonable amounts in
order to collect in one full payment or a minimal number of payments
debts owed to the United States by the debtor. Such requests shall be
made to the appropriate officials of the Office of Personnel Management
(OPM) in accordance with the OPM regulations (see 5 CFR 831.1801, et
seq.).
(b) When making a request for administrative offset under paragraph
(a) of this section, NASA shall include a written certification that:
(1) The debtor owes the United States a debt, including the amount
of the debt;
(2) NASA has complied with the applicable statutes, regulations, and
procedures of the Office of Personnel Management; and
(3) NASA has complied with the requirements of this subpart 1261.5
which implements 4 CFR 102.3, including any required hearing or review.
(c) Once NASA has decided to request administrative offset under
this section, the request should be made as soon as practical after
completion of the applicable procedures in order that the Office of
Personnel Management may identify and ``flag'' the debtor's account in
anticipation of the time when the debtor requests or becomes eligible to
receive payments from the Fund. This will satisfy any requirement that
offset be initiated prior to expiration of the applicable statute of
limitations. At such time as the debtor makes a claim for payments from
the Fund, if at least a year has elapsed since the offset request was
originally made, the debtor should be permitted to offer a satisfactory
repayment plan in lieu of offset upon establishing that changed
financial circumstances would render the offset unjust.
(d) If NASA collects part or all of the debt by other means before
deductions are made or completed pursuant to paragraph (a) of this
section, the designated official should act promptly to modify or
terminate the agency's request to OPM for offset.
(e) OPM is not required or authorized by 4 CFR 102.4 to review the
merits of NASA's determination with respect to:
(1) The amount and validity of the debt;
(2) Waiver under an applicable statute; or
(3) Provide or not provide an oral hearing.

[[Page 226]]

Sec. 1261.508 Offset against a judgment.

Collection by offset against a judgment obtained by a debtor against
the United States shall be accomplished in accordance with 31 U.S.C.
3728.

Subpart 1261.6_Collection by Offset From Indebted Government Employees

Source: 52 FR 19487, May 26, 1987, unless otherwise noted.

Sec. 1261.600 Purpose of subpart.

This subpart implements 5 U.S.C. 5514 in accordance with the OPM
regulation and establishes the procedural requirements for recovering
pre-judgment debts from the current pay account of an employee through
what is commonly called salary offset, including a situation where NASA
(the current paying agency) is not the employee's creditor agency.
Salary offset to satisfy a judgment or a court determined debt is
governed by section 124 of Pub. L. 97-276 (October 2, 1982), 5 U.S.C.
5514 note.

Sec. 1261.601 Scope of subpart.

(a) Coverage. This subpart applies to agencies and employees as
defined in Sec. 1261.602.
(b) Applicability. This subpart and 5 U.S.C. 5514 apply in
recovering certain prejudgment debts by administrative offset except
where the employee consents to the recovery, from the current pay
account of an employee. Because it is an administrative offset, debt
collection procedures for salary offset which are not specified in 5
U.S.C. 5514 and this subpart should be consistent with subpart 1261.5.
(1) Excluded debts or claims. The procedures contained in this
subpart do not apply to debts or claims arising under the Internal
Revenue Code of 1954 as amended (26 U.S.C. 1 et seq.), the Social
Security Act (42 U.S.C. 301 et seq.), or the tariff laws of the United
States; or to any case where collection of a debt by salary offset is
explicitly provided for or prohibited by another statute (e.g., travel
advances in 5 U.S.C. 5705, employee training expenses in 5 U.S.C. 4108,
and debts determined by a court as provided in 5 U.S.C. 5514 note).
(2) Waiver requests and claims to the General Accounting Office.
This subpart does not preclude an employee from requesting waiver of a
salary overpayment under 5 U.S.C. 5584, 10 U.S.C. 2774, or 32 U.S.C.
716, or in any way questioning the amount or validity of a debt by
submitting a subsequent claim to the General Accounting Office in
accordance with procedures prescribed by the General Accounting Office.
Similarly, in the case of other types of debts, it does not preclude an
employee from requesting waiver, if waiver is available under any
statutory provision pertaining to the particular debt being collected.

Sec. 1261.602 Definitions.

For purposes of this subpart:
(a) Agency means:
(1) An Executive agency as defined in section 105 of title 5, United
States Code, including U.S. Postal Service and the U.S. Postal Rate
Commission;
(2) A military department as defined in section 102 of Title 5,
United States Code;
(3) An agency or court in the judicial branch, including a court as
defined in section 610 of Title 28, United States Code, the District
Court for the Northern Mariana Islands, and the Judicial Panel on
Multidistrict Litigation;
(4) An agency of the legislative branch, including the U.S. Senate
and the U.S. House of Representatives; and
(5) Other independent establishments that are entities of the
Federal Government.
(b) Creditor agency means the agency to which the debt is owed.
(c) Debt means an amount owed to the United States from sources
which include loans insured or guaranteed by the United States and all
other amounts due the United States from fees, leases, rents, royalties,
services, sales of real or personal property, overpayments, penalties,
damages, interest, fines and forfeitures (except those arising under the
Uniform Code of Military Justice), and all other similar sources.
(d) Disposable pay means that part of current basic pay, special
pay, incentive pay, retired pay, retainer pay, or in the case of an
employee not entitled to basic pay, other authorized pay remaining after
the deduction of any

[[Page 227]]

amount required by law to be withheld. NASA must exclude deductions
listed in OPM's garnishment regulations at 5 CFR 581.105 (b) through (f)
to determine disposable pay subject to salary offset.
(e) Employee means a current employee of an agency, including a
current member of the Armed Forces or a Reserve of the Armed Forces
(Reserves).
(f) Paying agency means the agency employing the individual and
authorizing the payment of his or her current pay.
(g) Salary offset means an administrative offset to collect a debt
under 5 U.S.C. 5514 by deduction(s) at one or more officially
established pay intervals from the current pay account of an employee
without his or her consent.
(h) Waiver means the cancellation, remission, forgiveness, or
nonrecovery of a debt allegedly owed by an employee to an agency as
permitted or required by 5 U.S.C. 8346(b), or any other law.

Sec. 1261.603 Procedures for salary offset.

If NASA is both the paying and creditor agency, the following
requirements must be met before a deduction is made from the current pay
account of an employee.
(a) Written notice. The employee must be sent a minimum of 30 days
written notice, which specifies:
(1) The origin, nature and amount of the indebtedness, and the
official to contact within the agency (ordinarily, the designated
financial management official for the particular installation);
(2) The intention of the agency to initiate collection of the debt
through salary offset by deductions from the employee's current
disposable pay, stating the amount, frequency, proposed beginning date,
and duration of intended deductions (the amount to be deducted for any
period, without the consent of the employee, may not exceed 15 percent
of disposable pay);
(3) An explanation of any interest, penalties, or administrative
costs included in the amount, and that such assessment must be made
unless excused in accordance with 14 CFR 1261.412;
(4) The right for an opportunity (which does not toll the running of
the 30-day period) to inspect and copy NASA records relating to the debt
or to request and receive (if reasonable) a copy of such records,
provided that such opportunity must be exercised on or before the 15th
day following receipt of the notice and can be conducted only during
official working hours for a reasonable period of time not to exceed 5
working days;
(5) If not previously provided, the opportunity (under terms
agreeable to NASA) to establish a schedule for the voluntary repayment
of the debt or to enter into a written agreement to establish a schedule
for repayment of the debt in lieu of offset. The agreement must be in
writing, signed by both the employee and the authorized agency official
(see 14 CFR 1261.402) and documented in NASA's files (see 14 CFR
1261.407(d));
(6) An opportunity for a hearing, as provided in paragraph (c) of
this section, on the agency's determination concerning the existence and
amount of the debt, and the terms of the repayment schedule (in the case
of an employee whose repayment schedule is established other than by
written agreement);
(7) The hearing request should be addressed to the Office of the
NASA General Counsel or to the Office of Chief Counsel of the NASA
installation involved, as appropriate; counsel's name and address will
be as stated in the notice.
(8) Any other rights and remedies available to the employee under
statutes or regulations governing the program for which the collection
is being made; and
(9) Unless there are applicable contractual or statutory provisions
to the contrary, that amounts paid on or deducted for the debt which are
later waived or found not owed to the United States will be promptly
refunded to the employee.
(b) Exception to entitlement to written notice. NASA is not required
to comply with paragraph (a) of this section for any adjustment to pay
arising out of an employee's election of coverage or a change in
coverage under a Federal

[[Page 228]]

benefits program requiring periodic deductions from pay, if the amount
to be recovered was accumulated over four pay periods or less.
(c) Petition filing; hearing; decision and review. The notice
described in paragraph (a) of this section should include the following
provisions, which may be copied and attached to the notice.
(1) The employee may petition for a hearing, but such petition must
be in writing and received by NASA on or before the 15th day following
receipt of the notice, and include a statement of the reasons for such
hearing. No particular form is required, and a timely, legible letter
request (with the stated reasons) will suffice; however, the employee
must sign the petition and include with it, with reasonable specificity,
all the supporting facts and evidence, including a list of the
witnesses, if any.
(2) The petition should be addressed to the agency counsel
designated in the notice, but the hearing will be conducted by an
official not under the supervision or control of the NASA Administrator
or by appointment of an administrative law judge. Notice of the name and
address of the hearing official will be sent to the employee within 10
days of receipt of petition. A hearing official will be designated on a
case-by-case basis under reimbursable arrangements or through direct
payment as events may warrant.
(3) The timely filing of the petition will stay the commencement of
collection; and the final decision on the hearing will be issued at the
earliest practicable date, but not later than 60 days after the filing
of the petition requesting the hearing unless the employee requests and
the hearing official grants a delay in the proceedings.
(4) Any knowingly false or frivolous statements, representations, or
evidence may subject the employee to:
(i) Disciplinary procedures appropriate under Chapter 75 of Title 5,
United States Code, 5 CFR part 752, or any other applicable statutes or
regulations;
(ii) Penalties under the False Claims Act, sections 3729 through
3731 of Title 31, United States Code, or any other applicable statutory
authority; or
(iii) Criminal penalties under sections 286, 287, 1001, and 1002 of
Title 18, United States Code, or any other applicable statutory
authority.
(5) The form and content of the hearing will be determined by the
hearing official depending on the nature and complexity of the
transaction giving rise to the debt. The hearing is not an adversarial
adjudication, and need not take the form of an evidentiary hearing.
However, depending on the particular facts and circumstances, the
hearing may be analogous to a fact- finding proceeding with oral
presentations; or an informal meeting with or interview of the employee;
or formal written submissions, with an opportunity for oral
presentation, and decision based on the available written record.
Ordinarily, hearings may consist of informal conferences before the
hearing official in which the employee and agency officials will be
given full opportunity to present evidence, witnesses, and argument. The
employee may represent himself or herself or be represented by an
individual of his or her choice. The hearing official must maintain a
summary record of the hearing provided under this subpart. For
additional guidance, see 14 CFR 1261.503.
(6) The decision will be in writing and state:
(i) The facts purported to evidence the nature and origin of the
alleged debt;
(ii) The respective positions of the agency and of the employee;
(iii) The hearing official's analysis (which address the employee's/
agency's grounds, the amount and validity of the alleged debt, and,
where applicable, the repayment schedule); and
(iv) The hearing official's findings and conclusions.
(7) The hearing official will notify the employee, the NASA
Comptroller or designee, and the designated agency counsel of the
decision.
(8) The decision of the hearing official shall constitute the Final
Administrative Decision of the agency.
(d) Petition after time expiration. No petition for a hearing is to
be granted if made after the 15-day period prescribed in paragraph
(c)(1) of this section, unless the employee can show to

[[Page 229]]

the satisfaction of the agency official indicated on the notice that the
delay was caused by circumstances beyond his or her control (for
example, proven incapacity, illness, or hospitalization), or that the
agency did not give notice of the time limit and the employee was
otherwise unaware of such limit.
(e) Limitation on amount and duration of deductions. Ordinarily,
debts must be collected in one lump-sum payment. However, if the
employee is financially unable to pay in one lump sum or if the amount
of the debt exceeds 15 percent of disposable pay for an officially
established pay interval, collection must be made in installments. The
size of installment deductions must bear a reasonable relationship to
the size of the debt and the employee's ability to pay (see 14 CFR
1261.411), but the amount deducted for any period must not exceed 15
percent of the disposable pay from which the deduction is made (unless
the employee has agreed in writing to the deduction of a greater
amount). Deduction must commence with the next full pay interval
(ordinarily, the next biweekly pay period). Such installment deductions
must be made over a period not greater than the anticipated period of
active duty or employment, as the case may be, except as provided in
paragraph (f) of this section.
(f) Determining ability to pay. An offset may produce an extreme
financial hardship for an employee if it prevents the employee from
meeting costs necessarily incurred for essential subsistence expenses
for food, reasonable housing, clothing, transportation, and medical
care. In determining whether an offset would prevent the employee from
meeting the essential subsistence expenses, the employee may be required
to show income from all sources (including spouse and dependents, if
applicable), list all known assets, explain exceptional expenses, and
produce any other relevant factors.
(g) Liquidation from final check; other recovery. If the employee
retires or resigns from Federal service, or if his or her employment or
period of active duty ends before collection of the debt is completed,
the balance may be deducted from the final salary payment and any
remaining balance from the lump-sum leave, if applicable. If the debt is
not fully paid by offset from any final payment due the former employee
as of the date of separation, offset may be made from later payments of
any kind due the former employee from the United States (as provided in
14 CFR part 1261 subpart 1261.5, including offset from the Civil Service
Retirement and Disability Fund under 14 CFR 1261.507).
(h) Interest, penalties, and administrative costs. Assessment of
interest, penalties, and administrative costs, on debts being collected
under this subpart, shall be in accordance with 14 CFR 1261.412 which
implements 4 CFR 102.13.

Sec. 1261.604 Nonwaiver of rights by involuntary setoff.

The employee's involuntary payment of all or any portion of the
debt, being collected under this subpart, must not be construed as a
waiver of any rights which the employee may have under an existing
written contract applicable to the specific debt or under any other
pertinent statutory authority for the collection of claims of the United
States or the agency.

Sec. 1261.605 Refunds.

(a) NASA will promptly refund to the employee amounts paid or
deducted under this subpart when:
(1) A debt is waived or otherwise found not owing the United States
(unless expressly prohibited by statute or regulation); or
(2) The employee's paying agency is directed by an administrative or
judicial order to refund amounts deducted from his or her current pay.
(b) Refunds are not to bear any interest unless the law applicable
to that particular debt specifically requires or permits a stated
interest amount on refunds.

Sec. 1261.606 Salary offset request by a creditor agency other than
NASA (the current paying agency).

(a) Format of the request. Upon completion of the procedures
established by the creditor agency under 5 U.S.C. 5514, the creditor
agency must:
(1) Certify, in writing, that the employee owes the debt, the amount
and

[[Page 230]]

basis of the debt, the date on which payment(s) is/are due, the date the
Government's right to collect the debt first accrued, and that the
creditor agency's regulations implementing 5 U.S.C. 5514 have been
approved by OPM;
(2) If the collection must be made in installments, the creditor
agency must also advise NASA of the number of installments to be
collected, the amount of each installment, and the commencing date of
the first installment, if a date other than the next officially
established pay period is required; and
(3) Unless the employee has consented to the salary offset in
writing or signed a statement acknowledging receipt of the required
procedures and the writing or statement is attached to the debt claim
request, the creditor agency must also indicate the action(s) taken
under 5 U.S.C. 5514(a)(2) and give the date(s) the action(s) was/were
taken.
(b) Limitation period. The creditor agency may not initiate offset
to collect a debt more than 10 years after the Government's right to
collect the debt first accrued, except as provided in 14 CFR 1261.506,
which implements 4 CFR 102.3(b)(3).
(c) Employees who are separating or have separated--(1) Employees
who are in the process of separating. If the employee is in the process
of separating, the creditor agency must submit its debt claim to the
employee's paying agency for collection as provided in 5 CFR 550.1104(1)
of the OPM regulations (14 CFR 1261.603(f)) for ``liquidation from final
check.'' NASA must then certify the total amount of its collection and
notify the creditor agency and the employee as provided in paragraph
(c)(3) of this section. If NASA is aware that the employee is entitled
to payments from the Civil Service Retirement and Disability Fund, or
other similar payments, it should notify the creditor agency and forward
the copy of the debt claim and certification to the agency responsible
for making such payments as notice that a debt is outstanding. However,
the creditor agency, not NASA, must submit a properly certified claim to
the agency responsible for making such payments before collection can be
made.
(2) Employees who have already separated. If the employee is already
separated and all payments due from NASA have been paid, NASA must
return the claim to the creditor agency for any further collection,
indicating the employee's date of separation and the current employment
and mailing address(es), if known.
(3) Employee who transfers from NASA to another Federal agency.
(i) Certification of amount collected. If, after the creditor agency
has submitted the debt claim to NASA, the employee transfers to another
Federal agency before the debt is collected in full, NASA must then
certify the total amount of the collection made on the debt. A copy of
the certification should be furnished the employee, and another copy
furnished to the creditor agency along with notice of the employee's
transfer.
(ii) Official personnel folder insertion; new paying agency.
Information on the debt claim must be inserted in the employee's
official personnel folder along with a copy of the certification of the
amount which has been collected. Upon receiving the official personnel
folder, the new paying agency must resume the collection from the
employee's current pay account and notify the employee and the creditor
agency of the resumption. It will not be necessary for the creditor
agency to repeat the due process procedures described by 5 U.S.C. 5514
of this subpart in order to resume the collection. However, it will be
the responsibility of the creditor agency to review the debt upon
receiving NASA's notice of the employee's transfer to make sure the
collection is resumed by the new paying agency.
(d) Processing the debt claim upon receipt--(1) Incomplete claim. If
NASA receives incomplete debt claim information, it must return the
request with a notice that procedures under 5 U.S.C. 5514 and this
subpart must be provided and complete debt claim information received
before action will be taken to collect from the employee's current pay
account.
(2) Complete claim. If NASA receives a properly documented debt
claim, deductions should be scheduled to begin prospectively at the next
officially established pay interval. A copy of the

[[Page 231]]

debt claim request must be given to the debtor, along with notice of the
date deductions will commence if different from that stated on the debt
claim request.
(3) NASA is not required or authorized to review the merits of the
creditor agency's determination with respect to the amount or validity
of the debt as stated in the debt claim request.

Sec. 1261.607 Obtaining the services of a hearing official.

(a) When the debtor does not work for the creditor agency and the
creditor agency cannot provide a prompt and appropriate hearing before
an administrative law judge or before a hearing official furnished
pursuant to another lawful arrangement, the creditor agency may contact
an agent of the paying agency designated in appendix A of 5 CFR part 581
to arrange for a hearing official, and the paying agency must then
cooperate as provided by 4 CFR 102.1 and provide a hearing official.
(b) When the debtor works for the creditor agency, the creditor
agency may contact any agent (of another agency) designated in appendix
A of 5 CFR part 581 to arrange for a hearing official. Agencies must
then cooperate as required by 4 CFR 102.1 and provide a hearing
official.

PART 1262_EQUAL ACCESS TO JUSTICE ACT IN AGENCY PROCEEDINGS
--Table of Contents

Subpart 1262.1_General Provisions

Sec.
1262.101 Purpose of these rules.
1262.102 When the Act applies.
1262.103 Proceedings covered.
1262.104 Eligibility of applicants.
1262.105 Standards for awards.
1262.106 Allowable fees and expenses.
1262.107 Rulemaking on maximum rates for attorney fees.
1262.108 Awards against other agencies.
1262.109 Delegations of authority.

Subpart 1262.2_Information Required From Applicants

1262.201 Contents of application.
1262.202 Net worth exhibit.
1262.203 Documentation of fees and expenses.
1262.204 When an application may be filed.

Subpart 1262.3_Procedures for Considering Applications

1262.301 Filing and service of documents.
1262.302 Answer to application.
1262.303 Reply.
1262.304 Comments by other parties.
1262.305 Settlement.
1262.306 Further proceedings.
1262.307 Decision.
1262.308 Agency review.
1262.309 Judicial review.
1262.310 Payment of award.

Authority: 5 U.S.C. 504; 51 U.S.C. 20113(a).

Source: 51 FR 15311, Apr. 23, 1986, unless otherwise noted.

Subpart 1262.1_General Provisions

Sec. 1262.101 Purpose of these rules.

(a) The pertinent provisions of the Equal Access to Justice Act at 5
U.S.C. 504 (hereinafter ``the Act'') provide for the award of attorney
fees and other expenses to eligible individuals and entities who are
parties to certain administrative proceedings (called ``adversary
adjudications''). An eligible party may receive an award when it
prevails, unless it has unreasonably protracted the proceedings, or the
Agency's position in the proceeding was substantially justified, or
special circumstances make an award unjust. The rules in this part
describe the parties eligible for awards and the proceedings that are
covered. They also explain how to apply for awards, and the procedures
and standards that the National Aeronautics and Space Administration
(NASA) will use in determining awards.
(b) As used in this part:
(1) Adversary adjudication means:
(i) An adjudication under 5 U.S.C. 554 in which the position of the
United States is represented by counsel or otherwise, but excludes an
adjudication for the purpose of establishing or fixing a rate or for the
purpose of granting or renewing a license;
(ii) Any appeal of a decision made pursuant to section 6 of the
Contract Disputes Act (CDA) of 1978, as amended (41 U.S.C. 605) before
an agency board

[[Page 232]]

of contract appeals as provided in section 8 of the CDA (41 U.S.C. 607);
(iii) Any hearing conducted under Chapter 38 of Title 31 (added by
section 6104 of the Program Fraud Civil Remedies Act of 1986 (Pub. L.
99-509, 100 Stat. 1948, Oct. 21, 1986), 31 U.S.C. 3801, et seq., as
amended); and
(iv) The Religious Freedom Restoration Act (RFRA) of 1993 (added by
section 4(b), of RFRA (Pub. L. 103-141, 107 Stat. 1489, Nov. 16, 1993),
42 U.S.C. 2000bb).
(2) Adjudicative officer means the deciding official, without regard
to whether the official is designated an administrative law judge, a
hearing officer or examiner, or otherwise, who presided at the adversary
adjudication;
(3) Position of the agency means, in addition to the position taken
by the agency in the adversary adjudication, the action or failure to
act by the agency upon which the adversary adjudication is based;
(4) Party, as defined in 5 U.S.C. 551(3), includes a person or
agency named or admitted as a party, or properly seeking and entitled as
of right to be admitted as a party, in an agency proceeding, and a
person or agency admitted by an agency as a party for limited purposes,
and who meets the eligibility requirements of Sec. 1262.104; and
(5) Agency with a capital A denotes the NASA.
(c) Determination of Substantially justified. Whether or not the
position of the agency was substantially justified shall be determined
on the basis of the administrative record, as a whole, which is made in
the adversary adjudication for which fees and other expenses are sought.

[51 FR 15311, Apr. 23, 1986, as amended at 60 FR 12668, Mar. 8, 1995]

Sec. 1262.102 When the Act applies.

The Act applies to any adversary adjudication pending or commenced
before NASA on or after August 5, 1985. It also applies to any adversary
adjudication commenced on or after October 1, 1984, and finally disposed
of before August 5, 1985, provided that an application for fees and
expenses, as described in subpart 1262.2, had been filed with the Agency
within 30 days after August 5, 1985, and to any adversary adjudication
pending on or commenced on or after October 1, 1981, in which an
application for fees and other expenses was timely filed and was
dismissed for lack of jurisdiction.

Sec. 1262.103 Proceedings covered.

(a) The Act applies to the following adversary adjudications
conducted by the Agency:
(1) Adjudications under 5 U.S.C. 554 in which the position of NASA
or any other agency of the United States, or any component of an agency,
is presented by an attorney or other representative who enters an
appearance and participates in the proceedings;
(2) Appeals of decisions made pursuant to section 6 of the Contract
Disputes Act of 1978 (41 U.S.C. 605) before the Board of Contract
Appeals (BCA) as provided in Section 8 of that Act (41 U.S.C. 607);
(3) Any hearing conducted under Chapter 38 of Title 31 (31 U.S.C.
3801, et seq., as amended); and
(4) Adjudications under the Religious Freedom Restoration Act of
1993 (42 U.S.C. 2000bb).
(b) The Act does not apply to:
(1) Any proceeding in which this Agency may prescribe a lawful
present or future rate;
(2) Proceedings to grant or renew licenses (note, however, that
proceedings to modify, suspend, or revoke licenses are covered if they
are otherwise adversary adjudications); and
(3) Proceedings which are covered by a compromise or settlement
agreement, unless specifically consented to in such agreement.
(c) NASA may also designate a proceeding as an adversary
adjudication for purposes of the Act by so stating in an order
initiating the proceeding or designating the matter for hearing. The
Agency's failure to designate a proceeding as an adversary adjudication
shall not preclude the filling of an application by a party who believes
the proceeding is covered by the Act; whether the proceeding is covered
will then be an issue for resolution in proceedings on the application.
(d) If a proceeding includes both matters covered by the Act and
matters specifically excluded from coverage,

[[Page 233]]

any award made will include only fees and expenses related to covered
issues.

[60 FR 12668, Mar. 8, 1995]

Sec. 1262.104 Eligibility of applicants.

(a) To be eligible for an award of attorney fees and other expenses,
the applicant must be a ``party'' to the adversary adjudication for
which an award is sought. The applicant must show that it meets all
conditions of eligibility set out in this subpart and in subpart 1262.2.
(b) The types of eligible applicants are as follows:
(1) An individual with a net worth of not more than $2 million;
(2) Any owner of an unincorporated business who has a net worth of
not more than $7 million, including both personal and business
interests, and not more than 500 employees;
(3) A charitable or other tax-exempt organization described in
section 501(c)(3) of the Internal Revenue Code (26 U.S.C. 501(c)(3))
with not more than 500 employees;
(4) A cooperative association as defined in section 15(a) of the
Agricultural Marketing Act (12 U.S.C. 1141j(a)) with not more than 500
employees; and
(5) Any other partnership, corporation, association, unit of local
government, or organization with a net worth of not more than $7 million
and not more than 500 employees.
(c) For the purpose of eligibility, the net worth and number of
employees of an applicant shall be determined as of the date the
proceeding was initiated.
(d) An applicant who owns an unincorporated business will be
considered as an ``individual'' rather than as a ``sole owner of an
unincorporated business'' if the issues on which the applicant prevails
are related primarily to personal interests rather then to business
interests.
(e) The employees of an applicant include all persons who regularly
perform services for remuneration for the applicant, under the
applicant's direction and control. Part-time employees shall be included
on a proportional basis.
(f) The net worth and number of employees of the applicant and all
of its affiliates shall be aggregated to determine eligibility. Any
individual, corporation, or other entity that directly or indirectly
controls or owns a majority of the voting shares or other interest of
the applicant, or any corporation or other entity of which the applicant
directly or indirectly owns or controls a majority of the voting shares
or other interest, will be considered an affiliate for purposes of this
part, unless the adjudicative officer determines that such treatment
would be unjust and contrary to the purposes of the Act in light of the
actual relationship between the affiliated entities. In addition, the
adjudicative officer may determine that financial relationships of the
applicant other than those described in this paragraph constitute
special circumstances that would make an award unjust.
(g) An applicant that participates in a proceeding primarily on
behalf of one or more other persons or entities that would be ineligible
is not itself eligible for an award.

[51 FR 15311, Apr. 23, 1986, as amended at 60 FR 12668, Mar. 8, 1995]

Sec. 1262.105 Standards for awards.

(a) A prevailing applicant may receive an award subject to paragraph
(b) of this section, for fees and expenses incurred in connection with a
proceeding, or in a significant and discrete substantive portion of the
proceeding, unless the position of the agency over which the applicant
has prevailed was substantially justified. No presumption arises that
the agency's position was not substantially justified simply because the
agency did not prevail. The burden of proof that an award should not be
made to an eligible prevailing applicant is on the agency.
(b) An award, for any portion of the adversary adjudication, will be
denied if the applicant has unreasonably protracted the proceedings, or
denied or reduced if special circumstances make the award sought unjust.

Sec. 1262.106 Allowable fees and expenses.

(a) Awards will be based on rates customarily charged by persons
engaged in the business of acting as attorneys, agents, and expert
witnesses, even if

[[Page 234]]

the services were made available without charge or at a reduced rate to
the applicant.
(b) No award for the fee of an attorney or agent under these rules
may exceed $75 per hour. No award to compensate an expert witness may
exceed the highest rate at which this Agency pays expert witnesses,
which is $20 an hour (5 hours maximum) or maximum daily rate of $100 (3
days maximum). However, an award may also include the reasonable
expenses of the attorney, agent, or witness as a separate item, if the
attorney, agent, or witness ordinarily charges clients separately for
such expenses.
(c) In determining the reasonableness of the fee sought for an
attorney, agent, or expert witness, the adjudicative officer shall
consider the following:
(1) If the attorney, agent, or witness is in private practice, his
or her customary fee for similar service, or, if an employee of the
applicant, the fully allocated cost of the services;
(2) The prevailing rate for similar services in the community in
which the attorney, agent, or witness ordinarily performs services;
(3) The time actually spent in the representation of the
application;
(4) The time reasonably spent in light of the difficulty or
complexity of the issues in the proceeding; and
(5) Such other factors as may bear on the value of the services
provided.
(d) The reasonable cost of any study, analysis, engineering report,
test, project, or similar matter prepared on behalf of a party may be
awarded, to the extent that the charge for the service does not exceed
the prevailing rate for similar services, and the study or other matter
was necessary for preparation of the applicant's case.

Sec. 1262.107 Rulemaking on maximum rates for attorney fees.

(a) If warranted by an increase in the cost of living or by special
circumstances (such as limited availability of attorneys qualified to
handle certain types of proceedings), the Agency may adopt regulations
providing that attorney fees may be awarded at a rate higher then $75
per hour in some or all of the types of proceedings covered by this
part. This Agency will conduct any rulemaking proceedings for this
purpose under the informal rulemaking procedures of the Administrative
Procedure Act (5 U.S.C. 553).
(b) Any person may file with the Agency a petition for rulemaking to
increase the maximum rate for attorney fees. The petition should be
addressed to the General Counsel, NASA Headquarters, Washington, DC
20546; should identify the rate the petitioner believes the Agency
should establish and the types of proceedings in which the rate should
be used; and should also explain fully the reasons why the higher rate
is warranted. The Agency will respond to the petition within 60 days
after it is filed, by initiating a rulemaking proceeding or denying the
petition, or taking other appropriate action.

Sec. 1262.108 Awards against other agencies.

If an applicant is entitled to an award because it prevails over
another agency of the United States that participates in a proceeding
before NASA, the award or an appropriate portion of the award shall be
made against that agency, subject to Sec. 1262.105(b), if it had taken a
position that is not substantially justified.

Sec. 1262.109 Delegations of authority.

(a) The NASA Administrator hereby delegates authority to the General
Counsel or designee to take final action on matters pertaining to the
Act, other than the authority for final fee determination after Agency
review pursuant to Sec. 1262.308.
(b) The NASA Administrator may, in particularly specified matters
under the Act, delegate authority to officials other than those
designated in paragraph (a) of this section.

Subpart 1262.2_Information Required From Applicants

Sec. 1262.201 Contents of application.

(a) An application for an award of fees and expenses under the Act
shall identify the applicant and the proceeding for which an award is
sought.

[[Page 235]]

The application shall show that the applicant has prevailed and identify
the position of an agency or agencies in the proceeding that the
applicant alleges was not substantially justified. Unless the applicant
is an individual, the application shall also state the number of
employees of the applicant and describe briefly the type and purpose of
its organization or business.
(b) The application shall also include a statement that the
applicant's net worth does not exceed $2 million (if an individual) or
$7 million (for all other applicants, including their affiliates).
However, an applicant may omit this statement if the applicant:
(1) Attaches a copy of a ruling by the Internal Revenue Service that
it qualifies as an organization described in section 501(c)(3) of the
Internal Revenue Code (26 U.S.C. 501(c)(3)), or, in the case of a tax-
exempt organization not required to obtain a ruling from the Internal
Revenue Service on its exempt status, a statement that describes the
basis for the applicant's belief that it qualifies under such section;
or
(2) States that it is a cooperative association as defined in
section 15(a) of the Agricultural Marketing Act (12 U.S.C. 1141j(a)).
(c) The application shall state the amount of fees and expense for
which an award is sought.
(d) The application may also include any other matters that the
applicant wishes this Agency to consider in determining whether and in
what amount an award should be made.
(e) The application shall be signed by the applicant or an
authorized officer or attorney of the applicant. It shall also contain
or be accompanied by a written verification under oath or under penalty
of perjury that the information provided in the application is true and
correct.

[51 FR 15311, Apr. 23, 1986, as amended at 80 FR 42029, July 16, 2015]

Sec. 1262.202 Net worth exhibit.

(a) Each applicant except a qualified tax-exempt organization or
cooperative association must provide with its application a detailed
exhibit showing the net worth of the applicant and any affiliates (as
defined in Sec. 1262.104(f) when the proceeding was initiated. The
exhibit may be in any form convenient to the applicant that provides
full disclosure of the applicant's and its affiliates' assets and
liabilities and is sufficient to determine whether the applicant
qualifies under the standards in this part. The adjudicative officer may
require an applicant to file additional information to determine its
eligibility for an award.
(b) Ordinarily, the net worth exhibit will be included in the public
records of the proceeding. However, an applicant that objects to public
disclosure of information in any portion of the exhibit and believes
there are legal grounds for withholding it from disclosure may submit
that portion of the exhibit directly to the adjudicative officer in a
sealed envelope labeled ``Confidential Financial Information,''
accompanied by a motion to withhold the information from public
disclosure. The motion shall describe the information sought to be
withheld and explain, in detail, why it falls within one or more of the
specific exemptions from mandatory disclosure under the Freedom of
Information Act, 5 U.S.C. 552(b)(1)-(9), why public disclosure of the
information would adversely affect the applicant, and why disclosure is
not required in the public interest. The materials in question shall be
served on counsel representing the agency against which the applicant
seeks an award, but need not be served on any other party to the
proceeding. If the adjudicative officer finds that the information
should not be withheld from disclosure, it shall be placed in the public
record of the proceeding. Otherwise, any request to inspect or copy the
exhibit shall be disposed of in accordance with the Agency's regulations
under the Freedom of Information Act, at 14 CFR part 1206.

[51 FR 15311, Apr. 23, 1986, as amended at 80 FR 42029, July 16, 2015]

Sec. 1262.203 Documentation of fees and expenses.

The application shall be accompanied by full documentation of the
fees and expenses, including the cost of any study, analysis,
engineering report, test, project, or similar matter for which an award
is sought. A separate itemized statement, accompanied by

[[Page 236]]

an oath of affirmation under penalty of perjury (28 U.S.C. 1746), shall
be submitted for each professional firm or individual whose services are
covered by the application, showing the hours spent in connection with
the proceeding by each individual, a description of the specific
services performed, the rate at which each fee has been computed, any
expenses for which reimbursement is sought, the total amount paid or
payable by the applicant or by any other person or entity for the
services provided. The adjudicative officer may, in addition, require
the applicant to provide vouchers, receipts, or other substantiation for
any expenses claimed.

Sec. 1262.204 When an application may be filed.

(a) An application may be filed whenever the applicant has prevailed
in the proceeding or in a significant and discrete substantive portion
of the proceeding, but in no case later than 30 days after the Agency's
final disposition of the proceeding.
(b) If review or reconsideration is sought or taken of a decision as
to which an applicant believes it has prevailed, proceedings for the
award of fees shall be stayed pending final disposition of the
underlying controversy.
(c) For purposes of this rule, final disposition means the latter
of:
(1) The date on which the last ``initial decision'', in a bifurcated
proceeding, or other recommended disposition of the merits (both as to
liability and amount, if applicable) of the proceeding, by an
adjudicative officer or intermediate reviewer, becomes administratively
final;
(2) The date on which an order is issued disposing of any petitions
for reconsideration;
(3) If no petition for reconsideration is filed, the last date on
which such a petition could have been filed; or
(4) The date of a final order or any other final resolution of the
proceeding, such as a settlement or a voluntary dismissal, which is not
subject to a petition for reconsideration.

Subpart 1262.3_Procedures for Considering Applications

Sec. 1262.301 Filing and service of documents.

Any application for an award or other pleading or document related
to an application shall be filed and served on all parties to the
proceeding in the same manner as other pleadings in the proceeding,
except as provided in Sec. 1262.202(b) for confidential financial
information.

Sec. 1262.302 Answer to application.

(a) Within 30 calendar days after service of an application, counsel
representing the agency against which an award is sought may file an
answer to the application. Unless agency counsel requests an extension
of time for filing or files a statement of intent to negotiate under
paragraph (b) of this section, failure to file an answer within the 30-
day period may be treated as a consent to the award requested.
(b) If agency counsel and the applicant believe that the issues in
the fee application can be settled, they may jointly file a statement of
their intent to negotiate a settlement. The filing of this statement
shall extend the time for filing an answer for an additional 30 calendar
days, and further extensions may be granted by the adjudicative officer
upon request by agency counsel and the applicant.
(c) The answer shall explain in detail any objections to the award
requested and identify the facts relied on in support of agency
counsel's position. If the answer is based on any alleged facts not
already in the record of the proceeding, agency counsel shall include
with the answer either supporting affidavits or a request for further
proceedings under Sec. 1262.306.

Sec. 1262.303 Reply.

Within 15 calendar days after service of an answer, the applicant
may file a reply. If the reply is based on any alleged facts not already
in the record of the proceeding, the applicant shall include with the
reply either supporting affidavits or a request for further proceedings
under Sec. 1262.306.

[[Page 237]]

Sec. 1262.304 Comments by other parties.

Any party to a proceeding other than the applicant and agency
counsel may file comments about an application within 30 calendar days
after it is served, or about an answer within 15 calendar days after it
is served. A commenting party may not participate further in proceedings
on the application unless the adjudicative officer determines that the
public interest requires such participation in order to permit full
exploration of matters raised in the comments.

Sec. 1262.305 Settlement.

The applicant and agency counsel may agree on a proposed settlement
of the award before final action on the application, either in
connection with a settlement of the underlying proceeding, or after the
underlying proceeding has been concluded. If a prevailing party and
agency counsel agree on a proposed settlement of an award before an
application has been filed, the application shall be filed with the
proposed settlement.

Sec. 1262.306 Further proceedings.

(a) Ordinarily, the determination of an award will be made on the
basis of the written record. However, on request of either the applicant
or agency counsel, or on his or her own initiative, the adjudicative
officer may order further proceedings, such as an informal conference,
oral argument, additional written submissions, or, as to issues other
than substantial justification (such as the applicant's eligibility or
substantiation of fees and expenses), pertinent discovery or an
evidentiary hearing. Such further proceedings shall be held only when
necessary for full and fair resolution of the issues arising from the
application, and shall be conducted as promptly as possible.
(b) A request that the adjudicative officer order further
proceedings under this section shall specifically identify the
information sought or the disputed issues and shall explain why the
additional proceedings are necessary to resolve the issues.

Sec. 1262.307 Decision.

(a) The adjudicative officer shall issue an initial decision on the
application with 90 calendar days after completion of proceedings on the
application. The decision shall include written findings and conclusions
on such of the following as are relevant to the decision:
(1) The applicant's eligibility and status as a prevailing party;
(2) Whether the Agency's position was substantially justified;
(3) Whether the applicant unreasonably protracted the proceedings,
or whether special circumstances make an award unjust; and
(4) The amounts, if any, awarded for fees and expenses with an
explanation of the reasons for any difference between the amount
requested and the amount awarded. Further, if the applicant has sought
an award against more than one agency, the decision shall allocate
responsibility for payment of any award made among the agencies, and
shall explain the reasons for the allocation made.
(b) When the Agency appeals the underlying merits of an adversary
adjudication, no decision on an application for fees and other expenses
in connection with that adversary adjudication shall be made until a
final and unreviewable decision is rendered by the court on the appeal
or until the underlying merits of the case have been finally determined
pursuant to the appeal.

[51 FR 15311, Apr. 23, 1986, as amended at 60 FR 12669, Mar. 8, 1995]

Sec. 1262.308 Agency review.

(a) Within 30 calendar days of the receipt of the adjudicative
officer's initial decision on the fee application, either the applicant
or agency counsel may seek Agency review of the decision; or, the NASA
Administrator, upon the recommendation of the General Counsel or other
designee, may decide to review the decision based on the record. Whether
to review a decision is solely a matter within the discretion of the
NASA Administrator. A 15-day notice of such review will be given the
applicant and agency counsel, and a determination made not later than 45

[[Page 238]]

days from the date of notice. The Administrator may make a final
determination concerning the application or remand the application to
the adjudicative officer for further proceedings.
(b) If neither the applicant nor agency counsel seek review, and the
NASA Administrator does not on own initiative take a review, the
adjudicative officer's initial decision on the fee application shall be
the final administrative decision of the Agency 45 days after it is
issued.

Sec. 1262.309 Judicial review.

Judicial review of final Agency decisions on awards may be sought
under 5 U.S.C. 504(c)(2), which provides: If a party other than the
United States is dissatisfied with a determination of fees and other
expenses made under [this part], that party may, within 30 days after
the [final administrative] determination is made, appeal the
determination to the court of the United States having jurisdiction to
review the merits of the underlying decision of the agency adversary
adjudication. The court's determination of any appeal heard under this
[authority] shall be based solely on the factual record made before the
agency. The court may modify the determination of fees and other
expenses only if the court finds that the failure to make an award of
fees and other expenses, or the calculation of the amount of the award,
was unsupported by the substantial evidence.

[51 FR 15311, Apr. 23, 1986, as amended at 60 FR 12669, Mar. 8, 1995]

Sec. 1262.310 Payment of award.

(a) An applicant seeking payment of an award shall submit to the
paying agency a copy of the Agency's final decision granting the award,
accompanied by a statement that the applicant will not seek review of
the decision in the United States courts. The submission to NASA should
be addressed as follows:

Director, Financial Management Division, NASA Headquarters, Washington,
DC 20546.

(b) The Agency will pay the amount awarded to the applicant within
60 days, if feasible, unless judicial review of the award or of the
underlying decision of the adversary adjudication has been sought by the
applicant or any other party to the proceeding.

PART 1263_DEMAND FOR INFORMATION OR TESTIMONY SERVED ON AGENCY EMPLOYEES;
PROCEDURES--Table of Contents

Sec.
1263.100 Purpose and scope.
1263.101 Definitions.
1263.102 Procedure when a demand is issued in a legal proceeding
involving the United States.
1263.103 Procedure when a demand is issued in a legal proceeding not
involving the United States.
1263.104 Production, disclosure, or testimony prohibited unless
approved.
1263.105 Considerations in determining whether production or disclosure
should be made.
1263.106 Final decision of the General Counsel as to production,
disclosure, or appearance.
1263.107 Procedure to be followed when response to a demand is required
before the General Counsel or designate has reached a final
decision.
1263.108 Procedure in the event of an adverse ruling.
1263.109 Considerations in determining whether these procedures should
be waived.
1263.110 Intention to provide guidance.

Authority: 44 U.S.C. 3102, 51 U.S.C. 20113(a).

Source: 55 FR 28370, July 11, 1990, unless otherwise noted.

Sec. 1263.100 Purpose and scope.

(a) This part sets forth procedures to be followed with respect to
the production or disclosure of official information or records and/or
the testimony of present or former employees of the National Aeronautics
and Space Administration relating to any official information acquired
by any employee of NASA as part of the performance of that employee's
official duties or by virtue of that employee's official status, where a
demand for such production, disclosure, or testimony is issued in a
federal, state, or other legal proceeding.
(b) This part does not apply to any legal proceeding in which an
employee is to testify, while in leave status, as to facts or events
that are in no way related to the official duties of that

[[Page 239]]

employee or to the functions of the NASA.

Sec. 1263.101 Definitions.

(a) Agency--As referred to in this regulation, Agency means the
National Aeronautics and Space Administration.
(b) Demand--A subpoena, order, or authorized request for official
information, or for the appearance and testimony of NASA personnel,
issued as the result of a legal proceeding.
(c) Employee--Includes all present and former officers and employees
of the National Aeronautics and Space Administration who are or have
been appointed by, or subject to the supervision, jurisdiction, or
control of the Administrator of the agency.
(d) Legal proceeding--Includes any proceeding before a court of law
or equity, administrative board or commission, hearing officer, or other
body conducting a legal or administrative proceeding.
(e) Legal proceeding involving the United States--Any proceeding
before a court of law or equity brought on behalf of, or against the
United States, NASA or NASA employees, and resulting from alleged NASA
operations.
(f) Official information--All information of any kind, however
stored, that is in the custody and control of NASA or was acquired by
NASA personnel as part of official duties or because of official status
while such personnel were employed by or on behalf of the NASA.

Sec. 1263.102 Procedure when a demand is issued in a legal proceeding
involving the United States.

Whenever an employee or former employee of NASA receives a demand
for production of materials or the disclosure of information, or for
appearance and testimony as a witness in a legal proceeding in which
NASA or the United States is a party, the employee shall immediately
notify in writing the Installation Chief Counsel for Installation
employees, the General Counsel for Headquarters employees, or the
Attorney-Adviser to the Inspector General (IG) for IG employees. This
notice must include copies of all pertinent legal documents and a
summary of the employee's knowledge concerning the legal proceeding in
question. When necessary, this information may be reported orally,
followed by a written confirmation.

Sec. 1263.103 Procedure when a demand is issued in a legal proceeding
not involving the United States.

Whenever an employee or former employee of the Agency receives a
demand for production or disclosure of official information in a legal
proceeding not involving the United States, the employee shall
immediately notify the General Counsel or designate. In addition, the
party causing the demand to be issued shall furnish the Office of
General Counsel a written, detailed statement of the information sought
and its relevance to the proceeding in connection with which it is
requested. The General Counsel or designate may waive the requirement
that a written summary be furnished where he/she deems it unnecessary.
The election to waive the requirement of a written summary in no way
constitutes a waiver of any other requirements set forth in this
section.

Sec. 1263.104 Production, disclosure, or testimony prohibited unless
approved.

If an employee or former employee receives a demand to produce or
disclose official information, that employee may not disclose such
materials or information or testify regarding same without the prior
approval of the General Counsel or designate.

Sec. 1263.105 Considerations in determining whether production or
disclosure should be made.

The General Counsel or designate shall direct employees to honor all
valid demands. In deciding whether a particular demand is valid, the
General Counsel or designate may consider:
(a) Whether such disclosure or appearance is appropriate under the
rules of procedure governing the legal proceeding in which the demand
arose.
(b) Whether disclosure is appropriate under the relevant substantive
law concerning privilege.
(c) Whether disclosure might improperly reveal trade secrets, or
commercial or financial information that is confidential or privileged.

[[Page 240]]

(d) Whether disclosure might reveal classified information.
(e) Whether disclosure would violate a specific applicable
constitutional provision, federal statute or regulation, or executive
order.
(f) Whether appearance of the requested employee would seriously
implicate an interest of the Agency such as conservation of employee
time for conducting official business, avoidance of expending
appropriated monies for non-federal purposes, or avoidance of involving
the agency in controversial issues not related to its mission.

Sec. 1263.106 Final decision of the General Counsel as to production,
disclosure, or appearance.

After consideration of the factors enumerated in Sec. 1263.105 (a)
through (f), the General Counsel or designate may authorize the
testimony, disclosure, or production as demanded; limit the subject
matter or extent of any testimony, disclosure, or production through
written instruction to the employee; or deny permission for any
testimony, disclosure, or production. Where appropriate, the General
Counsel or designate may seek withdrawal of the demand by the
authorizing party. Any decision of the General Counsel or designate
shall be final and shall be communicated to the employee and the party
causing the demand to be issued.

Sec. 1263.107 Procedure to be followed when response to a demand is
required before the General Counsel or designate has reached a final
decision.

If a response to a demand is required before the General Counsel or
designate can render a decision, the employee subpoenaed, or an agency
attorney or other government attorney designated for that purpose, shall
appear on behalf of the employee and shall furnish the authority which
issued the demand a copy of these regulations, and inform the authority
that the demand has been referred for the prompt consideration of the
General Counsel, and shall respectfully request the authority to stay
the demand until the General Counsel or designate has rendered a final
decision.

Sec. 1263.108 Procedure in the event of an adverse ruling.

If the court or other authority which caused the demand to be issued
declines to stay the effect of the demand pending a final decision by
the General Counsel or designate; or if the General Counsel or designate
directs that the employee may not comply with the demand, and a court or
other authority rules that the demand must be complied with irrespective
of that decision, the employee upon whom the demand has been made, or an
agency or other governmental attorney, shall respectfully decline to
comply with the demand and shall cite, ``United States ex rel. Touhy v.
Ragen, et al., 340 U.S. 462 (1951).''

Sec. 1263.109 Considerations in determining whether these procedures
should be waived.

The General Counsel or designate may grant permission to deviate
from the policy or procedure established in these regulations.
Permission to deviate will be granted when the deviation will not
interfere with matters of operational necessity and when:
(a) It is necessary to prevent a miscarriage of justice; or
(b) The deviation is in the best interests of NASA or the United
States.

Sec. 1263.110 Intention to provide guidance.

This part is intended to provide guidance for the internal operation
of NASA and is not intended to, does not, and may not be relied upon to
create any right of benefit--substantive or procedural--enforceable at
law against the United States or NASA.

PART 1264_IMPLEMENTATION OF THE PROGRAM FRAUD CIVIL PENALTIES ACT OF
1986--Table of Contents

Sec.
1264.100 Basis and purpose.
1264.101 Definitions.
1264.102 Basis for civil penalties and assessments.
1264.103 Investigation.
1264.104 Review by the reviewing official.
1264.105 Prerequisites for issuing a complaint.
1264.106 Complaint.
1264.107 Service of complaint.

[[Page 241]]

1264.108 Answer.
1264.109 Default upon failure to file an answer.
1264.110 Referral of complaint and answer to the presiding officer.
1264.111 Notice of hearing.
1264.112 Parties to the hearing.
1264.113 Separation of functions.
1264.114 Ex parte contacts.
1264.115 Disqualification of reviewing official or presiding officer.
1264.116 Rights of parties.
1264.117 Authority of the presiding officer.
1264.118 Prehearing conferences.
1264.119 Disclosure of documents.
1264.120 Discovery.
1264.121 Exchange of witness lists, statements, and exhibits.
1264.122 Subpoena for attendance at hearing.
1264.123 Protective order.
1264.124 Fees.
1264.125 Form, filing, and service of papers.
1264.126 Computation of time.
1264.127 Motions.
1264.128 Sanctions.
1264.129 The hearing and burden of proof.
1264.130 Determining the amount of penalties and assessments.
1264.131 Location of hearing.
1264.132 Witnesses.
1264.133 Evidence.
1264.134 The record.
1264.135 Post-hearing briefs.
1264.136 Initial decision.
1264.137 Reconsideration of initial decision.
1264.138 Appeal to authority head.
1264.139 Stays ordered by the Department of Justice.
1264.140 Stay pending appeal.
1264.141 Judicial review.
1264.142 Collection of civil penalties and assessments.
1264.143 Right to administrative offset.
1264.144 Deposit in Treasury of United States.
1264.145 Compromise or settlement.
1264.146 Limitations.

Appendix A to Part 1264--Notice To Consent to the Chairperson, NASA
Board of Contract Appeals (BCA), or Designee, as Presiding
Officer

Authority: 31 U.S.C. 3809, 51 U.S.C. 20113(a).

Source: 52 FR 39498, Oct. 22, 1987, unless otherwise noted.

Sec. 1264.100 Basis and purpose.

(a) Basis. This part implements the Program Fraud Civil Remedies Act
of 1986, Pub. L. 99-509, sections 6101-6104, 100 Stat. 1874 (October 21,
1986), to be codified at 31 U.S.C. 3801-3812. 31 U.S.C. 3809 of the
statute requires each authority head to promulgate regulations necessary
to implement the provisions of the statute.
(b) Purpose. This part does the following:
(1) Establishes administrative procedures for imposing civil
penalties and assessments against persons who make, submit, or present,
or cause to be made, submitted, or presented, false, fictitious, or
fraudulent claims or written statements to authorities or to their
agents; and
(2) Specifies the hearing and appeal rights of persons subject to
allegations of liability for such penalties and assessments.

Sec. 1264.101 Definitions.

(a) ALJ means an Administrative Law Judge in the authority appointed
pursuant to 5 U.S.C. 3105 or detailed to the authority pursuant to 5
U.S.C. 3344. For purposes of this part, the ALJ shall be referred to as
the presiding officer.
(b) Authority means the National Aeronautics and Space
Administration (NASA).
(c) Authority head means the NASA Administrator or Deputy
Administrator or designee. For purposes of this regulation, the NASA
General Counsel or Deputy General Counsel is designated legal counsel to
the Authority head.
(d) Benefit means, in the context of statement, anything of value,
including but not limited to any advantage, preference, privilege,
license, permit, favorable decision, ruling, status, or loan guarantee.
(e) Claim means any request, demand, or submission--
(1) Made to the authority for property, services, or money
(including money representing grants, loans, insurance, or benefits);
(2) Made to a recipient of property, services, or money from the
authority or to a party to a contract with the authority--
(i) For property or services if the United States--
(A) Provided such property or services;
(B) Provided any portion of the funds for the purchase of such
property or services; or

[[Page 242]]

(C) Will reimburse such recipient or party for the purchase of such
property or services; or
(ii) For the payment of money (including money representing grants,
loans, insurance, or benefits) if the United States--
(A) Provided any portion of the money requested or demanded; or
(B) Will reimburse such recipient or party for any portion of the
money paid on such request or demand; or
(iii) Made to the authority which has the effect of decreasing an
obligation to pay or account for property, services, or money.
(f) Complaint means the administrative complaint served by the
reviewing official on the defendant under Sec. 1264.106.
(g) Consent hearing means that the authority and the defendant
consent, as provided in Sec. 1264.106(c), that the presiding officer be
the Chairperson of the NASA Board of Contract Appeals (BCA). The
Chairperson may designate another administrative judge of the NASA BCA
as presiding officer in a consent hearing.
(h) Defendant means any person alleged in a complaint under
Sec. 1264.106 to be liable for a civil penalty or assessment under
Sec. 1264.102.
(i) Government means the United States Government.
(j) Individual means a natural person.
(k) Initial decision means the written decision of the ALJ or
presiding officer required by Sec. 1264.109 or Sec. 1264.136, and
includes a revised initial decision issued following a remand or a
motion for reconsideration.
(l) Investigating official means the NASA Inspector General, or
designee who is serving in a position for which the rate of basic pay is
not less than the minimum rate of basic pay for grade GS-16 under the
General Schedule.
(m) Knows or has reason to know, means that a person with respect to
a claim or statement--
(1) Has actual knowledge that the claim or statement is false,
fictitious, or fraudulent;
(2) Acts in deliberate ignorance of the truth or falsity of the
claim or statement; or
(3) Acts in reckless disregard of the truth or falsity of the claim
or statement.
(n) Makes, wherever it appears, shall include the terms presents,
submits, and causes to be made, presented, or submitted. As the context
requires, making or made shall likewise include the corresponding forms
of such terms.
(o) Person means any individual, partnership, corporation,
association, or private organization, and includes the plural of that
term.
(p) Presiding officer, except as provided for pursuant to consent
trial notice, means (if the authority is not subject to the provisions
of Subchapter II of Chapter 5, Title 5, U.S.C.) an officer or employee
of the authority who--
(1) Is selected under Chapter 33 of Title 5 pursuant to the
competitive examination process applicable to administrative law judges;
(2) Is appointed by the authority head to conduct hearings under
this part;
(3) Is assigned to cases in rotation so far as practicable;
(4) May not perform duties inconsistent with the duties and
responsibilities of a presiding officer;
(5) Is entitled to pay prescribed by the Office of Personnel
Management independently of ratings and recommendations made by the
authority and in accordance with Chapter 51 of such Title and Subchapter
III of Chapter 53 of such Title;
(6) Is not subject to performance appraisal pursuant to Chapter 43
of such Title; and
(7) May be removed, suspended, furloughed, or reduced in grade or
pay only for good cause established and determined by the Merit Systems
Protection Board on the record after opportunity for hearing by such
Board.
(q) Representative means an attorney who is in good standing of the
bar of any State, Territory, or possession of the United States, or of
the District of Columbia, or of the Commonwealth of Puerto Rico.
(r) Reviewing official means the NASA Associate Administrator for
Management. For purposes of this regulation, the Associate General
Counsel (General) or designee is designated legal counsel to the
Reviewing official.

[[Page 243]]

(s) Statement means any representation, certification, affirmation,
document, record, or accounting or bookkeeping entry made--
(1) With respect to a claim or to obtain the approval or payment of
a claim (including relating to eligibility to make a claim); or
(2) With respect to (including relating to eligibility for)--
(i) A contract with, or a bid or proposal for a contract with; or
(ii) A grant, loan, or benefit from the authority, or any State,
political subdivision of a State, or other party, if the United States
Government provides any portion of the money or property under such
contract or for such grant, loan, or benefit, or if the Government will
reimburse such State, political subdivision, or party for any portion of
the money or property under such contract or for such grant, loan, or
benefit.

[52 FR 39498, Oct. 22, 1987, as amended at 54 FR 599, Jan. 9, 1989]

Sec. 1264.102 Basis for civil penalties and assessments.

(a) Claims. (1) Any person who makes a claim that the person knows
or has reason to know--
(i) Is false, fictitious, or fraudulent;
(ii) Includes or is supported by any written statement which asserts
a material fact which is false, fictitious, or fraudulent;
(iii) Includes or is supported by any written statement that--
(A) Omits a material fact;
(B) Is false, fictitious, or fraudulent as a result of such
omission; and
(C) Is a statement in which the person making such statement has a
duty to include such material fact; or
(iv) Is for payment for the provision of property or services which
the person has not provided as claimed--

Shall be subject, in addition to any other remedy that may be prescribed
by law, to a civil penalty of not more than $5,000 for each such claim.
(2) Each voucher, invoice, claim form, or other individual request
or demand for property, services, or money constitutes a separate claim.
(3) A claim shall be considered made to the authority, recipient, or
party when such claim is actually made to an agent, fiscal intermediary,
or other entity, including any State or political subdivision thereof,
acting for or on behalf of the authority, recipient, or party.
(4) Each claim for property, services, or money is subject to a
civil penalty regardless of whether such property, services, or money is
actually delivered or paid.
(5) If the Government has made any payment (including transferred
property or provided services) on a claim, a person subject to a civil
penalty under paragraph (a)(1) of this section shall also be subject to
an assessment of not more than twice the amount of such claim or that
portion thereof that is determined to be in violation. Such assessment
shall be in lieu of damages sustained by the Government because of such
claim.
(b) Statements. (1) Any person who makes a written statement that--
(i) The person knows or has reason to know--
(A) Asserts a material fact which is false, fictitious, or
fraudulent; or
(B) Is false, fictitious, or fraudulent because it omits a material
fact that the person making the statement has a duty to include in such
statement; and
(ii) Contains or is accompanied by an express certification or
affirmation of the truthfulness and accuracy of the contents of the
statement--

Shall be subject, in addition to any other remedy that may be prescribed
by law, to a civil penalty of not more than $5,000 for each such
statement.
(2) Each written representation, certification, or affirmation
constitutes a separate statement.
(3) A statement shall be considered made to the authority when such
statement is actually made to an agent, fiscal intermediary, or other
entity, including any State or political subdivision thereof, acting for
or on behalf of the authority.
(c) No proof of specific intent to defraud is required to establish
liability under this section.
(d) In any case in which it is determined that more than one person
is liable for making a claim or statement under this section, each such
person may be held liable for a civil penalty under this section.

[[Page 244]]

(e) In any case in which it is determined that more than one person
is liable for making a claim under this section on which the Government
has made payment (including transferred property or provided services),
an assessment may be imposed against any such person or jointly and
severally against any combination of such persons.

[52 FR 39498, Oct. 22, 1987, as amended at 54 FR 599, Jan. 9, 1989]

Sec. 1264.103 Investigation.

(a) If an investigating official concludes that a subpoena pursuant
to the authority conferred by 31 U.S.C. 3804(a) is warranted--
(1) The subpoena so issued shall notify the person to whom it is
addressed of the authority under which the subpoena is issued and shall
identify the records or documents sought;
(2) The subpoena may designate the person, to act on the
investigating official's behalf, to receive the documents sought; and
(3) The person receiving such subpoena shall be required to tender
to the investigating official or the person designated to receive the
documents a certification that the documents sought have been produced,
or that such documents are not available and the reasons therefor, or
that such documents, suitably identified, have been withheld based upon
the assertion of an identified privilege.
(b) If the investigating official concludes that an action under the
Program Fraud Civil Remedies Act may be warranted, the investigating
official shall submit a report containing the findings and conclusions
of such investigation to the reviewing official.
(c) Nothing in this section shall preclude or limit the
investigating official's discretion to refer allegations directly to the
Department of Justice for suit under the False Claims Act or other civil
relief, or to defer or postpone a report of referral to the reviewing
official to avoid interference with a criminal investigation or
prosecution.
(d) Nothing in this section modifies any responsibility of the
investigating official to report violations of criminal law to the
Attorney General.

[52 FR 39498, Oct. 22, 1987, as amended at 54 FR 599, Jan. 9, 1989]

Sec. 1264.104 Review by the reviewing official.

(a) If, based on the report of the investigating official under
Sec. 1264.103(b), the reviewing official determines that there is
adequate evidence to believe that a person is liable under Sec. 1264.102
of this part, the reviewing official shall transmit to the Attorney
General a written notice of the reviewing official's intention to issue
a complaint under Sec. 1264.106.
(b) Such notice shall include--
(1) A statement of the reviewing official's reasons for issuing a
complaint;
(2) A statement specifying the evidence that supports the
allegations of liability;
(3) A description of the claims or statements upon which the
allegations of liability are based;
(4) An estimate of the amount of money or the value of property,
services, or other benefits requested or demanded in violation of
Sec. 1264.102 of this part;
(5) A statement of any exculpatory or mitigating circumstances that
may relate to the claims or statements known by the reviewing official
or the investigating official; and
(6) A statement that there is a reasonable prospect of collecting an
appropriate amount of penalties and assessments. Such a statement may be
based upon information then known or an absence of any information
indicating that the person may be unable to pay such an amount.

Sec. 1264.105 Prerequisites for issuing a complaint.

(a) The reviewing official may issue a complaint under Sec. 1264.106
only if--
(1) The Department of Justice approves the issuance of a complaint
in a written statement described in 31 U.S.C. 3803(b)(1); and
(2) In the case of allegations of liability under Sec. 1264.102(a)
with respect to a claim, the reviewing official determines that, with
respect to such claim or a group of related claims submitted

[[Page 245]]

at the same time such claim is submitted (as defined in paragraph (b) of
this section), the amount of money or the value of property or services
demanded or requested in violation of Sec. 1264.102(a) does not exceed
$150,000.
(b) For the purposes of this section, a related group of claims
submitted at the same time shall include only those claims arising from
the same transaction (e.g., grant, loan, application, or contract) that
are submitted simultaneously as part of a single request, demand, or
submission.
(c) Nothing in this section shall be construed to limit the
reviewing official's authority to join in a single complaint against a
person claims that are unrelated or were not submitted simultaneously,
regardless of the amount of money or the value of property or services
demanded or requested.

Sec. 1264.106 Complaint.

(a) On or after the date the Department of Justice approves the
issuance of a complaint in accordance with 31 U.S.C. 3803(b)(1), the
reviewing official may serve a complaint on the defendant, as provided
in Sec. 1264.107.
(b) The complaint shall state--
(1) The allegations of liability against the defendant, including
the statutory basis for liability, an identification of the claims or
statements that are the basis for the alleged liability, and the reasons
why liability allegedly arises from such claims or statements;
(2) The maximum amount of penalties and assessments for which the
defendant may be held liable;
(3) Instructions for filing an answer to request a hearing,
including a specific statement of the defendant's right to request a
hearing by filing an answer and to be represented by a representative;
and
(4) That failure to file an answer within 30 days of service of the
complaint will result in the imposition of the maximum amount of
penalties and assessments without right to appeal as provided in
Sec. 1264.109.
(c) At the same time the defendant is served with the complaint, he
or she shall also be served with a--
(1) Notice to Consent to the Chairperson of the NASA Board of
Contract Appeals (BCA), or Designee, as presiding officer;
(2) Copy of this part 1264 of 14 CFR.

[52 FR 39498, Oct. 22, 1987, as amended at 54 FR 599, Jan. 9, 1989]

Sec. 1264.107 Service of complaint.

(a) Service of a complaint must be made by certified or registered
mail or by delivery in any manner authorized by Rule 4(d) of the Federal
Rules of Civil Procedure.
(b) Proof of service, stating the name and address of the person on
whom the complaint was served, and the manner and date of service, may
be made by--
(1) Affidavit of the individual servicing the complaint by delivery;
(2) A United States Postal Service return receipt card acknowledging
receipt; or
(3) Written acknowledgment of receipt by the defendant or his/her
representative.

[52 FR 39498, Oct. 22, 1987, as amended at 54 FR 600, Jan. 9, 1989]

Sec. 1264.108 Answer.

(a) The defendant may request a hearing by filing an answer with the
reviewing official within 30 days of service of the complaint. An answer
shall be deemed to be a request for hearing.
(b) In the answer, the defendant--
(1) Shall admit or deny each of the allegations of liability made in
the complaint;
(2) Shall state any defense on which the defendant intends to rely;
(3) May state any reasons why the defendant contends that the
penalties and assessments should be less than the statutory maximum; and
(4) Shall state the name, address, and telephone number of the
person authorized by the defendant to act as defendant's representative,
if any.
(c) If the defendant is unable to file an answer meeting the
requirements of paragraph (b) of this section within the time provided,
the defendant may, before the expiration of 30 days from service of the
complaint, file with the reviewing official a general answer denying
liability and requesting a hearing, and a request for an extension of
time within which to file an answer

[[Page 246]]

meeting the requirements of paragraph (b) of this section. The reviewing
official, as provided in Sec. 1264.110, shall file promptly with the
presiding officer the complaint, the general answer denying liability,
and the request for an extension of time. For good cause shown, the
presiding officer may grant the defendant up to 30 additional days
within which to file an answer meeting the requirements of paragraph (b)
of this section.

[52 FR 39498, Oct. 22, 1987, as amended at 54 FR 600, Jan. 9, 1989]

Sec. 1264.109 Default upon failure to file an answer.

(a) If the defendant does not file an answer within the time
prescribed in Sec. 1264.108(a), the reviewing official may refer the
complaint to the presiding officer.
(b) Upon the referral of the complaint, the presiding officer shall
promptly serve on defendant, in the manner prescribed in Sec. 1264.107,
a notice that an initial decision will be issued under this section.
(c) If the defendant fails to answer, the presiding officer shall
assume the facts alleged in the complaint to be true and, if such facts
establish liability under Sec. 1264.102, the presiding officer shall
issue an initial decision imposing the maximum amount of penalties and
assessments allowed under the statute.
(d) Except as otherwise provided in this section, by failing to file
a timely answer, the defendant waives any right to further review of the
penalties and assessments imposed under paragraph (c) of this section,
and the initial decision shall become final and binding upon the parties
30 days after it is issued.
(e) If, before such an initial decision becomes final, the defendant
files a motion with the presiding officer seeking to reopen on the
grounds that extraordinary circumstances prevented the defendant from
filing an answer, the initial decision shall be stayed pending the
presiding officer's decision on the motion.
(f) If, on such motion, the defendant can demonstrate extraordinary
circumstances excusing the failure to file a timely answer, the
presiding officer shall withdraw the initial decision under paragraph
(c) of this section, if such a decision has been issued, and shall grant
the defendant an opportunity to answer the complaint.
(g) A decision of the presiding officer denying a defendant's motion
under paragraph (e) of this section is not subject to reconsideration
under Sec. 1264.137.
(h) The defendant may appeal to the authority head the decision
denying a motion to reopen by filing a notice of appeal with the
authority head within 15 days after the presiding officer denies the
motion. The timely filing of a notice of appeal shall stay the initial
decision until the authority head decides the issue.
(i) If the defendant files a timely notice of appeal with the
authority head, the presiding officer shall forward the record of the
proceeding to the authority head.
(j) The authority head shall decide expeditiously whether
extraordinary circumstances excuse the defendant's failure to file a
timely answer based solely on the record before the presiding officer.
(k) If the authority head decides that extraordinary circumstances
excused the defendant's failure to file a timely answer, the authority
head shall remand the case to the presiding officer with instructions to
grant the defendant an opportunity to answer.
(l) If the authority head decides that the defendant's failure to
file a timely answer is not excused, the authority head shall reinstate
the initial decision of the presiding officer, which shall become final
and binding upon the parties 30 days after the authority head issues
such decision.

[52 FR 39498, Oct. 22, 1987, as amended at 80 FR 42029, July 16, 2015]

Sec. 1264.110 Referral of complaint and answer to the presiding officer.

Upon receipt of an answer, the reviewing official shall file the
complaint and answer with the presiding officer, and include the name
and address of the attorney who will represent the authority before the
presiding officer.

Sec. 1264.111 Notice of hearing.

(a) When the presiding officer receives the complaint and answer,
the

[[Page 247]]

presiding officer shall promptly serve a notice of hearing upon the
defendant in the manner prescribed by Sec. 1264.107. At the same time,
the presiding officer shall send a copy of such notice to the
representative of the authority.
(b) Such notice shall include--
(1) The tentative time and place, and the nature of the hearing;
(2) The legal authority and jurisdiction under which the hearing is
to be held;
(3) The matters of fact and law asserted;
(4) A description of the procedures for the conduct of the hearing;
(5) The name, address, and telephone number of the representative of
the authority and of the defendant;
(6) An opportunity for a settlement conference or proposals of
adjustment through alternative dispute resolutions, if not already
explored; and
(7) Such other matters as the presiding officer deems appropriate.

[52 FR 39498, Oct. 22, 1987, as amended at 80 FR 42029, July 16, 2015]

Sec. 1264.112 Parties to the hearing.

(a) The parties to the hearing shall be the defendant and the
authority.
(b) Pursuant to 31 U.S.C. 3730(c)(5), a private plaintiff under the
False Claims Act, as amended, may participate in these proceedings to
the extent authorized by the provisions of that Act. (See section 3 of
the False Claims Amendments Act of 1986, Pub. L. 99-562, October 27,
1986.)

Sec. 1264.113 Separation of functions.

(a) The investigating official, the reviewing official, and any
employee or agent of the authority who takes part in investigating,
preparing, or presenting a particular case may not, in such case or a
factually related case--
(1) Participate in the hearing as the presiding officer;
(2) Participate or advise in the initial decision or the review of
the initial decision by the authority head, except as a witness or as
the authority representative in the administrative or judicial
proceedings; or
(3) Make the collection of penalties and assessments under 31 U.S.C.
3806.
(b) The presiding officer shall not be responsible to, or subject to
the supervision or direction of, the investigating official or the
reviewing official.
(c) Except as provided in paragraph (a) of this section, the
representative for the Government must be a member of the legal staff of
the authority. Nothing in this paragraph is intended to prevent
assistance to the Government representative by attorneys in the NASA
organization or other governmental entities.

Sec. 1264.114 Ex parte contacts.

No party or person (except employees of the presiding officer's
office) shall communicate in any way with the presiding officer on any
matter at issue in a case, unless on notice and opportunity for all
parties to participate. This provision does not prohibit a person or
party from inquiring about the status of a case or asking routine
questions concerning administrative functions or procedures.

[54 FR 600, Jan. 9, 1989]

Sec. 1264.115 Disqualification of reviewing official or presiding officer.

(a) A reviewing official or presiding officer in a particular case
may disqualify himself or herself at any time.
(b) A party may file with the presiding officer a motion for
disqualification of a reviewing official or a presiding officer. Such
motion shall be accompanied by an affidavit alleging personal bias or
other reason for disqualification.
(c) Such motion and affidavit shall be filed promptly upon the
party's discovery of reasons for disqualification, or such objections
shall be deemed waived.
(d) Such affidavit shall state specific facts that support the
party's belief that personal bias or other reason for disqualification
exists and the time and circumstances of the party's discovery of such
facts. It shall be accompanied by a certificate of the representative of
record that it is made in good faith.
(e) Upon the filing of such a motion and affidavit, the presiding
officer shall proceed no further in the case until the matter of
disqualification is resolved in accordance with paragraph (f) of this
section.

[[Page 248]]

(f)(1) If the presiding officer determines that a reviewing official
is disqualified, the presiding officer shall dismiss the complaint
without prejudice.
(2) If the presiding officer disqualifies himself or herself, the
case shall be reassigned promptly to another presiding officer.
(3) If the presiding officer denies a motion to disqualify, the
authority head may determine the matter only as part of his or her
review of the initial decision upon appeal, if any.

Sec. 1264.116 Rights of parties.

Except as otherwise limited by this part, all parties may--
(a) Be accompanied, represented, and advised by a representative;
(b) Participate in any conference held by the presiding officer;
(c) Conduct discovery;
(d) Agree to stipulations of fact or law, which shall be made part
of the record;
(e) Present evidence relevant to the issues at the hearing;
(f) Present and cross-examine witnesses;
(g) Present oral arguments at the hearing as permitted by the
presiding officer; and
(h) Submit written briefs and proposed findings of fact and
conclusions of law after the hearing.

[52 FR 39498, Oct. 22, 1987, as amended at 80 FR 42029, July 16, 2015]

Sec. 1264.117 Authority of the presiding officer.

(a) The presiding officer shall conduct a fair and impartial
hearing, avoid delay, maintain order, and assure that a record of the
proceeding is made.
(b) The presiding officer has the authority to--
(1) Set and change the date, time, and place of the hearing upon
reasonable notice to the parties;
(2) Continue or recess the hearing in whole or in part for a
reasonable period of time;
(3) Hold conferences to identify or simplify the issues, or to
consider other matters, including settlement conferences or other
alternative dispute resolution, that may aid in the fair and expeditious
disposition of the proceeding;
(4) Administer oaths and affirmations;
(5) Issue subpoenas, requiring the attendance of witnesses and the
production of documents at depositions or at hearings, which the
presiding officer considers relevant and material;
(6) Rule on motions and other procedural matters;
(7) Regulate the scope and timing of discovery;
(8) Regulate the course of the hearing and the conduct of
representatives and parties;
(9) Examine witnesses;
(10) Receive, rule on, exclude, or limit evidence;
(11) Upon motion of a party, take official notice of facts;
(12) Upon motion of a party, decide cases, in whole or in part, by
summary judgment where there is no genuine issue as to any material
fact;
(13) Conduct any conference, argument, or hearing on motions in
person or by telephone; and
(14) Exercise such other authority as is necessary to carry out the
responsibilities of the presiding officer under this part.
(c) The presiding officer does not have the authority to find
Federal statutes or regulations invalid.

[52 FR 39498, Oct. 22, 1987, as amended at 54 FR 600, Jan. 9, 1989]

Sec. 1264.118 Prehearing conferences.

(a) The presiding officer may schedule prehearing conferences as
appropriate.
(b) Upon the motion of any party, the presiding officer shall
schedule at least one prehearing conference at a reasonable time in
advance of the hearing.
(c) The presiding officer may use prehearing conferences to discuss
the following:
(1) Simplification of the issues;
(2) The necessity or desirability of amendments to the pleadings,
including the need for a more definite statement;
(3) Stipulations and admissions of fact or as to the contents and
authenticity of documents;

[[Page 249]]

(4) Whether the parties can agree to submission of the case on a
stipulated record;
(5) Whether a party chooses to waive appearance at an oral hearing
and to submit only documentary evidence (subject to the objections of
other parties) and written arguments;
(6) Limitation of the number of witnesses;
(7) Scheduling dates for the exchange of witness lists and of
proposed exhibits;
(8) Discovery;
(9) The time and place for the hearing; and
(10) Such other matters, including settlement, as may tend to
expedite the fair and just disposition of the proceedings.
(d) The presiding officer may issue an order containing all matters
agreed upon by the parties or ordered by the presiding officer at a
prehearing conference.

[52 FR 39498, Oct. 22, 1987, as amended at 54 FR 600, Jan. 9, 1989]

Sec. 1264.119 Disclosure of documents.

(a) Upon written request to the reviewing official, the defendant
may review any relevant and material documents, transcripts, records,
and other materials that relate to the allegations set out in the
complaint and upon which the findings and conclusions of the
investigating official under Sec. 1264.103(b) are based unless such
documents are subject to a privilege under Federal law. Upon payment of
a reasonable fee for duplication, the defendant may obtain copies of
such documents.
(b) Upon written request to the reviewing official, the defendant
also may obtain a copy of all exculpatory information in the possession
of the reviewing official or investigating official relating to the
allegations in the complaint, even if it is contained in a document that
would otherwise be privileged. If the document would otherwise be
privileged, only that portion containing exculpatory information must be
disclosed.
(c) The notice sent to the Attorney General from the reviewing
official as described in Sec. 1264.104 is not discoverable under any
circumstances.
(d) The defendant may file a motion to compel disclosure of the
documents subject to the provisions of this section. Such a motion may
only be filed with the presiding officer following the filing of an
answer pursuant to Sec. 1264.108.

Sec. 1264.120 Discovery.

(a) The following types of discovery are authorized:
(1) Requests for production of documents for inspection and copying;
(2) Requests for admissions of the authenticity of any relevant
document or of the truth of any relevant fact;
(3) Written interrogatories; and
(4) Depositions.
(b) For the purpose of this section and Secs. 1264.121 and 1264.122,
the term documents includes information, documents, reports, answers,
records, accounts, papers, and other data and documentary evidence which
the presiding officer considers relevant and material to the hearing.
Nothing contained herein shall be interpreted to require the creation of
a document.
(c) Unless mutually agreed to by the parties, discovery is available
only as ordered by the presiding officer. The presiding officer shall
regulate the timing of discovery.
(d) Motions for discovery. (1) A party seeking discovery may file a
motion with the presiding officer. Such a motion shall be accompanied by
a copy of the discovery request or, in the case of depositions, a
summary of the scope of the proposed deposition.
(2) Within 10 days of service, a party may file an opposition to the
motion and/or a motion for protective order as provided in
Sec. 1264.123.
(3) The presiding officer may grant a motion for discovery only if
he/she finds that the discovery sought--
(i) Is necessary for the expeditious, fair, and reasonable
consideration of the issues;
(ii) Is not unduly costly or burdensome;
(iii) Will not unduly delay the proceeding; and
(iv) Does not seek privileged information.
(4) The burden of showing that discovery should be allowed is on the
party seeking discovery.

[[Page 250]]

(5) The presiding officer may grant discovery subject to a
protective order under Sec. 1264.123.
(e) Depositions. (1) If a motion for deposition is granted, the
presiding officer shall issue a subpoena for the deponent, which may
require the deponent to produce documents. The subpoena shall specify
the time and place at which the deposition will be held.
(2) The party seeking to depose shall serve the subpoena in the
manner prescribed in Sec. 1264.107.
(3) The deponent may file with the presiding officer a motion to
quash the subpoena or a motion for a protective order within 10 days of
service.
(4) The party seeking to depose shall provide for the taking of a
verbatim transcript of the deposition, which it shall make available to
all other parties for inspection and copying.
(f) Each party shall bear its own costs of discovery.

Sec. 1264.121 Exchange of witness lists, statements, and exhibits.

(a) At least 15 days before the hearing or at such other time as may
be ordered by the presiding officer, the parties shall exchange witness
lists, copies of prior statements of proposed witnesses, and copies of
proposed hearing exhibits, including copies of any written statements
that the party intends to offer in lieu of live testimony in accordance
with paragraph (b) of Sec. 1264.132. At the time the above documents are
exchanged, any party that intends to rely on the transcript of
deposition testimony in lieu of live testimony at the hearing, if
permitted by the presiding officer, shall provide each party with a copy
of the specific pages of the transcript it intends to introduce into
evidence.
(b) If a party objects, the presiding officer shall not admit into
evidence the testimony of any witness whose name does not appear on the
witness list or any exhibit not provided to the opposing party, in
accordance with paragraph (a) of this section, unless the presiding
officer finds goods cause for the failure or that there is no prejudice
to the objecting party.
(c) Unless another party objects within the time set by the
presiding officer, documents exchanged in accordance with paragraph (a)
of this section shall be deemed to be authentic for the purpose of
admissibility at the hearing.

Sec. 1264.122 Subpoena for attendance at hearing.

(a) A party wishing the appearance and testimony of any individual
at the hearing may request that the presiding officer issue a subpoena.
(b) A subpoena requiring the attendance and testimony of an
individual may also require the individual to produce documents at the
hearing.
(c) A party seeking a subpoena shall file a written request therefor
not less than 15 days before the date fixed for the hearing unless
otherwise allowed by the presiding officer for good cause shown. Such
request shall specify any documents to be produced and shall designate
the witnesses and describe the address and location thereof with
sufficient particularity to permit such witnesses to be found.
(d) The subpoena shall specify the time and place at which the
witness is to appear and any documents the witness is to produce.
(e) The party seeking the subpoena shall serve it in the manner
prescribed in Sec. 1264.107. A subpoena on a party or upon an individual
under the control of a party may be served by first class mail.
(f) A party or the individual to whom the subpoena is directed may
file with the presiding officer a motion to quash the subpoena within 10
days after service or on or before the time specified in the subpoena
for compliance if it is less than 10 days after service.

Sec. 1264.123 Protective order.

(a) A party or a prospective witness or deponent may file a motion
for a protective order with respect to discovery sought by an opposing
party or with respect to the hearing, seeking to limit the availability
or disclosure of evidence.
(b) In issuing a protective order, the presiding officer may make
any order which justice requires to protect a party or person from
annoyance, embarrassment, oppression, or undue burden or expense,
including one or more of the following:
(1) That the discovery not be had;

[[Page 251]]

(2) That the discovery may be had only on specified terms and
conditions, including a designation of the time or place;
(3) That the discovery may be had only through a method of discovery
other than that requested;
(4) That certain matters not be inquired into, or that the scope of
discovery be limited to certain matters;
(5) That discovery be conducted with no one present except persons
designated by the presiding officer;
(6) That the contents of discovery or evidence be sealed;
(7) That a deposition after being sealed be opened only by order of
the presiding officer;
(8) That a trade secret or other confidential research, development,
commercial information, or facts pertaining to any criminal
investigation, proceeding, or other administrative investigation not be
disclosed or be disclosed only in a designated way; or
(9) That the parties simultaneously file specified documents or
information enclosed in sealed envelopes to be opened as directed by the
presiding officer.

Sec. 1264.124 Fees.

The party requesting a subpoena shall pay the cost of the fees and
mileage of any witness subpoenaed in the amounts that would be payable
to a witness in a proceeding in United States District Court. A check
for witness fees and mileage shall accompany the subpoena when served,
except that when a subpoena is issued on behalf of the authority, a
check for witness fees and mileage need not accompany the subpoena.

[52 FR 39498, Oct. 22, 1987, as amended at 80 FR 42029, July 16, 2015]

Sec. 1264.125 Form, filing, and service of papers.

(a) Form. (1) Documents filed with the presiding officer shall
include an original and two copies.
(2) Every pleading and paper filed in the proceeding shall contain a
caption setting forth the title of the action, the case number assigned
by the presiding officer, and a designation of the paper (e.g., motion
to quash subpoena).
(3) Every pleading and paper shall be signed by, and shall contain
the address and telephone number of the party or the person on whose
behalf the paper was filed, or his or her representative.
(4) Papers are considered filed when they are mailed. Date of
mailing may be established by a certificate from the party or its
representative or by proof that the document was sent by certified or
registered mail.
(b) Service. A party filing a document with the presiding officer
shall, at the time of filing, serve a copy of such document on every
other party. Service upon any party of any document other than those
required to be served as prescribed in Sec. 1264.107 shall be made by
delivering a copy or by placing a copy of the document in the U.S. mail,
postage prepaid, and addressed to the party's last known address. When a
party is represented by a representative, service shall be made upon
such representative.
(c) Proof of service. A certificate of the individual serving the
document by personal delivery or by mail, setting forth the manner of
service, shall be proof of service.

[52 FR 39498, Oct. 22, 1987, as amended at 54 FR 600, Jan. 9, 1989]

Sec. 1264.126 Computation of time.

(a) In computing any period of time under this part or in an order
issued thereunder, the time begins with the day following the act,
event, or default, and includes the last day of the period, unless it is
a Saturday, Sunday, or legal holiday observed by the Federal government,
in which event it includes the next business day.
(b) When the period of time allowed is less than 7 days,
intermediate Saturdays, Sundays, and legal holidays observed by the
Federal government shall be excluded from the computation.
(c) Where a document has been served or issued by placing it in the
mail, an additional 5 days will be added to the time permitted for any
response.

[52 FR 39498, Oct. 22, 1987, as amended at 54 FR 600, Jan. 9, 1989]

[[Page 252]]

Sec. 1264.127 Motions.

(a) Any application to the presiding officer for an order or ruling
shall be by motion. Motions shall state the relief sought, the authority
relied upon, and the facts alleged, and shall be filed with the
presiding officer and served on all other parties.
(b) Except for motions made during a prehearing conference or at the
hearing, all motions shall be in writing. The presiding officer may
require that oral motions be reduced to writing.
(c) Within 15 days after a written motion is served, or such other
time as may be fixed by the presiding officer, any party may file a
response to such motion.
(d) The presiding officer may not grant a written motion before the
time for filing responses thereto has expired, except upon consent of
the parties or following a hearing on the motion, but may overrule or
deny such motion without awaiting a response.
(e) The presiding officer shall make a reasonable effort to dispose
of all outstanding motions prior to the beginning of the hearing.

Sec. 1264.128 Sanctions.

(a) The presiding officer may sanction a person, including any party
or representative for--
(1) Failing to comply with an order, rule, or procedure governing
the proceeding;
(2) Failing to prosecute or defend an action; or
(3) Engaging in other misconduct that interferes with the speedy,
orderly, or fair conduct of the hearing.
(b) Any such sanction, including but not limited to those listed in
paragraphs (c), (d), and (e) of this section, shall reasonably relate to
the severity and nature of the failure or misconduct.
(c) When a party fails to comply with an order, including an order
for taking a deposition, the production of evidence within the party's
control, or a request for admission, the presiding officer may--
(1) Draw an inference in favor of the requesting party with regard
to the information sought;
(2) In the case of requests for admission, deem each matter of which
an admission is requested to be admitted;
(3) Prohibit the party failing to comply with such order from
introducing evidence concerning, or otherwise relying upon testimony
relating to, the information sought; and
(4) Strike any part of the pleadings or other submissions of the
party failing to comply with such request.
(d) If a party fails to prosecute or defend an action under this
part commenced by service of a notice of hearing, the presiding officer
may dismiss the action or may issue an initial decision imposing
penalties and assessments.
(e) The presiding officer may refuse to consider any motion,
request, response, brief, or other document which is not filed in a
timely fashion.

Sec. 1264.129 The hearing and burden of proof.

(a) The presiding officer shall conduct a hearing on the record in
order to determine whether the defendant is liable for a civil penalty
or assessment under Sec. 1264.102 and, if so, the appropriate amount of
any such civil penalty or assessment considering any aggravating or
mitigating factors.
(b) The authority shall prove defendant's liability and any
aggravating factors by a preponderance of the evidence.
(c) The defendant shall prove any affirmative defenses and any
mitigating factors by a preponderance of the evidence.
(d) The hearing shall be open to the public unless otherwise ordered
by the presiding officer for good cause shown.

Sec. 1264.130 Determining the amount of penalties and assessments.

(a) In determining an appropriate amount of civil penalties and
assessments, the presiding officer, and the authority head upon appeal,
should evaluate any circumstances that mitigate or aggravate the
violation and should articulate in their opinions the reasons that
support the penalties and assessments they impose. Because of the
intangible costs of fraud, the expense of investigating such conduct,
and the need to deter others who might

[[Page 253]]

be similarly tempted, ordinarily double damages and a significant civil
penalty should be imposed.
(b) Although not exhaustive, the following factors are among those
that may influence the presiding officer and the authority head in
determining the amount of penalties and assessments to impose with
respect to the misconduct (i.e., the false, fictitious, or fraudulent
claims or statements) charged in the complaint:
(1) The number of false, fictitious, or fraudulent claims or
statements;
(2) The time period over which such claims or statements were made;
(3) The degree of the defendant's culpability with respect to the
misconduct;
(4) The amount of money or the value of the property, services, or
benefit falsely claimed;
(5) The value of the Government's actual loss as a result of the
misconduct, including foreseeable consequential damages and the costs of
investigation;
(6) The relationship of the amount imposed as civil penalties to the
amount of the Government's loss;
(7) The potential or actual impact of the misconduct upon national
defense, public health or safety, or public confidence in the management
of Government programs and operations, including particularly the impact
on the intended beneficiaries of such programs;
(8) Whether the defendant has engaged in a pattern of the same or
similar misconduct;
(9) Whether the defendant attempted to conceal the misconduct;
(10) The degree to which the defendant has involved others in the
misconduct or in concealing it;
(11) Where the misconduct of employees or agents is imputed to the
defendant, the extent to which the defendant's practices fostered or
attempted to preclude such misconduct;
(12) Whether the defendant cooperated in or obstructed an
investigation of the misconduct;
(13) Whether the defendant assisted in identifying and prosecuting
other wrongdoers;
(14) The complexity of the program or transaction, and the degree of
the defendant's sophistication with respect to it, including the extent
of the defendant's prior participation in the program or in similar
transactions;
(15) Whether the defendant has been found, in any criminal, civil,
or administrative proceeding to have engaged in similar misconduct or to
have dealt dishonestly with the Government of the United States or of a
State, directly or indirectly; and
(16) The need to deter the defendant and others from engaging in the
same or similar misconduct.
(c) Nothing in this section shall be construed to limit the
presiding officer or the authority head from considering any other
factors that in any given case may mitigate or aggravate the offense for
which penalties and assessments are imposed.

Sec. 1264.131 Location of hearing.

(a) The hearing may be held--
(1) In any judicial district of the United States in which the
defendant resides or transacts business;
(2) In any judicial district of the United States in which the claim
or statement in issue was made; or
(3) In such other place as may be agreed upon by the defendant and
the presiding officer.
(b) Each party shall have the opportunity to present argument with
respect to the location of the hearing.
(c) The hearing shall be held at the place and at the time ordered
by the presiding officer.

Sec. 1264.132 Witnesses.

(a) Except as provided in paragraph (b) of this section, testimony
at the hearing shall be given orally by witnesses under oath or
affirmation.
(b) At the discretion of the presiding officer, testimony may be
admitted in the form of a written statement or deposition. Any such
written statement must be provided to all other parties along with the
last known address of such witness, in a manner which allows sufficient
time for other parties to subpoena such witness for cross-examination at
the hearing. Prior written statements of witnesses proposed to testify
at the hearing and deposition transcripts shall be exchanged as provided
in Sec. 1264.121(a).
(c) The presiding officer shall exercise reasonable control over the
mode

[[Page 254]]

and order of interrogating witnesses and presenting evidence so as to
make the interrogation and presentation effective for the ascertainment
of the truth, avoid needless consumption of time, and protect witnesses
from harassment or undue embarrassment.
(d) The presiding officer shall permit the parties to conduct such
cross-examination as may be required for a full and true disclosure of
the facts.
(e) At the discretion of the presiding officer, a witness may be
cross-examined on matters relevant to the proceeding without regard to
the scope of his or her direct examination. To the extent permitted by
the presiding officer, cross-examination on matters outside the scope of
direct examination shall be conducted in the manner of direct
examination and may proceed by leading questions only if the witness is
a hostile witness, an adverse party, or a witness identified with an
adverse party.
(f) Upon motion of any party, the presiding officer shall order
witnesses excluded so that they cannot hear the testimony of other
witnesses. This rule does not authorize exclusion of--
(1) A party who is an individual;
(2) In the case of a party that is not an individual, an officer or
employee of the party appearing for the entity pro se or designated by
the party's representative; or
(3) An individual whose presence is shown by a party to be essential
to the presentation of its case, including an individual employed by the
Government engaged in assisting the representative for the Government.

[52 FR 39498, Oct. 22, 1987, as amended at 54 FR 600, Jan. 9, 1989]

Sec. 1264.133 Evidence.

(a) The presiding officer shall determine the admissibility of
evidence.
(b) Except as provided herein, the presiding officer shall not be
bound by the Federal Rules of Evidence. However, the presiding officer
may apply the Federal Rules of Evidence where appropriate, e.g., to
exclude unreliable evidence.
(c) The presiding officer shall exclude irrelevant and immaterial
evidence.
(d) Although relevant, evidence may be excluded if its probative
value is substantially outweighed by the danger of unfair prejudice,
confusion of the issues, or by considerations of undue delay or needless
presentation of cumulative evidence.
(e) Although relevant, evidence may be excluded if it is privileged
under Federal law.
(f) Evidence concerning offers of compromise or settlement shall be
inadmissible to the extent provided in Rule 408 of the Federal Rules of
Evidence.
(g) The presiding officer shall permit the parties to introduce
rebuttal witnesses and evidence.
(h) All documents and other evidence offered or taken for the record
shall be open to examination by all parties, unless otherwise ordered by
the presiding officer pursuant to Sec. 1264.123.

Sec. 1264.134 The record.

(a) The hearing will be recorded and transcribed. Transcripts may be
obtained following the hearing from the presiding officer at a cost not
to exceed the actual cost of duplication.
(b) The transcript of testimony, exhibits, and other evidence
admitted at the hearing, and all papers and requests filed in the
proceeding constitute the record for the decision by the presiding
officer and the authority head.
(c) The record may be inspected and copied (upon payment of a
reasonable fee) by anyone, unless otherwise ordered by the presiding
officer pursuant to Sec. 1264.123.

Sec. 1264.135 Post-hearing briefs.

The presiding officer may require the parties to file post-hearing
briefs. In any event, upon approval of the presiding officer, any party
may file a post-hearing brief. The presiding officer shall fix the time
for filing such briefs, not to exceed 60 days from the date the parties
receive the transcript of the hearing or, if applicable, the stipulated
record. Such briefs may be accompanied by proposed findings of fact and
conclusions of law. The presiding officer may permit the parties to file
reply briefs, and may grant an extension of the 60-day time period or
other time for good cause shown.

[[Page 255]]

Sec. 1264.136 Initial decision.

(a) The presiding officer shall issue an initial decision based
solely on the record, which shall contain findings of fact, conclusions
of law, and the amount of any penalties and assessments imposed.
(b) The findings of fact shall include a finding on each of the
following issues:
(1) Whether the claims or statements identified in the complaint, or
any portions thereof, violate Sec. 1264.102;
(2) If the person is liable for penalties or assessments, the
appropriate amount of any such penalties or assessments considering any
mitigating or aggravating factors found in the case, such as those
described in Sec. 1264.130.
(c) The presiding officer shall promptly serve the initial decision
on all parties within 90 days after the time for submission of post-
hearing briefs and reply briefs (if permitted) has expired or upon
notification that the record is now closed. The presiding officer shall
at the same time serve all parties with a statement describing the right
of any defendant determined to be liable for a civil penalty or
assessment to file a motion for reconsideration with the presiding
officer or a notice of appeal with the authority head. If the presiding
officer fails to meet the deadline contained in this paragraph, he or
she shall notify the parties of the reason for the delay and shall set a
new deadline.
(d) Unless the initial decision of the presiding officer is timely
appealed to the authority head, or a motion for reconsideration of the
initial decision is timely filed, the initial decision shall constitute
the final decision of the authority head and shall be final and binding
on the parties 30 days after it is issued by the presiding officer.

[52 FR 39498, Oct. 22, 1987, as amended at 54 FR 600, Jan. 9, 1989]

Sec. 1264.137 Reconsideration of initial decision.

(a) Except as provided in paragraph (d) of this section, any party
may file a motion for reconsideration of the initial decision within 20
days of receipt of the initial decision. If service was made by mail,
receipt will be presumed to be 5 days from the date of mailing in the
absence of contrary proof.
(b) Every such motion must set forth the matters claimed to have
been erroneously decided and the nature of the alleged errors. Such
motion shall be accompanied by a supporting brief.
(c) Responses to such motions shall be allowed only upon request of
the presiding officer.
(d) No party may file a motion for reconsideration of an initial
decision that has been revised in response to a previous motion for
reconsideration.
(e) The presiding officer may dispose of a motion for
reconsideration by denying it or by issuing a revised initial decision.
(f) If the presiding officer denies a motion for reconsideration,
the initial decision shall constitute the final decision of the
authority head and shall be final and binding on the parties 30 days
after the presiding officer denies the motion, unless the initial
decision is timely appealed to the authority head in accordance with
Sec. 1264.138.
(g) If the presiding officer issues a revised initial decision, the
revised decision shall constitute the final decision of the authority
head and shall be final and binding on the parties 30 days after it is
issued, unless it is timely appealed to the authority head in accordance
with Sec. 1264.138.

[52 FR 39498, Oct. 22, 1987, as amended at 54 FR 600, Jan. 9, 1989]

Sec. 1264.138 Appeal to authority head.

(a) Any defendant who has filed a timely answer and who is
determined in an initial decision to be liable for a civil penalty or
assessment may appeal such decision to the authority head by filing a
notice of appeal with the authority head in accordance with this
section.
(b) The time for appeal to the authority head is as follows:
(1) A notice of appeal may be filed at any time within 30 days after
the presiding officer issues an initial decision. However, if any other
party files a motion for a reconsideration under Sec. 1264.137,
consideration of the appeal shall be stayed automatically pending
resolution of the motion for reconsideration.

[[Page 256]]

(2) If a motion for reconsideration is timely filed, a notice of
appeal must be filed within 30 days after the presiding officer denies
the motion or issues a revised initial decision, whichever applies.
(3) If no motion for reconsideration is timely filed, a notice of
appeal must be filed within 30 days after the presiding officer issues
the initial decision.
(4) The authority head may extend the initial 30-day period for an
additional 30 days if the defendant files with the authority head a
request for an extension within the initial 30-day period and shows good
cause.
(c) If the defendant files a timely notice of appeal with the
authority head and the time for filing motions for reconsideration under
Sec. 1264.137 has expired, the presiding officer shall forward the
record of the proceeding to the authority head.
(d) A notice of appeal shall be accompanied by a written brief
specifying exceptions to the initial decision and reasons supporting the
exceptions.
(e) The representative for the Government may file a brief in
opposition to exceptions within 30 days of receiving the notice of
appeal and accompanying brief.
(f) There is no right to appear personally before the authority
head.
(g) There is no right to appeal any interlocutory ruling by the
presiding officer.
(h) In reviewing the initial decision, the authority head shall not
consider any objection that was not raised before the presiding officer
unless a demonstration is made of extraordinary circumstances causing
the failure to raise the objection.
(i) If any party demonstrates to the satisfaction of the authority
head that additional evidence not presented at such hearing is material
and that there were reasonable grounds for the failure to present such
evidence at such hearing, the authority head shall remand the matter to
the presiding officer for consideration of such additional evidence.
(j) The authority head may affirm, reduce, reverse, compromise,
remand, or settle any penalty or assessment, determined by the presiding
officer in any initial decision.
(k) The authority head shall promptly serve each party to the appeal
with a copy of the decision of the authority head. At the same time the
authority head shall serve the defendant with a statement describing the
defendant's right to seek judicial review.
(l) Unless a petition for review is filed as provided in 31 U.S.C.
3805, after a defendant has exhausted all administrative remedies under
this part and within 60 days after the date on which the authority head
serves the defendant with a copy of the authority head's decision, a
determination that a defendant is liable under Sec. 1264.102 is final
and is not subject to judicial review.

[52 FR 39498, Oct. 22, 1987, as amended at 54 FR 600, Jan. 9, 1989]

Sec. 1264.139 Stays ordered by the Department of Justice.

If at any time the Attorney General or an Assistant Attorney General
designated by the Attorney General transmits to the authority head a
written finding that continuation of the administrative process
described in this part with respect to a claim or statement may
adversely affect any pending or potential criminal or civil action
related to such claim or statement, the authority head shall stay the
process immediately. If the process is before the presiding officer, the
authority head shall promptly transmit the finding to the presiding
officer, who, in turn, must stay the proceeding and give notice to all
parties and their representatives. The authority head may order the
process resumed only upon receipt of the written authorization of the
Attorney General.

Sec. 1264.140 Stay pending appeal.

(a) An initial decision is stayed automatically pending disposition
of a motion for reconsideration or of an appeal to the authority head.
(b) No administrative stay is available following a final decision
of the authority head.

Sec. 1264.141 Judicial review.

Section 3805 of Title 31, United States Code, authorizes judicial
review by an appropriate United States District

[[Page 257]]

Court of a final decision of the authority head imposing penalties or
assessments under this part and specifies the procedures for such
review.

Sec. 1264.142 Collection of civil penalties and assessments.

Sections 3806 and 3808(b) of Title 31, United States Code, authorize
actions for collection of civil penalties and assessments imposed under
this part and specify the procedures for such actions.

Sec. 1264.143 Right to administrative offset.

The amount of any penalty or assessment which has become final, or
for which a judgment has been entered under Sec. 1264.141 or
Sec. 1264.142, or any amount agreed upon in a compromise or settlement
under Sec. 1264.145, may be collected by administrative offset under 31
U.S.C. 3716, except that an administrative offset may not be made under
this subsection against a refund of an overpayment of Federal taxes,
then or later owing by the United States to the defendant.

Sec. 1264.144 Deposit in Treasury of United States.

All amounts collected pursuant to this part shall be deposited as
miscellaneous receipts in the Treasury of the United States, except as
provided in 31 U.S.C. 3806(g).

Sec. 1264.145 Compromise or settlement.

(a) Parties may make offers of compromise or settlement at any time,
including proposals for alternative dispute resolution.
(b) The reviewing official has the exclusive authority to compromise
or settle a case under this part at any time after the date on which the
reviewing official is permitted to refer allegations of liability to a
presiding officer and before the date on which the presiding officer
issues an initial decision.
(c) The authority head has exclusive authority to compromise or
settle a case under this part at any time after the date on which the
presiding officer issues an initial decision, except during the pendency
of any judicial review under Sec. 1264.141 or during the pendency of any
civil action to collect penalties and assessments under Sec. 1264.142.
(d) The Attorney General has exclusive authority to compromise or
settle a case under this part during the pendency of any judicial review
under 31 U.S.C. 3805 or of any civil action to recover penalties and
assessments under 31 U.S.C. 3806.
(e) The investigating official may recommend settlement terms to the
reviewing official, the authority head, or the Attorney General, as
appropriate. The reviewing official may recommend settlement terms to
the authority head, or the Attorney General, as appropriate.
(f) Any compromise or settlement must be in writing.

Sec. 1264.146 Limitations.

(a) The notice of hearing with respect to a claim or statement must
be served in the manner specified in Sec. 1264.107 within 6 years after
the date on which such claim or statement is made.
(b) If the defendant fails to file a timely answer, service of a
notice under Sec. 1264.109(b) shall be deemed a notice of hearing for
purposes of this section.
(c) The statute of limitations may be extended by agreement of the
parties.

Sec. Appendix A to Part 1264--Notice To Consent to the Chairperson, NASA
Board of Contract Appeals (BCA), or Designee, as Presiding Officer

In accordance with the provisions of 14 CFR 1264.106, you are hereby
notified that the Chairperson, NASA Board of Contract Appeals (BCA), or
designee, in addition to other duties, upon your consent, may conduct
any or all proceedings as the presiding officer, pursuant to 14 CFR part
1264 which implements the Program Fraud Civil Penalties Act of 1986.
You should be aware that your decision to consent, or not to
consent, to the referral of this case to the NASA/BCA must be entirely
voluntary. Only if you and the authority head consent to this reference
will either the Chairperson or the designee to whom the case may be
assigned be informed of your decision.
An appeal from a decision by the presiding officer under this
consent procedure may be taken in the same manner as an appeal from a
decision by any other presiding officer, as

[[Page 258]]

provided in 14 CFR 1264.136(d), 1264.137, 1264.138, and 1264.141.
If you consent, you must sign, date, and return this form within the
30-day period provided for your answer (see 14 CFR 1264.108, 1264.109).

consent:________________________________________________________________
(Signature of person alleged to be liable)

________________________________________________________________________
(Print name)
________________________________________________________________________
(Date of signature)

PART 1266_CROSS-WAIVER OF LIABILITY--Table of Contents

Sec.
1266.100 Purpose.
1266.101 Scope.
1266.102 Cross-waiver of liability for agreements for activities
related to the International Space Station.
1266.103 [Reserved]
1266.104 Cross-waiver of liability for launch agreements for science or
space exploration activities unrelated to the International
Space Station.

Authority: 51 U.S.C. 20139 and 51 U.S.C. 20113(a), (e), and (f).

Source: 73 FR 10148, Feb. 26, 2008, unless otherwise noted.

Sec. 1266.100 Purpose.

The purpose of this Part is to ensure that consistent cross-waivers
of liability are included in NASA agreements for activities related to
the ISS and for NASA's science or space exploration activities unrelated
to the ISS that involve a launch.

Sec. 1266.101 Scope.

The provisions at Sec. 1266.102 are intended to implement the cross-
waiver requirement in Article 16 of the intergovernmental agreement
entitled, ``Agreement Among the Government of Canada, Governments of
Member States of the European Space Agency, the Government of Japan, the
Government of the Russian Federation, and the Government of the United
States of America concerning Cooperation on the Civil International
Space Station (IGA).'' Article 16 establishes a cross-waiver of
liability for use by the Partner States and their related entities and
requires that this reciprocal waiver of claims be extended to
contractually or otherwise-related entities of NASA by requiring those
entities to make similar waivers of liability. Thus, NASA is required to
include IGA-based cross-waivers in agreements for ISS activities that
fall within the scope of ``Protected Space Operations,'' as defined in
Sec. 1266.102. The provisions of Sec. 1266.102 provide the regulatory
basis for cross-waiver clauses to be incorporated into NASA agreements
for activities that implement the IGA and the memoranda of understanding
between the United States and its respective international partners. The
provisions of Sec. 1266.104 provide the regulatory basis for cross-
waiver clauses to be incorporated into NASA launch agreements for
science or space exploration activities unrelated to the ISS.

Sec. 1266.102 Cross-waiver of liability for agreements for activities
related to the International Space Station.

(a) The objective of this section is to implement NASA's
responsibility to flow down the cross-waiver of liability in Article 16
of the IGA to its related entities in the interest of encouraging
participation in the exploration, exploitation, and use of outer space
through the International Space Station (ISS). The IGA declares the
Partner States' intention that the cross-waiver of liability be broadly
construed to achieve this objective.
(b) For the purposes of this section:
(1) The term ``Party'' means a party to a NASA agreement involving
activities in connection with the ISS.
(2)(i) The term ``related entity'' means:
(A) A contractor or subcontractor of a Party or a Partner State at
any tier;
(B) A user or customer of a Party or a Partner State at any tier; or
(C) A contractor or subcontractor of a user or customer of a Party
or a Partner State at any tier.
(ii) The terms ``contractor'' and ``subcontractor'' include
suppliers of any kind.
(iii) The term ``related entity'' may also apply to a State, or an
agency or institution of a State, having the same relationship to a
Partner State as described in paragraphs (b)(2)(i)(A) through
(b)(2)(i)(C) of this section or otherwise engaged in the implementation
of Protected Space Operations as

[[Page 259]]

defined in paragraph (b)(6) of this section.
(3) The term ``damage'' means:
(i) Bodily injury to, or other impairment of health of, or death of,
any person;
(ii) Damage to, loss of, or loss of use of any property;
(iii) Loss of revenue or profits; or
(iv) Other direct, indirect, or consequential damage.
(4) The term ``launch vehicle'' means an object, or any part
thereof, intended for launch, launched from Earth, or returning to Earth
which carries payloads or persons, or both.
(5) The term ``payload'' means all property to be flown or used on
or in a launch vehicle or the ISS.
(6) The term ``Protected Space Operations'' means all launch or
transfer vehicle activities, ISS activities, and payload activities on
Earth, in outer space, or in transit between Earth and outer space in
implementation of the IGA, MOUs concluded pursuant to the IGA, and
implementing arrangements. It includes, but is not limited to:
(i) Research, design, development, test, manufacture, assembly,
integration, operation, or use of launch or transfer vehicles, the ISS,
payloads, or instruments, as well as related support equipment and
facilities and services; and
(ii) All activities related to ground support, test, training,
simulation, or guidance and control equipment and related facilities or
services. ``Protected Space Operations'' also includes all activities
related to evolution of the ISS, as provided for in Article 14 of the
IGA. ``Protected Space Operations'' excludes activities on Earth which
are conducted on return from the ISS to develop further a payload's
product or process for use other than for ISS-related activities in
implementation of the IGA.
(7) The term ``transfer vehicle'' means any vehicle that operates in
space and transfers payloads or persons or both between two different
space objects, between two different locations on the same space object,
or between a space object and the surface of a celestial body. A
transfer vehicle also includes a vehicle that departs from and returns
to the same location on a space object.
(8) The term ``Partner State'' includes each Contracting Party for
which the IGA has entered into force, pursuant to Article 25 of the IGA
or pursuant to any successor agreement. A Partner State includes its
Cooperating Agency. It also includes any entity specified in the
Memorandum of Understanding (MOU) between NASA and the Government of
Japan to assist the Government of Japan's Cooperating Agency in the
implementation of that MOU.
(c)(1) Cross-waiver of liability: Each Party agrees to a cross-
waiver of liability pursuant to which each Party waives all claims
against any of the entities or persons listed in paragraphs (c)(1)(i)
through (c)(1)(iv) of this section based on damage arising out of
Protected Space Operations. This cross-waiver shall apply only if the
person, entity, or property causing the damage is involved in Protected
Space Operations and the person, entity, or property damaged is damaged
by virtue of its involvement in Protected Space Operations. The cross-
waiver shall apply to any claims for damage, whatever the legal basis
for such claims, against:
(i) Another Party;
(ii) A Partner State other than the United States of America;
(iii) A related entity of any entity identified in paragraph
(c)(1)(i) or (c)(1)(ii) of this section; or
(iv) The employees of any of the entities identified in paragraphs
(c)(1)(i) through (c)(1)(iii) of this section.
(2) In addition, each Party shall, by contract or otherwise, extend
the cross-waiver of liability, as set forth in paragraph (c)(1) of this
section, to its related entities by requiring them, by contract or
otherwise, to:
(i) Waive all claims against the entities or persons identified in
paragraphs (c)(1)(i) through (c)(1)(iv) of this section; and
(ii) Require that their related entities waive all claims against
the entities or persons identified in paragraphs (c)(1)(i) through
(c)(1)(iv) of this section.
(3) For avoidance of doubt, this cross-waiver of liability includes
a cross-

[[Page 260]]

waiver of claims arising from the Convention on International Liability
for Damage Caused by Space Objects, which entered into force on
September 1, 1972, where the person, entity, or property causing the
damage is involved in Protected Space Operations and the person, entity,
or property damaged is damaged by virtue of its involvement in Protected
Space Operations.
(4) Notwithstanding the other provisions of this section, this
cross-waiver of liability shall not be applicable to:
(i) Claims between a Party and its own related entity or between its
own related entities;
(ii) Claims made by a natural person, his/her estate, survivors or
subrogees (except when a subrogee is a Party to the agreement or is
otherwise bound by the terms of this cross-waiver) for bodily injury to,
or other impairment of health of, or death of, such person;
(iii) Claims for damage caused by willful misconduct;
(iv) Intellectual property claims;
(v) Claims for damage resulting from a failure of a Party to extend
the cross-waiver of liability to its related entities, pursuant to
paragraph (c)(2) of this section; or
(vi) Claims by a Party arising out of or relating to another Party's
failure to perform its obligations under the agreement.
(5) Nothing in this section shall be construed to create the basis
for a claim or suit where none would otherwise exist.
(6) This cross-waiver shall not be applicable when 49 U.S.C.
Subtitle IX, Chapter. 701 is applicable.

Sec. 1266.103 [Reserved]

Sec. 1266.104 Cross-waiver of liability for launch agreements for science
or space exploration activities unrelated to the International Space Station.

(a) The purpose of this section is to implement a cross-waiver of
liability between the parties to agreements for NASA's science or space
exploration activities that are not related to the International Space
Station (ISS) but involve a launch. It is intended that the cross-waiver
of liability be broadly construed to achieve this objective.
(b) For purposes of this section:
(1) The term ``Party'' means a party to a NASA agreement for science
or space exploration activities unrelated to the ISS that involve a
launch.
(2) (i) The term ``related entity'' means:
(A) A contractor or subcontractor of a Party at any tier;
(B) A user or customer of a Party at any tier; or
(C) A contractor or subcontractor of a user or customer of a Party
at any tier.
(ii) The terms ``contractor'' and ``subcontractor'' include
suppliers of any kind.
(iii) The term ``related entity'' may also apply to a State or an
agency or institution of a State, having the same relationship to a
Party as described in paragraphs (b)(2)(i)(A) through (b)(2)(i)(C) of
this section, or otherwise engaged in the implementation of Protected
Space Operations as defined in paragraph (b)(6) of this section.
(3) The term ``damage'' means:
(i) Bodily injury to, or other impairment of health of, or death of,
any person;
(ii) Damage to, loss of, or loss of use of any property;
(iii) Loss of revenue or profits; or
(iv) Other direct, indirect, or consequential damage.
(4) The term ``launch vehicle'' means an object, or any part
thereof, intended for launch, launched from Earth, or returning to Earth
which carries payloads or persons, or both.
(5) The term ``payload'' means all property to be flown or used on
or in a launch vehicle.
(6) The term ``Protected Space Operations'' means all launch or
transfer vehicle activities and payload activities on Earth, in outer
space, or in transit between Earth and outer space in implementation of
an agreement for launch services. Protected Space Operations begins at
the signature of the agreement and ends when all activities done in
implementation of the agreement are completed. It includes, but is not
limited to:
(i) Research, design, development, test, manufacture, assembly,
integration, operation, or use of launch or

[[Page 261]]

transfer vehicles, payloads, or instruments, as well as related support
equipment and facilities and services; and
(ii) All activities related to ground support, test, training,
simulation, or guidance and control equipment and related facilities or
services. The term ``Protected Space Operations'' excludes activities on
Earth that are conducted on return from space to develop further a
payload's product or process for use other than for the activities
within the scope of an agreement for launch services.
(7) The term ``transfer vehicle'' means any vehicle that operates in
space and transfers payloads or persons or both between two different
space objects, between two different locations on the same space object,
or between a space object and the surface of a celestial body. A
transfer vehicle also includes a vehicle that departs from and returns
to the same location on a space object.
(c)(1) Cross-waiver of liability: Each Party agrees to a cross-
waiver of liability pursuant to which each Party waives all claims
against any of the entities or persons listed in paragraphs (c)(1)(i)
through (c)(1)(iv) of this section based on damage arising out of
Protected Space Operations. This cross-waiver shall apply only if the
person, entity, or property causing the damage is involved in Protected
Space Operations and the person, entity, or property damaged is damaged
by virtue of its involvement in Protected Space Operations. The cross-
waiver shall apply to any claims for damage, whatever the legal basis
for such claims, against:
(i) Another Party;
(ii) A party to another NASA agreement that includes flight on the
same launch vehicle;
(iii) A related entity of any entity identified in paragraphs
(c)(1)(i) or (c)(1)(ii) of this section; or
(iv) The employees of any of the entities identified in paragraphs
(c)(1)(i) through (c)(1)(iii) of this section.
(2) In addition, each Party shall extend the cross-waiver of
liability, as set forth in paragraph (c)(1) of this section, to its own
related entities by requiring them, by contract or otherwise, to:
(i) Waive all claims against the entities or persons identified in
paragraphs (c)(1)(i) through (c)(1)(iv) of this section; and
(ii) Require that their related entities waive all claims against
the entities or persons identified in paragraphs (c)(1)(i) through
(c)(1)(iv) of this section.
(3) For avoidance of doubt, this cross-waiver of liability includes
a cross-waiver of claims arising from the Convention on International
Liability for Damage Caused by Space Objects, which entered into force
on September 1, 1972, where the person, entity, or property causing the
damage is involved in Protected Space Operations and the person, entity,
or property damaged is damaged by virtue of its involvement in Protected
Space Operations.
(4) Notwithstanding the other provisions of this section, this
cross-waiver of liability shall not be applicable to:
(i) Claims between a Party and its own related entity or between its
own related entities;
(ii) Claims made by a natural person, his/her estate, survivors, or
subrogees (except when a subrogee is a Party to the agreement or is
otherwise bound by the terms of this cross-waiver) for bodily injury to,
or other impairment of health of, or death of, such person;
(iii) Claims for damage caused by willful misconduct;
(iv) Intellectual property claims;
(v) Claims for damages resulting from a failure of a Party to extend
the cross-waiver of liability to its related entities, pursuant to
paragraph (c)(2) of this section; or
(vi) Claims by a Party arising out of or relating to another Party's
failure to perform its obligations under the agreement.
(5) Nothing in this section shall be construed to create the basis
for a claim or suit where none would otherwise exist.
(6) This cross-waiver shall not be applicable when 49 U.S.C.
Subtitle IX, Chapter 701 is applicable.

[[Page 262]]

PART 1271_NEW RESTRICTIONS ON LOBBYING--Table of Contents

Subpart A_General

Sec.
1271.100 Conditions on use of funds.
1271.105 Definitions.
1271.110 Certification and disclosure.

Subpart B_Activities by Own Employees

1271.200 Agency and legislative liaison.
1271.205 Professional and technical services.
1271.210 Reporting.

Subpart C_Activities by Other Than Own Employees

1271.300 Professional and technical services.

Subpart D_Penalties and Enforcement

1271.400 Penalties.
1271.405 Penalty procedures.
1271.410 Enforcement.

Subpart E_Exemptions

1271.500 Secretary of Defense.

Subpart F_Agency Reports

1271.600 Semi-annual compilation.
1271.605 Inspector General report.

Appendix A to Part 1271--Certification Regarding Lobbying
Appendix B to Part 1271--Disclosure Form To Report Lobbying

Authority: Section 319, Pub. L. 101-121 (31 U.S.C. 1352); Pub. L.
97-258 (31 U.S.C. 6301 et seq.)

Cross Reference: See also Office of Management and Budget notice
published at 54 FR 52306, December 20, 1989.

Source: 55 FR 6737, 6748, Feb. 26, 1990, unless otherwise noted.

Subpart A_General

Sec. 1271.100 Conditions on use of funds.

(a) No appropriated funds may be expended by the recipient of a
Federal contract, grant, loan, or cooperative ageement to pay any person
for influencing or attempting to influence an officer or employee of any
agency, a Member of Congress, an officer or employee of Congress, or an
employee of a Member of Congress in connection with any of the following
covered Federal actions: the awarding of any Federal contract, the
making of any Federal grant, the making of any Federal loan, the
entering into of any cooperative agreement, and the extension,
continuation, renewal, amendment, or modification of any Federal
contract, grant, loan, or cooperative agreement.
(b) Each person who requests or receives from an agency a Federal
contract, grant, loan, or cooperative agreement shall file with that
agency a certification, set forth in appendix A, that the person has not
made, and will not make, any payment prohibited by paragraph (a) of this
section.
(c) Each person who requests or receives from an agency a Federal
contract, grant, loan, or a cooperative agreement shall file with that
agency a disclosure form, set forth in appendix B, if such person has
made or has agreed to make any payment using nonappropriated funds (to
include profits from any covered Federal action), which would be
prohibited under paragraph (a) of this section if paid for with
appropriated funds.
(d) Each person who requests or receives from an agency a commitment
providing for the United States to insure or guarantee a loan shall file
with that agency a statement, set forth in appendix A, whether that
person has made or has agreed to make any payment to influence or
attempt to influence an officer or employee of any agency, a Member of
Congress, an officer or employee of Congress, or an employee of a Member
of Congress in connection with that loan insurance or guarantee.
(e) Each person who requests or receives from an agency a commitment
providing for the United States to insure or guarantee a loan shall file
with that agency a disclosure form, set forth in appendix B, if that
person has made or has agreed to make any payment to influence or
attempt to influence an officer or employee of any agency, a Member of
Congress, an officer or employee of Congress, or an employee of a Member
of Congress in connection with that loan insurance or guarantee.

Sec. 1271.105 Definitions.

For purposes of this part:

[[Page 263]]

(a) Agency, as defined in 5 U.S.C. 552(f), includes Federal
executive departments and agencies as well as independent regulatory
commissions and Government corporations, as defined in 31 U.S.C.
9101(1).
(b) Covered Federal action means any of the following Federal
actions:
(1) The awarding of any Federal contract;
(2) The making of any Federal grant;
(3) The making of any Federal loan;
(4) The entering into of any cooperative agreement; and,
(5) The extension, continuation, renewal, amendment, or modification
of any Federal contract, grant, loan, or cooperative agreement.

Covered Federal action does not include receiving from an agency a
commitment providing for the United States to insure or guarantee a
loan. Loan guarantees and loan insurance are addressed independently
within this part.
(c) Federal contract means an acquisition contract awarded by an
agency, including those subject to the Federal Acquisition Regulation
(FAR), and any other acquisition contract for real or personal property
or services not subject to the FAR.
(d) Federal cooperative agreement means a cooperative agreement
entered into by an agency.
(e) Federal grant means an award of financial assistance in the form
of money, or property in lieu of money, by the Federal Government or a
direct appropriation made by law to any person. The term does not
include technical assistance which provides services instead of money,
or other assistance in the form of revenue sharing, loans, loan
guarantees, loan insurance, interest subsidies, insurance, or direct
United States cash assistance to an individual.
(f) Federal loan means a loan made by an agency. The term does not
include loan guarantee or loan insurance.
(g) Indian tribe and tribal organization have the meaning provided
in section 4 of the Indian Self-Determination and Education Assistance
Act (25 U.S.C. 450B). Alaskan Natives are included under the definitions
of Indian tribes in that Act.
(h) Influencing or attempting to influence means making, with the
intent to influence, any communication to or appearance before an
officer or employee or any agency, a Member of Congress, an officer or
employee of Congress, or an employee of a Member of Congress in
connection with any covered Federal action.
(i) Loan guarantee and loan insurance means an agency's guarantee or
insurance of a loan made by a person.
(j) Local government means a unit of government in a State and, if
chartered, established, or otherwise recognized by a State for the
performance of a governmental duty, including a local public authority,
a special district, an intrastate district, a council of governments, a
sponsor group representative organization, and any other instrumentality
of a local government.
(k) Officer or employee of an agency includes the following
individuals who are employed by an agency:
(1) An individual who is appointed to a position in the Government
under title 5, U.S. Code, including a position under a temporary
appointment;
(2) A member of the uniformed services as defined in section 101(3),
title 37, U.S. Code;
(3) A special Government employee as defined in section 202, title
18, U.S. Code; and,
(4) An individual who is a member of a Federal advisory committee,
as defined by the Federal Advisory Committee Act, title 5, U.S. Code
appendix 2.
(l) Person means an individual, corporation, company, association,
authority, firm, partnership, society, State, and local government,
regardless of whether such entity is operated for profit or not for
profit. This term excludes an Indian tribe, tribal organization, or any
other Indian organization with respect to expenditures specifically
permitted by other Federal law.
(m) Reasonable compensation means, with respect to a regularly
employed officer or employee of any person, compensation that is
consistent with the normal compensation for such officer

[[Page 264]]

or employee for work that is not furnished to, not funded by, or not
furnished in cooperation with the Federal Government.
(n) Reasonable payment means, with respect to perfessional and other
technical services, a payment in an amount that is consistent with the
amount normally paid for such services in the private sector.
(o) Recipient includes all contractors, subcontractors at any tier,
and subgrantees at any tier of the recipient of funds received in
connection with a Federal contract, grant, loan, or cooperative
agreement. The term excludes an Indian tribe, tribal organization, or
any other Indian organization with respect to expenditures specifically
permitted by other Federal law.
(p) Regularly employed means, with respect to an officer or employee
of a person requesting or receiving a Federal contract, grant, loan, or
cooperative agreement or a commitment providing for the United States to
insure or guarantee a loan, an officer or employee who is employed by
such person for at least 130 working days within one year immediately
preceding the date of the submission that initiates agency consideration
of such person for receipt of such contract, grant, loan, cooperative
agreement, loan insurance commitment, or loan guarantee commitment. An
officer or employee who is employed by such person for less than 130
working days within one year immediately preceding the date of the
submission that initiates agency consideration of such person shall be
considered to be regularly employed as soon as he or she is employed by
such person for 130 working days.
(q) State means a State of the United States, the District of
Columbia, the Commonwealth of Puerto Rico, a territory or possession of
the United States, an agency or instrumentality of a State, and a multi-
State, regional, or interstate entity having governmental duties and
powers.

Sec. 1271.110 Certification and disclosure.

(a) Each person shall file a certification, and a disclosure form,
if required, with each submission that initiates agency consideration of
such person for:
(1) Award of a Federal contract, grant, or cooperative agreement
exceeding $100,000; or
(2) An award of a Federal loan or a commitment providing for the
United States to insure or guarantee a loan exceeding $150,000.
(b) Each person shall file a certification, and a disclosure form,
if required, upon receipt by such person of:
(1) A Federal contract, grant, or cooperative agreement exceeding
$100,000; or
(2) A Federal loan or a commitment providing for the United States
to insure or guarantee a loan exceeding $150,000,

Unless such person previously filed a certification, and a disclosure
form, if required, under paragraph (a) of this section.
(c) Each person shall file a disclosure form at the end of each
calendar quarter in which there occurs any event that requires
disclosure or that materially affects the accuracy of the information
contained in any disclosure form previously filed by such person under
paragraphs (a) or (b) of this section. An event that materially affects
the accuracy of the information reported includes:
(1) A cumulative increase of $25,000 or more in the amount paid or
expected to be paid for influencing or attempting to influence a covered
Federal action; or
(2) A change in the person(s) or individual(s) influencing or
attempting to influence a covered Federal action; or,
(3) A change in the officer(s), employee(s), or Member(s) contacted
to influence or attempt to influence a covered Federal action.
(d) Any person who requests or receives from a person referred to in
paragraphs (a) or (b) of this section:
(1) A subcontract exceeding $100,000 at any tier under a Federal
contract;
(2) A subgrant, contract, or subcontract exceeding $100,000 at any
tier under a Federal grant;
(3) A contract or subcontract exceeding $100,000 at any tier under a
Federal loan exceeding $150,000; or,
(4) A contract or subcontract exceeding $100,000 at any tier under a
Federal cooperative agreement,

[[Page 265]]

Shall file a certification, and a disclosure form, if required, to the
next tier above.
(e) All disclosure forms, but not certifications, shall be forwarded
from tier to tier until received by the person referred to in paragraphs
(a) or (b) of this section. That person shall forward all disclosure
forms to the agency.
(f) Any certification or disclosure form filed under paragraph (e)
of this section shall be treated as a material representation of fact
upon which all receiving tiers shall rely. All liability arising from an
erroneous representation shall be borne solely by the tier filing that
representation and shall not be shared by any tier to which the
erroneous representation is forwarded. Submitting an erroneous
certification or disclosure constitutes a failure to file the required
certification or disclosure, respectively. If a person fails to file a
required certification or disclosure, the United States may pursue all
available remedies, including those authorized by section 1352, title
31, U.S. Code.
(g) For awards and commitments in process prior to December 23,
1989, but not made before that date, certifications shall be required at
award or commitment, covering activities occurring between December 23,
1989, and the date of award or commitment. However, for awards and
commitments in process prior to the December 23, 1989 effective date of
these provisions, but not made before December 23, 1989, disclosure
forms shall not be required at time of award or commitment but shall be
filed within 30 days.
(h) No reporting is required for an activity paid for with
appropriated funds if that activity is allowable under either subpart B
or C.

Subpart B_Activities by Own Employees

Sec. 1271.200 Agency and legislative liaison.

(a) The prohibition on the use of appropriated funds, in
Sec. 1271.100 (a), does not apply in the case of a payment of reasonable
compensation made to an officer or employee of a person requesting or
receiving a Federal contract, grant, loan, or cooperative agreement if
the payment is for agency and legislative liaison activities not
directly related to a covered Federal action.
(b) For purposes of paragraph (a) of this section, providing any
information specifically requested by an agency or Congress is allowable
at any time.
(c) For purposes of paragraph (a) of this section, the following
agency and legislative liaison activities are allowable at any time only
where they are not related to a specific solicitation for any covered
Federal action:
(1) Discussing with an agency (including individual demonstrations)
the qualities and characteristics of the person's products or services,
conditions or terms of sale, and service capabilities; and,
(2) Technical discussions and other activities regarding the
application or adaptation of the person's products or services for an
agency's use.
(d) For purposes of paragraph (a) of this section, the following
agencies and legislative liaison activities are allowable only where
they are prior to formal solicitation of any covered Federal action:
(1) Providing any information not specifically requested but
necessary for an agency to make an informed decision about initiation of
a covered Federal action;
(2) Technical discussions regarding the preparation of an
unsolicited proposal prior to its official submission; and,
(3) Capability presentations by persons seeking awards from an
agency pursuant to the provisions of the Small Business Act, as amended
by Public Law 95-507 and other subsequent amendments.
(e) Only those activities expressly authorized by this section are
allowable under this section.

Sec. 1271.205 Professional and technical services.

[[Page 266]]

amendment, or modification of a Federal contract, grant, loan, or
cooperative agreement if payment is for professional or technical
services rendered directly in the preparation, submission, or
negotiation of any bid, proposal, or application for that Federal
contract, grant, loan, or cooperative agreement or for meeting
requirements imposed by or pursuant to law as a condition for receiving
that Federal contract, grant, loan, or cooperative agreement.
(b) For purposes of paragraph (a) of this section, ``professional
and technical services'' shall be limited to advice and analysis
directly applying any professional or technical discipline. For example,
drafting of a legal document accompanying a bid or proposal by a lawyer
is allowable. Similarly, technical advice provided by an engineer on the
performance or operational capability of a piece of equipment rendered
directly in the negotiation of a contract is allowable. However,
communications with the intent to influence made by a professional (such
as a licensed lawyer) or a technical person (such as a licensed
accountant) are not allowable under this section unless they provide
advice and analysis directly applying their professional or technical
expertise and unless the advice or analysis is rendered directly and
solely in the preparation, submission or negotiation of a covered
Federal action. Thus, for example, communications with the intent to
influence made by a lawyer that do not provide legal advice or analysis
directly and solely related to the legal aspects of his or her client's
proposal, but generally advocate one proposal over another are not
allowable under this section because the lawyer is not providing
professional legal services. Similarly, communications with the intent
to influence made by an engineer providing an engineering analysis prior
to the preparation or submission of a bid or proposal are not allowable
under this section since the engineer is providing technical services
but not directly in the preparation, submission or negotiation of a
covered Federal action.
(c) Requirements imposed by or pursuant to law as a condition for
receiving a covered Federal award include those required by law or
regulation, or reasonably expected to be required by law or regulation,
and any other requirements in the actual award documents.
(d) Only those services expressly authorized by this section are
allowable under this section.

Sec. 1271.210 Reporting.

No reporting is required with respect to payments of reasonable
compensation made to regularly employed officers or employees of a
person.

Subpart C_Activities by Other Than Own Employees

Sec. 1271.300 Professional and technical services.

(a) The prohibition on the use of appropriated funds, in
Sec. 1271.100(a), does not apply in the case of any reasonable payment
to a person, other than an officer or employee of a person requesting or
receiving a covered Federal action, if the payment is for professional
or technical services rendered directly in the preparation, submission,
or negotiation of any bid, proposal, or application for that Federal
contract, grant, loan, or cooperative agreement or for meeting
requirements imposed by or pursuant to law as a condition for receiving
that Federal contract, grant, loan, or cooperative agreement.
(b) The reporting requirements in Sec. 1271.110 (a) and (b)
regarding filing a disclosure form by each person, if required, shall
not apply with respect to professional or technical services rendered
directly in the preparation, submission, or negotiation of any
commitment providing for the United States to insure or guarantee a
loan.
(c) For purposes of paragraph (a) of this section, ``professional
and technical services'' shall be limited to advice and analysis
directly applying any professional or technical discipline. For example,
drafting or a legal document accompanying a bid or proposal by a lawyer
is allowable. Similarly, technical advice provided by an engineer on the
performance or operational capability of a piece of equipment rendered
directly in the negotiation of a

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contract is allowable. However, communications with the intent to
influence made by a professional (such as a licensed lawyer) or a
technical person (such as a licensed accountant) are not allowable under
this section unless they provide advice and analysis directly applying
their professional or technical expertise and unless the advice or
analysis is rendered directly and solely in the preparation, submission
or negotiation of a covered Federal action. Thus, for example,
communications with the intent to influence made by a lawyer that do not
provide legal advice or analysis directly and solely related to the
legal aspects of his or her client's proposal, but generally advocate
one proposal over another are not allowable under this section because
the lawyer is not providing professional legal services. Similarly,
communications with the intent to influence made by an engineer
providing an engineering analysis prior to the preparation or submission
of a bid or proposal are not allowable under this section since the
engineer is providing technical services but not directly in the
preparation, submission or negotiation of a covered Federal action.
(d) Requirements imposed by or pursuant to law as a condition for
receiving a covered Federal award include those required by law or
regulation, or reasonably expected to be required by law or regulation,
and any other requirements in the actual award documents.
(e) Persons other than officers or employees of a person requesting
or receiving a covered Federal action include consultants and trade
associations.
(f) Only those services expressly authorized by this section are
allowable under this section.

Subpart D_Penalties and Enforcement

Sec. 1271.400 Penalties.

(a) Any person who makes an expenditure prohibited herein shall be
subject to a civil penalty of not less than $10,000 and not more than
$100,000 for each such expenditure.
(b) Any person who fails to file or amend the disclosure form (see
appendix B) to be filed or amended if required herein, shall be subject
to a civil penalty of not less than $10,000 and not more than $100,000
for each such failure.
(c) A filing or amended filing on or after the date on which an
administrative action for the imposition of a civil penalty is commenced
does not prevent the imposition of such civil penalty for a failure
occurring before that date. An administrative action is commenced with
respect to a failure when an investigating official determines in
writing to commence an investigation of an allegation of such failure.
(d) In determining whether to impose a civil penalty, and the amount
of any such penalty, by reason of a violation by any person, the agency
shall consider the nature, circumstances, extent, and gravity of the
violation, the effect on the ability of such person to continue in
business, any prior violations by such person, the degree of culpability
of such person, the ability of the person to pay the penalty, and such
other matters as may be appropriate.
(e) First offenders under paragraphs (a) or (b) of this section
shall be subject to a civil penalty of $10,000, absent aggravating
circumstances. Second and subsequent offenses by persons shall be
subject to an appropriate civil penalty between $10,000 and $100,000, as
determined by the agency head or his or her designee.
(f) An imposition of a civil penalty under this section does not
prevent the United States from seeking any other remedy that may apply
to the same conduct that is the basis for the imposition of such civil
penalty.

Sec. 1271.405 Penalty procedures.

Agencies shall impose and collect civil penalties pursuant to the
provisions of the Program Fraud and Civil Remedies Act, 31 U.S.C.
sections 3803 (except subsection (c)), 3804, 3805, 3806, 3807, 3808, and
3812, insofar as these provisions are not inconsistent with the
requirements herein.

Sec. 1271.410 Enforcement.

The head of each agency shall take such actions as are necessary to
ensure

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that the provisions herein are vigorously implemented and enforced in
that agency.

Subpart E_Exemptions

Sec. 1271.500 Secretary of Defense.

(a) The Secretary of Defense may exempt, on a case-by-case basis, a
covered Federal action from the prohibition whenever the Secretary
determines, in writing, that such an exemption is in the national
interest. The Secretary shall transmit a copy of each such written
exemption to Congress immediately after making such a determination.
(b) The Department of Defense may issue supplemental regulations to
implement paragraph (a) of this section.

Subpart F_Agency Reports

Sec. 1271.600 Semi-annual compilation.

(a) The head of each agency shall collect and compile the disclosure
reports (see appendix B) and, on May 31 and November 30 of each year,
submit to the Secretary of the Senate and the Clerk of the House of
Representatives a report containing a compilation of the information
contained in the disclosure reports received during the six-month period
ending on March 31 or September 30, respectively, of that year.
(b) The report, including the compilation, shall be available for
public inspection 30 days after receipt of the report by the Secretary
and the Clerk.
(c) Information that involves intelligence matters shall be reported
only to the Select Committee on Intelligence of the Senate, the
Permanent Select Committee on Intelligence of the House of
Representatives, and the Committees on Appropriations of the Senate and
the House of Representatives in accordance with procedures agreed to by
such committees. Such information shall not be available for public
inspection.
(d) Information that is classified under Executive Order 12356 or
any successor order shall be reported only to the Committee on Foreign
Relations of the Senate and the Committee on Foreign Affairs of the
House of Representatives or the Committees on Armed Services of the
Senate and the House of Representatives (whichever such committees have
jurisdiction of matters involving such information) and to the
Committees on Appropriations of the Senate and the House of
Representatives in accordance with procedures agreed to by such
committees. Such information shall not be available for public
inspection.
(e) The first semi-annual compilation shall be submitted on May 31,
1990, and shall contain a compilation of the disclosure reports received
from December 23, 1989 to March 31, 1990.
(f) Major agencies, designated by the Office of Management and
Budget (OMB), are required to provide machine-readable compilations to
the Secretary of the Senate and the Clerk of the House of
Representatives no later than with the compilations due on May 31, 1991.
OMB shall provide detailed specifications in a memorandum to these
agencies.
(g) Non-major agencies are requested to provide machine-readable
compilations to the Secretary of the Senate and the Clerk of the House
of Representatives.
(h) Agencies shall keep the originals of all disclosure reports in
the official files of the agency.

Sec. 1271.605 Inspector General report.

(a) The Inspector General, or other official as specified in
paragraph (b) of this section, of each agency shall prepare and submit
to Congress each year, commencing with submission of the President's
Budget in 1991, an evaluation of the compliance of that agency with, and
the effectiveness of, the requirements herein. The evaluation may
include any recommended changes that may be necessary to strengthen or
improve the requirements.
(b) In the case of an agency that does not have an Inspector
General, the agency official comparable to an Inspector General shall
prepare and submit the annual report, or, if there is no such comparable
official, the head of the agency shall prepare and submit the annual
report.
(c) The annual report shall be submitted at the same time the agency
submits its annual budget justifications to Congress.

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(d) The annual report shall include the following: All alleged
violations relating to the agency's covered Federal actions during the
year covered by the report, the actions taken by the head of the agency
in the year covered by the report with respect to those alleged
violations and alleged violations in previous years, and the amounts of
civil penalties imposed by the agency in the year covered by the report.

Sec. Appendix A to Part 1271--Certification Regarding Lobbying

Certification for Contracts, Grants, Loans, and Cooperative Agreements

The undersigned certifies, to the best of his or her knowledge and
belief, that:
(1) No Federal appropriated funds have been paid or will be paid, by
or on behalf of the undersigned, to any person for influencing or
attempting to influence an officer or employee of an agency, a Member of
Congress, an officer or employee of Congress, or an employee of a Member
of Congress in connection with the awarding of any Federal contract, the
making of any Federal grant, the making of any Federal loan, the
entering into of any cooperative agreement, and the extension,
continuation, renewal, amendment, or modification of any Federal
contract, grant, loan, or cooperative agreement.
(2) If any funds other than Federal appropriated funds have been
paid or will be paid to any person for influencing or attempting to
influence an officer or employee of any agency, a Member of Congress, an
officer or employee of Congress, or an employee of a Member of Congress
in connection with this Federal contract, grant, loan, or cooperative
agreement, the undersigned shall complete and submit Standard Form-LLL,
``Disclosure Form to Report Lobbying,'' in accordance with its
instructions.
(3) The undersigned shall require that the language of this
certification be included in the award documents for all subawards at
all tiers (including subcontracts, subgrants, and contracts under
grants, loans, and cooperative agreements) and that all subrecipients
shall certify and disclose accordingly.
This certification is a material representation of fact upon which
reliance was placed when this transaction was made or entered into.
Submission of this certification is a prerequisite for making or
entering into this transaction imposed by section 1352, title 31, U.S.
Code. Any person who fails to file the required certification shall be
subject to a civil penalty of not less than $10,000 and not more than
$100,000 for each such failure.

Statement for Loan Guarantees and Loan Insurance

The undersigned states, to the best of his or her knowledge and
belief, that:
If any funds have been paid or will be paid to any person for
influencing or attempting to influence an officer or employee of any
agency, a Member of Congress, an officer or employee of Congress, or an
employee of a Member of Congress in connection with this commitment
providing for the United States to insure or guarantee a loan, the
undersigned shall complete and submit Standard Form-LLL, ``Disclosure
Form to Report Lobbying,'' in accordance with its instructions.
Submission of this statement is a prerequisite for making or
entering into this transaction imposed by section 1352, title 31, U.S.
Code. Any person who fails to file the required statement shall be
subject to a civil penalty of not less than $10,000 and not more than
$100,000 for each such failure.

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Appendix B to Part 1271--Disclosure Form To Report Lobbying
[GRAPHIC] [TIFF OMITTED] TC09SE91.013

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[GRAPHIC] [TIFF OMITTED] TC09SE91.014

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[GRAPHIC] [TIFF OMITTED] TC09SE91.015

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PART 1273 [RESERVED]

PART 1274_COOPERATIVE AGREEMENTS WITH COMMERCIAL FIRMS--Table of Contents

Subpart 1274.1_General

Sec.
1274.101 Purpose.
1274.102 Scope.
1274.103 Definitions.
1274.104 Effect on other issuances.
1274.105 Review requirements.
1274.106 Deviations.
1274.107 Publication of requirements.

Subpart 1274.2_Pre-Award Requirements

1274.201 Purpose.
1274.202 Methods of award.
1274.203 Solicitations/Cooperative Agreement Notices.
1274.204 Costs and payments.
1274.205 Consortia as recipients.
1274.206 Metric Conversion Act.
1274.207 Extended agreements.
1274.208 Intellectual property.
1274.209 Evaluation and selection.
1274.210 Unsolicited proposals.
1274.211 Award procedures.
1274.212 Award information.
1274.213 Distribution of cooperative agreements.
1274.214 Inquiries and release of information.
1274.215 Federal and federally funded construction projects.

Subpart 1274.3_Administration

1274.301 Delegation of administration.
1274.302 Transfers, novations, and change of name agreements.
1274.303 Public access to Federal award information.
1274.304 Reporting a determination that a non-Federal entity is not
qualified for a Federal award.

Subpart 1274.4_Property

1274.401 Government furnished property.
1274.402 Contractor acquired property.

Subpart 1274.5_Procurement Standards

1274.501 Purpose of procurement standards.
1274.502 Recipient responsibilities.
1274.503 Codes of conduct.
1274.504 Competition.
1274.505 Procurement procedures.
1274.506 Cost and price analysis.
1274.507 Procurement records.
1274.508 Contract administration.
1274.509 Contract provisions.
1274.510 Subcontracts.

Subpart 1274.6_Reports and Records

1274.601 Retention and access requirements for records.

Subpart 1274.7_Suspension or Termination

1274.701 Suspension or termination.

Subpart 1274.8_Post-Award/Administrative Requirements

1274.801 Adjustments to performance costs.
1274.802 Modifications.
1274.803 Suspension and Debarment.
1274.804 [Reserved]

Subpart 1274.9_Other Provisions and Special Conditions

1274.901 Other provisions and special conditions.
1274.902 Purpose.
1274.903 Responsibilities.
1274.904 Resource sharing requirements.
1274.905 Rights in data.
1274.906 Designation of new technology representative and patent
representative.
1274.907 Disputes.
1274.908 Milestone payments.
1274.909 Term of agreement.
1274.910 Authority.
1274.911 Patent rights.
1274.912 Patent rights--retention by the recipient (large business).
1274.913 Patent rights--retention by the recipient (small business).
1274.914 Requests for waiver of rights--large business.
1274.915 Restrictions on sale or transfer of technology to foreign
firms or institutions.
1274.916 Liability and risk of loss.
1274.917 Additional funds.
1274.918 Incremental funding.
1274.919 Cost principles and accounting standards.
1274.920 Responsibilities of the NASA Technical Officer.
1274.921 Publications and reports: non-proprietary research results.
1274.922 Suspension or termination.
1274.923 Equipment and other property.
1274.924 Civil rights.
1274.925 Subcontracts.
1274.926 Clean Air-Water Pollution Control Acts.
1274.927 Debarment and Suspension and Drug-Free Workplace.
1274.928 Foreign national employee investigative requirements.
1274.929 Restrictions on lobbying.
1274.930 Travel and transportation.
1274.931 Electronic funds transfer payment methods.

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1274.932 Retention and examination of records.
1274.933 Summary of recipient reporting.
1274.934 Safety.
1274.935 Security classification requirements.
1274.936 Breach of safety or security.
1274.937 Security requirements for unclassified information technology
resources.
1274.938 Modifications.
1274.939 Application of Federal, State, and Local laws and regulations.
1274.940 Changes in recipient's membership.
1274.941 Insurance and indemnification.
1274.942 Export licenses.
1274.943 Investigation of research misconduct.
1274.944 Award term and condition for recipient integrity and
performance matters.

Appendix to Part 1274--Listing of Exhibits

Authority: 51 U.S.C. 20113(e) and 31 U.S.C. 6301 to 6308; 51 U.S.C.
20102, et seq.

Source: 67 FR 45790, July 10, 2002, unless otherwise noted.

Subpart 1274.1_General

Sec. 1274.101 Purpose.

The following policy guidelines establish uniform requirements for
NASA cooperative agreements awarded to commercial firms.

Sec. 1274.102 Scope.

(a) The business relationship between NASA and the recipient of a
cooperative agreement differs from the relationship that exists between
NASA and the recipient of a grant. Under the auspices of a grant, there
is very little involvement and interaction between NASA and the grantee
(other than a few administrative, funding, and reporting requirements,
or in some cases matching of funds). Under a cooperative agreement,
because of its substantial involvement, NASA assumes a higher degree of
responsibility for the technical performance outcomes and associated
financial costs of research activities. In some cooperative agreement
projects, NASA may be required to indemnify the recipient (to the extent
authorized by Congress). While the principal purpose of NASA's
involvement and commitment of resources is to stimulate or support
research activity, a major incentive for involvement by commercial firms
(particularly where costs are shared) is the profit potential from
marketable products expected to result from the cooperative agreement
project.
(b) Cooperative agreements (in areas or research relevant to NASA's
mission) are ordinarily entered into with commercial firms to--
(1) Support research and development;
(2) Provide technology transfer from the Government to the
recipient; or
(3) Develop a capability among U.S. firms to potentially enhance
U.S. competitiveness.
(c) Projects that normally result in a cooperative agreement award
to a commercial entity are projects that:
(1) Are not intended for the direct benefit of NASA;
(2) Are expected to benefit the general public;
(3) Require substantial cost sharing; and
(4) Have commercial applications and profit generating potential.
(d) The principal purpose of cooperative agreements is to stimulate
research to benefit the general public through the criteria stated in
paragraphs (a) through (c) of this section. Since all research
activities must be within NASA's authorized expenditure of
appropriations, there may be instances where NASA can derive incidental
use or benefits while preserving the principal purpose of the
cooperative agreement. However, a careful balance must be established
and maintained in the cooperative agreement's technical and business
objectives, so that the principal purpose of the project serves to
benefit the general public (i.e., technology will transfer from the
Government to the public and the commercial partner expects a marketable
product to result). If a cooperative agreement is awarded when the
proper award instrument should have been a contract (because the primary
purpose of the award is for the direct benefit of NASA), the cooperative
agreement award can be protested. Thus, before pursuing any incidental
benefits that materialize under a cooperative agreement, NASA Centers
should ensure that the advice of legal counsel is obtained.

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Sec. 1274.103 Definitions.

Administrator. The Administrator or Deputy Administrator of NASA.
Agreement officer. A Government employee (usually a Contracting
Officer or Grant Officer) who has been delegated the authority to
negotiate, award, or administer the cooperative agreement. Most often
Contracting Officers are delegated this authority for the more complex
cooperative agreement projects.
Assistant Administrator for Procurement. The head of the Office of
Procurement, NASA Headquarters (Code H).
Cash contributions. The cash invested in a given program or project
by the Federal Government and/or recipient. The recipient's cash
contributions may include money contributed by third parties.
Closeout. The process by which NASA determines that all applicable
administrative actions and all required work of the award have been
completed by the recipient and NASA.
Commercial item. The definition in FAR 2.101 is applicable.
Consortium. A consortium is a group of organizations that enter into
an agreement to collaborate for the purposes of the cooperative
agreement with NASA. The agreement to collaborate can take the form of a
legal entity such as a partnership or joint venture but it is not
necessary that such an entity be created. A consortium may be made up of
firms that normally compete for commercial or Government business or may
be made up of firms that perform complementary functions in a given
industry.
Cooperative agreement. As defined by 31 U.S.C. 6305, cooperative
agreements are financial assistance instruments used to stimulate or
support activities for authorized purposes and in which the Government
participates substantially in the performance of the effort. This Part
1274 covers only cooperative agreements with commercial firms where
resource sharing is involved. Cooperative agreements with other types of
organizations are covered by 14 CFR Part 1260.
Cooperative agreement notice (CAN). Publication on Federal Business
Opportunities (FedBizOpps) or NASA Acquisition Internet Service (NAIS)
websites advertising the solicitation of competitive proposals for the
award of a cooperative agreement.
Cost sharing. Arrangement whereby the Government and the recipient
share the funding requirements of a program or project at an agreed upon
ratio or percentage (normally 50/50). Normally, the Government's payment
of its share of the costs is contingent upon the accomplishment of
tangible milestones (preferred method). Any payment arrangement that is
based on a method other than the accomplishment of tangible milestones
(e.g., a reimbursable arrangement where NASA pays a share of incurred
costs, regardless of the accomplishment of tangible milestones) must be
approved through the deviation process discussed in 1274.106.
Date of completion. The date on which all work under an award is
completed or the date on the award document, or any supplement or
amendment thereto, on which NASA sponsorship ends.
Days. Calendar days, unless otherwise indicated.
General purpose equipment. Equipment which is usable for other than
research, medical, scientific, or technical activities, whether or not
special modifications are needed to make them suitable for a particular
purpose. Examples of general purpose equipment include office equipment
and furnishings, air conditioning equipment, reproduction and printing
equipment, motor vehicles, and automatic data processing equipment.
Government furnished equipment. Equipment in the possession of, or
acquired directly by, the Government and subsequently delivered, or
otherwise made available, to a recipient and equipment procured by the
recipient with Government funds under a cooperative agreement. In most
cases, Government furnished equipment will be counted as part of the
Government's in-kind or non-cash contributions to the cooperative
agreement for the purpose of determining the share ratio.
Incremental funding. A method of funding a cooperative agreement
where the funds initially allotted to the cooperative agreement are less
than the award amount. Additional funding is added as described in
Sec. 1274.918.

[[Page 276]]

Non-cash or in-kind contributions. May be in the form of personnel
resources (where cost accounting methods allow accumulation of such
costs), real property, equipment, supplies and other expendable
property, and the value of goods and services directly benefiting and
specifically identifiable to the project or program. Costs incurred by
NASA to provide the services of one of its support contractors to
perform part of NASA's requirements under a cooperative agreement shall
be included as part of NASA's cost share, and will be counted as an in-
kind contribution to the cooperative agreement.
Recipient. An organization receiving financial assistance under a
cooperative agreement to carry out a project or program. A recipient may
be an individual firm, including sole proprietor, partnership,
corporation, or a consortium of business entities.
Research misconduct is defined in 14 CFR 1275.101. NASA policies and
procedures regarding Research misconduct are set out in 14 CFR part
1275, ``Investigation of Research Misconduct.''
Resource contributions. The total value of resources provided by
either party to the cooperative agreement including both cash and non-
cash contributions.
Subcontracting dollar threshold. The dollar amount of the
cooperative agreement subject to the small business subcontracting
policies (includes small business, veteran-owned small business,
service-disabled veteran-owned small business, historically
underutilized small business, small disadvantaged business, women-owned
business concerns, Historically Black Colleges and Universities, and
minority educational institutions). For cooperative agreements, the
dollar threshold to which the small business subcontracting policies
apply, is established by the total amount of NASA's cash contributions.
Suspension. An action by NASA or the recipient that temporarily
discontinues efforts under an award, pending corrective action or
pending a decision to terminate the award.
Technical officer. The official of the cognizant NASA office who is
responsible for monitoring the technical aspects of the work under a
cooperative agreement. A Contracting Officer's Technical Representative
may serve as a Technical Officer.
Termination. The cancellation of a cooperative agreement in whole or
in part, by either party at any time prior to the date of completion.

[67 FR 45790, July 10, 2002, as amended at 70 FR 28809, May 19, 2005]

Sec. 1274.104 Effect on other issuances.

For awards subject to this part, all administrative requirements of
codified program regulations, program manuals, handbooks and other non-
regulatory materials which are inconsistent with the requirements of
this part shall be superseded, except to the extent they are required by
statute, or authorized in accordance with the deviations provision in
Sec. 1274.106.

Sec. 1274.105 Review requirements.

(a) Once the decision is made by a Headquarters program office or
Center procurement personnel, to pursue the Cooperative Agreement Notice
(CAN) process, for which the total NASA resources to be expended equal
or exceed $10 million (cash plus non-cash contributions), a notification
shall immediately be provided to the Assistant Administrator for
Procurement (Code HS). The notification(s) shall be forwarded by the
cognizant Headquarters program office or the Center procurement office
(as applicable). For any CAN where NASA's cash contributions are
expected to equal or exceed $10 million, Headquarters program office or
Center procurement personnel shall also notify the Assistant
Administrator for Small and Disadvantaged Business Utilization (Code K).
All such notifications, as described in paragraph (b) of this section,
shall evidence concurrence by the cognizant Center Procurement Officer.
These review requirements also apply where an unsolicited proposal is
received from a commercial firm (or from a team of recipients where one
of more team members is a commercial firm), and the planned award
document is a cooperative agreement.
(b) The notification shall be accomplished by sending an electronic
mail (e-mail) message to the following address at NASA Headquarters:

[[Page 277]]

[email protected]. The notification must include the following
information, as a minimum--
(1) Identification of the cognizant Center and program office;
(2) Description of the proposed program for which proposals are to
be solicited;
(3) Rationale for decision to use a CAN rather than other types of
solicitations;
(4) The amount of Government funding to be available for award(s);
(5) Estimate of the number of cooperative agreements to be awarded
as a result of the CAN;
(6) The percentage of cost-sharing to be required;
(7) Tentative schedule for release of CAN and award of cooperative
agreements;
(8) If the term of the cooperative agreement is anticipated to
exceed 3 years and/or if the Government cash contribution is expected to
exceed $20M, address anticipated changes, if any, to the provisions (see
Sec. 1274.207); and
(9) If the cooperative agreement is for programs/projects that
provide aerospace products or capabilities, (e.g., provision of space
and aeronautics systems, flight and ground systems, technologies and
operations), a statement that the requirements of NASA Policy Directive
(NPD) 7120.4 and NASA Policy Guidance (NPG) 7120.5 have been met. This
affirmative statement will include a specific reference to the signed
Program Commitment Agreement.
(c) Code HS will respond by e-mail message to the sender, with a
copy of the message to the Procurement Officer and the Office of Small
and Disadvantaged Business Utilization, within five (5) working days of
receipt of this initial notification. The response will address the
following:
(1) Whether Code HS agrees or disagrees with the appropriateness for
using a CAN for the effort described,
(2) Whether Code HS will require review and approval of the CAN
before its issuance,
(3) Whether Code HS will require review and approval of the selected
offeror's cost sharing arrangement (e.g., cost sharing percentage; type
of contribution (cash, labor, etc.)).
(4) Whether Code HS will require review and approval of the
resulting cooperative agreement(s).
(d) If a response from Code HS is not received within 5 working days
of notification, the program office or Center may proceed with release
of the CAN and award of the cooperative agreements as described.
(e) Before issuance, each field-generated CAN shall be approved by
the installation director or designee, with the concurrence of the
procurement officer. Each Headquarters generated CAN shall be approved
by the cognizant Program Associate Administrator or designee, with
concurrence of the Headquarters Offices of General Counsel (Code GK),
External Relations (Code I), Safety & Mission Assurance (Code Q), and
Procurement (Code HS).

Sec. 1274.106 Deviations.

(a) The Assistant Administrator for Procurement may grant exceptions
for classes of, or individual cooperative agreements and deviations from
the requirements of this Regulation when exceptions are not prohibited
by statute.
(b) A deviation is required for any of the following:
(1) When a prescribed provision set forth in this regulation for use
verbatim is modified or omitted.
(2) When a provision is set forth in this regulation, but not
prescribed for use verbatim, and the installation substitutes a
provision which is inconsistent with the intent, principle, and
substance of the prescribed provision.
(3) When a NASA form or other form is prescribed by this regulation,
and that form is altered or another form is used in its place.
(4) When limitations, imposed by this regulation upon the use of a
provision, form, procedure, or any other action, are not adhered to.
(c) Requests for authority to deviate from this regulation will be
forwarded to Headquarters, Program Operations Division (Code HS). Such
requests, signed by the Procurement Officer, shall contain as a
minimum--

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(1) A full description of the deviation and identification of the
regulatory requirement from which a deviation is sought;
(2) Detailed rationale for the request, including any pertinent
background information;
(3) The name of the recipient and identification of the cooperative
agreement affected, including the dollar value.
(4) A statement as to whether the deviation has been re quested
previously, and, if so, circumstances of the previous request(s); and
(5) A copy of legal counsel's concurrence or comments.

Sec. 1274.107 Publication of requirements.

Cooperative agreements may result from recipient proposals submitted
in response to the publication of a NASA Research Announcement (NRA), a
Cooperative Agreement Notice (CAN), or other Broad Agency Announcement
(BAA). BAAs, NRAs and CANs are normally promulgated through publicly
accessible Government-wide announcements such as those published under
the Federal Business Opportunities (FedBizOpps), and/or the NASA
Acquisition Internet Service (NAIS). Prior to publicizing the CAN, see
Sec. 1274.105.

Subpart 1274.2_Pre-Award Requirements

Sec. 1274.201 Purpose.

This subpart provides pre-award guidance, prescribes forms and
instructions, and addresses other pre-award matters.

Sec. 1274.202 Methods of award.

(a) Competitive agreements. Consistent with 31 U.S.C. 6301(3), NASA
uses competitive procedures to award cooperative agreements whenever
possible.
(b) Awards using other than competitive procedures. Solicitations
for award of a Cooperative Agreement shall not be issued to, nor
negotiations conducted with a single source unless--
(1) Use of such actions is documented in writing; and
(2) Concurrence and approvals are obtained. The dollar thresholds
will be determined by the total value of the resources committed to the
Cooperative Agreement (cash and quantifiable in-kind contributions).

Sec. 1274.203 Solicitations/cooperative agreement notices.

(a) Agreement officers should use every effort to issue draft pre-
award cooperative agreement information. Any draft documentation
released for comment shall contain all factors/subfactors. Draft
documents should be as close to the final product as possible. Draft
Cooperative Agreement Notices (CAN's) or Cooperative Agreements (CA)
should include terms and conditions, special requirements and expected
cash and non-cash (in-kind) contributions.
(1) Publication of draft documentation may serve to prevent
unnecessary expenditure of resources and unproductive time that may be
spent by NASA and potential recipients. Release of draft documentation
also serves to assist NASA in refining program objectives and
requirements, and maximizes the quality of research proposals submitted
for formal evaluation and source selection.
(2) During the information gathering process, comments may be
invited from potential recipients on all aspects of the draft
documentation, including the requirements, schedules, proposal
instructions and evaluation approaches. Potential recipients should be
specifically requested to identify unnecessary or inefficient
requirements. Comments should also be requested on any perceived safety,
occupational health, security (including information technology
security), environmental, export control, and/or other programmatic risk
issues associated with performance of the CA.
(3) Agreement officers should include in the award schedule adequate
time for the process to include industry review and comments, and NASA's
evaluation and disposition of comments received.
(4) When providing draft documents for comment, the draft CAN shall
advise interested parties that any issued draft documentation shall not
be considered as a solicitation for award, and that NASA is not
requesting proposals in response to the draft publication.

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(5) Whenever feasible, agreement officers should include a summary
of the disposition of significant comments when issuing the final CAN
and/or CA.
(b) The evaluation section of the CAN shall notify potential
recipients of the relative importance of factors, and any subfactors or
other criteria that will be evaluated during the selection process.
(c) For its research projects, NASA may publish the expected project
goals and objectives in terms of ``What'' the commercial recipient is
expected to accomplish. The commercial recipient may be required to
submit a proposed statement of work with its proposal stating ``How''
the recipient will accomplish the task(s). Depending on its importance
to the success of the project, for some projects the recipient's
statement of work may be included as an evaluation criterion for award.
In these instances, the requirement for submission of the recipient's
statement of work will be clearly identified as a subfactor or criterion
that will be evaluated, and its relative weight or ranking in relation
to other evaluation criteria shall be stated. In all cases, where the
recipient submits a statement of work in response to NASA project
objectives, NASA shall have final approval of the acceptability of the
statement of work.
(d) Where performance-based milestone payments are planned, the
potential recipient should be encouraged to suggest in its statement of
work (which incorporates the project goals and objectives), or elsewhere
in its proposal, terms and/or performance events upon which milestone
payments can be negotiated.
(e) The CAN should provide a description and value for any
quantifiable non-cash or in-kind Government resources (personnel,
equipment, facilities, etc.), in addition to any cash funds that will be
offered by the Government as part of its contributions to the
cooperative agreement. As part of its proposal package, the recipient
may also identify additional non-cash or in-kind resources it wishes
NASA to contribute. The recipient shall verify the suitability of the
requested resource(s) to the work to be performed under the cooperative
agreement. Any additional verifiable and suitable non-cash or in-kind
resources requested, shall be added to NASA's shared cost of performing
the cooperative agreement, and may require increased cash or in-kind
contributions from the recipient to meet its percentage of the cost
share.
(f) To protect the integrity of the competitive process, upon
release of the formal CAN the agreement officer shall direct that all
personnel associated with the source selection refrain from
communicating with prospective recipients and to refer all inquiries to
the agreement officer or other authorized representative. The
notification to potential recipients may be sent in any format (e.g.,
letter or electronic) appropriate to the complexity of the acquisition.
It is not intended that all communication with potential recipients be
terminated. Agreement officers should continue to provide information as
long as it does not create an unfair competitive advantage or reveal
proprietary data.
(g) If NASA anticipates that the total Federal share of any award
made under a funding agreement may exceed, over the period of
performance, the simplified acquisition threshold, the notice of funding
opportunity must include the information as required in Appendix 1 to
Part 200, paragraph E.3, paragraph E.4, and paragraph F.3.

[67 FR 45790, July 10, 2002, as amended at 81 FR 35584, June 3, 2016]

Sec. 1274.204 Costs and payments.

(a) Cost allowability. (1) Cooperative agreements awarded to
commercial firms are subject to the cost accounting standards and
principles of 48 CFR Chapter 99, as implemented by FAR Parts 30 and 31.
(2) If the recipient is a consortium which includes non-commercial
entities as members, cost allowability for those members will be
determined as follows:
(i) Allowability of costs incurred by state, local or federally-
recognized Indian tribal governments is determined in accordance with
the provisions of OMB Circular A-87, ``Cost Principles for State and
Local Governments.''

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(ii) The allowability of costs incurred by non-profit organizations
is determined in accordance with the provisions of OMB Circular A-122,
``Cost Principles for Non-Profit Organizations.''
(iii) The allowability of costs incurred by institutions of higher
education is determined in accordance with the provisions of OMB
Circular A-21, ``Cost Principles for Educational nstitutions.''
(iv) The allowability of costs incurred by hospitals is determined
in accordance with the provisions of Appendix E of 45 CFR part 74,
``Principles for Determining Costs Applicable to Research and
Development Under Grants and Contracts with Hospitals.''
(3) A recipient's method for accounting for the expenditure of funds
must be consistent with generally accepted accounting principles.
(b) Cost sharing. (1) Given the mutually beneficial nature of, in
particular, potential commercially marketable products expected to
result from the research activities of the cooperative agreement,
resource contributions are required from the recipient. The commercial
recipient is expected to contribute at least 50 percent of the total
resources necessary to accomplish the cooperative agreement effort.
Recipient contributions may be cash, non-cash (in-kind) or both.
Acceptable non-cash or in-kind resources include such items as
equipment, facilities, labor, office space, etc. In determining the
incentive to the recipient to share costs, agreement officers must
consider a variety of factors. For example, while the future
profitability of intellectual property may serve as an incentive for
involvement of the commercial firm in the cooperative agreement, the
actual or imputed value of such items as patent rights, data rights,
trade secrets, etc., included in intellectual property is generally not
considered a reliable source for computation of the recipient's
contributions.
(2) In most cases these costs are not readily quantifiable. Thus,
although the value of intellectual property rights should be factored
into the incentive for the recipient to share at least 50 percent of
costs, intellectual property rights do not serve as quantifiable amounts
to determine the equitable dollar amounts of costs to be shared.
(3) As is expected from the commercial partner, the Government's
cost share should reflect certain non-cash as well as cash contributions
to the most practicable extent possible. Where quantifiable, NASA will
include in the calculation of the Government's cost share, non-cash or
in-kind contributions, which includes the value of equipment, personnel,
and facilities. Costs incurred by NASA to provide the services of one or
more support contractors to perform part of NASA's requirements under a
cooperative agreement will be counted as part of NASA's in-kind
contributions. This approach is also supported by the initiative to
implement full cost accounting methods within the Federal Government.
(4) When other Government agencies act as partners along with NASA
(e.g., Department of Defense or Federal Aviation Administration), the
resources contributed by any Government agency shall be counted as part
of the Government's total cost share under the cooperative agreement.
(5) For every cooperative agreement, there should be evidence of the
recipient's strong commitment and self-interest in the success of the
research project. A very strong indicator of a recipient's self-interest
is the willingness to commit to a meaningful level of cost sharing
(i.e., 50 percent). Before considering whether it is impracticable for
the recipient to share at least 50% of the performance costs, agreement
officers should also consider whether other factors exist that
demonstrate the recipient's financial stake or self-interest in the
success of the cooperative agreement.
(6) In cases where a contribution of less than 50 percent is
anticipated from the commercial recipient, approval of the Assistant
Administrator for Procurement (Code HS) is required prior to award. The
request for approval should address the evaluation factor in the
solicitation and how the proposal accomplishes those objectives to such
a degree that a share ratio of less than 50 percent is warranted.
(7) Once accepted for application to costs shared under the
cooperative

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agreement, cash and in-kind contributions including Independent Research
and Development (IR&D) costs, may not be included as contributions for
any other federally assisted project or program.
(c) Fixed funding. (1) Cooperative agreements are funded by NASA
through the disbursement of agreed upon fixed payment amounts to the
recipient. NASA makes disbursement of funds to the recipient as
``Milestone payments'' discussed in paragraph (d) of this section. If
the recipient achieves the final milestone, final payment is made, which
completes NASA's financial responsibilities under the agreement.
(2) Fixed payments on a cooperative agreement are made by NASA based
on the accomplishment by the recipient of predetermined tangible
milestones. Any arrangement where payments are made on a basis other
than accomplished tangible milestones must be approved in accordance
with the requirements of Sec. 1274.106 Deviations.
(3) If the cooperative agreement is terminated prior to achievement
of all milestones, NASA's funding is limited to milestone payments
already made plus NASA's share of costs incurred to meet commitments of
the recipient, which had in the judgment of NASA become firm prior to
the effective date of termination. In no event, however, shall the
amount of NASA's share of these additional costs exceed the amount of
the next scheduled milestone payment.
(d) Milestone obligations and payments. Agreement officers,
technical officers, accounting and finance officials, and all other
responsible NASA personnel shall ensure that funds for milestone
payments are obligated, billed and expended in accordance with the
guidance set forth by the NASA Financial Management Manual (FMM 9000).
(1) There must always be sufficient funds obligated to cover the
next milestone payment. In addition, funds must be made available (but
not necessarily obligated) to cover all milestone payments expected to
be made during the current fiscal year of performance.
(2) Disbursement of funds to the recipient is based on the
achievement of milestones or performance-related benchmarks. The
milestone must represent the accomplishment of verifiable, significant
event(s) and may not be based upon the mere passage of time or the
performance of a particular level of effort. The Government technical
officer must verify to and advise the agreement officer that each
milestone has been achieved prior to authorizing the corresponding
payment.
(3) The amount of funds to be disbursed by NASA in recognition of
the achievement of milestones (``milestone payments'') shall be
established consistent with the ratio of resource sharing agreed upon
under the cooperative agreement (see paragraph (e)(2) of this section).
While the schedule for milestone achievement must reflect the project
being undertaken, the frequency should not be greater than one payment
per month. For many projects, scheduling milestones to be accomplished
about every 60 to 90 days appears to be most workable. Partial or
interim milestone payments may not be made.
(4) The final milestone payment should be structured so that the
associated payment is large enough to provide incentive to the recipient
to complete its responsibilities under the cooperative agreement.
Alternatively, funds may be reserved for disbursement after completion
of the effort.
(e) Incremental funding. Whenever the period of performance for the
cooperative agreement crosses fiscal years, the agreement shall be
incrementally funded using appropriations from different fiscal years.
In other circumstances, incremental funding may be appropriate. The
total amount of funds obligated during the course of a fiscal year must
be sufficient to cover the Government's share of the costs anticipated
to be incurred by the recipient during that fiscal year. NASA may allot
funds to an agreement at various times during a fiscal year in
anticipation of the occurrence of costs. However, there must always be
sufficient funds obligated to cover all milestone payments expected to
be made during the current fiscal year.
(f) Profit applicability. Recipients shall not be paid a profit
under cooperative agreements. Profit may be paid by the recipient to
subcontractors, if

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the subcontractor is not part of the offering team and the subcontract
is an arms-length relationship. All entities that are involved in
performing the research and development effort that is the purpose of
the cooperative agreement shall be part of the recipient's consortium
and not subcontractors.
(g) Independent Research and Development (IR&D) costs. When
determining the applicable dollar amounts or reasonableness of proposed
IR&D costs to be included as part of the recipient's cost share,
agreement officers should seek assistance from DCAA or the cognizant
audit agency.
(1) In accordance with FAR 31.205-18(e), IR&D costs may include
costs contributed by contractors in performing cooperative research and
development agreements or similar arrangements, entered into under
sections 203(c)(5) and (6) of the National Aeronautics and Space Act of
1958, as amended (42 U.S.C. 2473(c)(5) and (6)). IR&D costs incurred by
a contractor pursuant to these types of cooperative agreements should be
considered as allowable IR&D costs if the work performed would have been
allowed as contractor IR&D had there been no cooperative arrangement.
(2) IR&D costs (or an agreed upon portion of IR&D costs) incurred by
the recipient's organization and deemed by NASA as the same type of
research being undertaken by the cooperative agreement between NASA and
the recipient may serve as part of the recipient's contribution of
shared costs under the cooperative agreement. When considering the use
of IR&D costs as part of the recipient's cost share, the IR&D costs
offered by the recipient shall meet the requirements of FAR 31.205-18.
Any IR&D costs incurred in a prior period, and offered as part of the
recipient's cost share shall meet the criteria established by FAR
31.205-18(d), Deferred IR&D Costs.

Sec. 1274.205 Consortia as recipients.

(a) The use of consortia as recipients for cooperative agreements is
encouraged. Such arrangements tend to bring a broader range of
capabilities and resources to the cooperative agreement. In addition,
consortium members can better share the projects financial costs (e.g.,
the 50 percent recipient's cost share or other costs of performance).
(b) NASA enters into an agreement with only one entity (as
identified by the consortium members). (Also see Sec. 1274.940.) The
inclusion of non-profit or educational institutions, small businesses,
or small disadvantaged businesses in the consortium could be
particularly valuable in ensuring that the results of the consortium's
activities are disseminated.
(c) Key to the success of the cooperative agreement with a
consortium is the consortium's Articles of Collaboration, which is a
definitive description of the roles and responsibilities of the
consortium's members. The Articles of Collaboration must designate a
lead firm to represent the consortium and authority to sign on the
consortium's behalf. It should also address to the extent appropriate--
(1) Commitments of financial, personnel, facilities and other
resources;
(2) A detailed milestone chart of consortium activities;
(3) Accounting requirements;
(4) Subcontracting procedures;
(5) Disputes;
(6) Term of the agreement;
(7) Insurance and liability issues;
(8) Internal and external reporting requirements;
(9) Management structure of the consortium;
(10) Obligations of organizations withdrawing from the consortia;
(11) Allocation of data and patent rights among the consortia
members
(12) Agreements, if any, to share existing technology and data;
(13) The firm that is responsible for the completion of the
consortium's responsibilities under the cooperative agreement and has
the authority to commit the consortium and receive payments from NASA,
and address employee policy or other personnel issues.
(d) The consortium's charter or by-laws may be substituted for the
Articles of Collaboration only if they are inclusive of all of the
required information.
(e) An outline of the Articles of Collaboration should be required
as part of the proposal and evaluated during the source selection
process. Articles of

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Collaboration do not become part of the resulting cooperative agreement.

Sec. 1274.206 Metric Conversion Act.

The Metric Conversion Act, as amended by the Omnibus Trade and
Competitiveness Act (15 U.S.C. 205) declares that the metric system is
the preferred measurement system for U.S. trade and commerce. NASA's
policy with respect to the metric measurement system is stated in NPD
8010.2, Use of the Metric System of Measurement in NASA Programs.

Sec. 1274.207 Extended agreements.

(a) Multiple year cooperative agreements are encouraged, but
normally they should span no more than three years.
(b) Cooperative agreements that will exceed $5 million and have a
period of performance in excess of 5 years shall require the approval of
the Assistant Administrator for Procurement prior to award. Requests for
approval shall include a justification for exceeding 5 years and
evidence that the extended years can be reasonably priced. Requests for
approval are not required when the 5-year limitation is exceeded due to
a no cost extension.
(c) Cooperative agreement renewals provide for the continuation of
research beyond the original scope, period of performance and funding
levels; therefore, new proposals, certifications, and technical
evaluations are required prior to the execution of a cooperative
agreement renewal. Renewals will be awarded as new cooperative
agreements. Continued performance within a period specified under a
multiple year cooperative agreement provision does not constitute a
renewal.
(d) The provisions set forth in Sec. 1274.901 are generally
considered appropriate for agreements not exceeding 3 years and/or a
Government cash contribution not exceeding $20M. For cooperative
agreements expected to be longer than 3 years and/or involve Government
cash contributions exceeding $20M, consideration should be given to
provisions which place additional restrictions on the recipient in terms
of validating performance and accounting for funds expended.

[67 FR 45790, July 10, 2002, as amended at 68 FR 14535, Mar. 26, 2003]

Sec. 1274.208 Intellectual property.

(a) Intellectual property rights. A cooperative agreement covers the
disposition of rights to intellectual property between NASA and the
recipient. If the recipient is a consortium or partnership, rights
flowing between multiple organizations in a consortium must be
negotiated separately and formally documented, preferably in the
Articles of Collaboration.
(b) Rights in patents. Patent rights clauses are required by statute
and regulation. The clauses exist for recipients of the agreement
whether they are--
(1) Other than small business or nonprofit organizations (generally
referred to as large businesses) or
(2) Small businesses or nonprofit organizations.
(c) Inventions. There are five situations in which inventions may
arise under a cooperative agreement--
(1) Recipient Inventions;
(2) Subcontractor Inventions;
(3) NASA Inventions;
(4) NASA Support Contractor Inventions; and
(5) Joint Inventions with Recipient.
(d) Recipient inventions. (1) A recipient, if a large business, is
subject to section 305 of the National Aeronautics and Space Act of 1958
(42 U.S.C. 2457) relating to property rights in inventions. The term
``invention'' includes any invention, discovery, improvement, or
innovation. Title to an invention made under a cooperative agreement by
a large business recipient initially vests with NASA. The recipient may
request a waiver under the NASA Patent Waiver Regulations to obtain
title to inventions made under the agreement. Such a request may be made
in advance of the agreement (or 30 days thereafter) for all inventions
made under the agreement. Alternatively, requests may be made on a case-
by-case basis any time an individual invention is made. Such waivers are
liberally and expeditiously granted after review by NASA's Invention and
Contribution Board and approval by

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NASA's General Counsel. When a waiver is granted, any inventions made in
the performance of work under the agreement are subject to certain
reporting, election and filing requirements, a royalty-free license to
the Government, march-in rights, and certain other reservations.
(2) A recipient, if a small business or nonprofit organization, may
elect to retain title to its inventions. The term ``nonprofit
organization'' is defined in 35 U.S.C. 201(i) and includes universities
and other institutions of higher education or an organization of the
type described in section 501(c)(3) of the Internal Revenue Code. The
Government obtains an irrevocable, nonexclusive, royalty-free license.
(e) Subcontractor inventions--(1) Large business. If a recipient
enters into a subcontract (or similar arrangement) with a large business
organization for experimental, developmental, research, design or
engineering work in support of the agreement to be performed in the
United States, its possessions, or Puerto Rico, section 305 of the Space
Act applies. The clause applicable to large business organizations is to
be used (suitably modified to identify the parties) in any subcontract.
The subcontractor may request a waiver under the NASA Patent Waiver
Regulations to obtain rights to inventions made under the subcontract
just as a large business recipient can (see paragraph (d)(1) of this
section). It is strongly recommended that a prospective large business
subcontractor contact the NASA installation Patent Counsel or
Intellectual Property Counsel to assure that the right procedures are
followed. Just like the recipient, any inventions made in the
performance of work under the agreement are subject to certain
reporting, election and filing requirements, a royalty-free license to
the Government, march-in rights, and certain other reservations.
(2) Non-profit organization or small business. In the event the
recipient enters into a subcontract (or similar arrangement) with a
domestic nonprofit organization or a small business firm for
experimental, developmental, or research work to be performed under the
agreement, the requirements of 35 U.S.C. 200 et seq. regarding ``Patent
Rights in Inventions Made With Federal Assistance,'' apply. The
subcontractor has the first option to elect title to any inventions made
in the performance of work under the agreement, subject to specific
reporting, election and filing requirements, a royalty-free license to
the Government, march-in rights, and certain other reservations that are
specifically set forth.
(3) Work outside the United States. If the recipient subcontracts
for work to be done outside the United States, its possessions or Puerto
Rico, the NASA installation Patent Counsel or Intellectual Property
Counsel should be contacted for the proper patent rights clause to use
and the procedures to follow.
(4) Notwithstanding paragraphs (e)(1), (2), and (3) of this section,
and in recognition of the recipient's substantial contribution, the
recipient is authorized, subject to rights of NASA set forth elsewhere
in the agreement, to:
(i) Acquire by negotiation and mutual agreement rights to a
subcontractor's subject inventions as the recipient may deem necessary;
or
(ii) If unable to reach agreement pursuant to paragraph (e)(4)(i) of
this section, request that NASA invoke exceptional circumstances as
necessary pursuant to 37 CFR 401.3(a)(2) if the prospective
subcontractor is a small business firm or nonprofit organization, or for
all other organizations, request that such rights for the recipient be
included as an additional reservation in a waiver granted pursuant to 14
CFR 1245.1. The exercise of this exception does not change the flow down
of the applicable patent rights clause to subcontractors. Applicable
laws and regulations require that title to inventions made under a
subcontract must initially reside in either the subcontractor or NASA,
not the recipient. This exception does not change that. The exception
does authorize the recipient to negotiate and reach mutual agreement
with the subcontractor for the grant-back of rights. Such grant-back
could be an option for an exclusive license or an assignment, depending
on the circumstances.
(f) NASA inventions. NASA will use reasonable efforts to report
inventions

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made by its employees as a consequence of, or which bear a direct
relation to, the performance of specified NASA activities under an
agreement. Upon timely request, NASA will use its best efforts to a
grant recipient first option to acquire either an exclusive or
partially-exclusive, revocable, royalty-bearing license, on terms to be
negotiated, for any patent applications and patents covering such
inventions. This exclusive or partially-exclusive license to the
recipient will be subject to the retention of rights by or on behalf of
the Government for Government purposes.
(g) NASA support contractor inventions. It is preferred that NASA
support contractors be excluded from performing any of NASA's
responsibilities under an agreement since the rights obtained by a NASA
support contractor could work against the rights needed by the
recipient. In the event NASA support contractors are tasked by NASA to
work under the agreement and inventions are made by support contractor
employees, the support contractor will normally retain title to its
employee inventions in accordance with 35 U.S.C. 202, 14 CFR part 1245,
and E.O. 12591. In the event the recipient decides not to pursue right
to title in any such invention and NASA obtains title to such
inventions, upon timely request, NASA will use its best efforts to grant
the recipient first option to acquire either an exclusive or partially
exclusive, revocable, royalty-bearing license, upon terms to be
negotiated, for any patent applications and patents covering such
inventions. This exclusive or partially-exclusive license to the
recipient will be subject to the retention of rights by or on behalf of
the Government for Government purposes.
(h) Joint inventions. (1) NASA and the recipient agree to use
reasonable efforts to identify and report to each other any inventions
made jointly between NASA employees (or employees of NASA support
contractors) and employees of Recipient. For large businesses, the
Associate General Counsel (Intellectual Property) may agree that the
United States will refrain, for a specified period, from exercising its
undivided interest in a manner inconsistent with the recipient's
commercial interest. For small business firms and nonprofit
organizations, the Associate General Counsel (Intellectual Property) may
agree to assign or transfer whatever rights NASA may acquire in a
subject invention from its employee to the recipient as authorized by 35
U.S.C. 202(e). The agreement officer negotiating the agreement with
small business firms and nonprofit organizations can agree, up front,
that NASA will assign whatever rights it may acquire in a subject
invention from its employee to the small business firm or nonprofit
organization. Requests under this paragraph shall be made through the
Center Patent Counsel.
(2) NASA support contractors may be joint inventors. If a NASA
support contractor employee is a joint inventor with a NASA employee,
the same provisions apply as those for NASA support contractor
inventions (see paragraph (g) of this section). The NASA support
contractor will retain or obtain nonexclusive licenses to those
inventions in which NASA obtains title. If a NASA support contractor
employee is a joint inventor with a recipient employee, the NASA support
contractor and recipient will become joint owners of those inventions in
which they have elected to retain title or requested and have been
granted waiver of title. Where the NASA support contractor has not
elected to retain title or has not been granted waiver of title, NASA
will jointly own the invention with the Recipient.
(i) Licenses to recipient(s). (1) Any exclusive or partially
exclusive commercial licenses are to be royalty-bearing consistent with
Government-wide policy in licensing its inventions. It also provides an
opportunity for royalty-sharing with the employee-inventor, consistent
with Government-wide policy under the Federal Technology Transfer Act.
(2) Upon application in compliance with 37 CFR Part 404--Licensing
of Government Owned Inventions, all recipients shall be granted a
revocable, nonexclusive, royalty-free license in each patent application
filed in any country on a subject invention and any

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resulting patent in which the Government obtains title. Because
cooperative agreements are cost sharing cooperative arrangements with a
purpose of benefiting the public by improving the competitiveness of the
recipient and the Government receives an irrevocable, nonexclusive,
royalty-free license in each recipient subject invention, it is only
equitable that the recipient receive, at a minimum, a revocable,
nonexclusive, royalty-free license in NASA inventions and NASA
contractor inventions where NASA has acquired title.
(3) Once a recipient has exercised its option to apply for an
exclusive or partially exclusive license, a notice, identifying the
invention and the recipient, is published in the Federal Register,
providing the public opportunity for filing written objections for 60
days.
(j) Preference for United States manufacture. Despite any other
provision, the recipient agrees that any products embodying subject
inventions or produced through the use of subject inventions shall be
manufactured substantially in the United States. ``Manufactured
substantially in the United States'' means the product must have over 50
percent of its components manufactured in the United States. This
requirement is met if the cost to the recipient of the components mined,
produced, or manufactured in the United States exceeds 50 percent of the
cost of all components required to make the product. In making this
determination, only the product and its components shall be considered.
The cost of each component includes transportation costs to the place of
incorporation into the product and any applicable duty whether or not a
duty-free entry certificate is issued. Components of foreign origin of
the same class or kind for which determinations have been made in
accordance with FAR 25.101(a) are treated as domestic. Scrap generated,
collected, and prepared for processing in the United States is
considered domestic. The intent of this provision is to support
manufacturing jobs in the United States regardless of the status of the
recipient as a domestic or foreign controlled company. However, in
individual cases, the requirement to manufacture substantially in the
United States, may be waived by the Assistant Administrator for
Procurement (Code HS) upon a showing by the recipient that under the
circumstances domestic manufacture is not commercially feasible.
(k) Space Act agreements. Invention and patent rights in cooperative
agreements must comply with statutory and regulatory provisions. Where
circumstances permit, a Space Act Agreement is available as an
alternative instrument which can be more flexible in the area of
invention and patent rights.
(l) Data rights. Data rights provisions can and should be tailored
to best achieve the needs and objectives of the respective parties
concerned.
(1) The data rights clause at Sec. 1274.905 assumes a substantially
equal cost sharing relationship where collaborative research,
experimental, developmental, engineering, demonstration, or design
activities are to be carried out, such that it is likely that
``proprietary'' information will be developed and/or exchanged under the
agreement. If cost sharing is unequal or no extensive research,
experimental, developmental, engineering, demonstration, or design
activities are likely, a different set of clauses may be appropriate.
(2) The primary question that must be answered when developing data
clauses is what does each party need or intend to do with the data
developed under the agreement. Accordingly, the data rights clauses may
be tailored to fit the circumstances. Where conflicting goals of the
parties result in incompatible data provisions, agreement officers for
the Government must recognize that private companies entering into
cooperative agreements bring resources to that relationship and must be
allowed to reap an appropriate benefit for the expenditure of those
resources. However, since serving a public purpose is a major objective
of a cooperative agreement, care must be exercised to ensure the
recipient is not established as a long term sole source supplier of an
item or service and is not in a position to take unfair advantage of the
results of the cooperative agreement. Therefore, a reasonable time
period (i.e., depending on the technology, two to five years after
production of the data) may be established

[[Page 287]]

after which the data first produced by the recipient in the performance
of the agreement will be made public.
(3) Data can be generated from different sources and can have
various restrictions placed on its dissemination. Recipient data
furnished to NASA can exist prior to, or be produced outside of, the
agreement or be produced under the agreement. NASA can also produce data
in carrying out its responsibilities under the agreement. Each of these
areas must be covered.
(4) For data, including software, first produced by the recipient
under the agreement, the recipient may assert copyright. Data exchanged
with a notice showing that the data is protected by copyright must
include appropriate licenses in order for NASA to use the data as
needed.
(5) Recognizing that the dissemination of the results of NASA's
activities is a primary objective of a cooperative agreement, the
parties should specifically delineate what results will be published and
under what conditions. This should be set forth in the clause of the
cooperative agreement entitled ``Publication and Reports: Non-
Proprietary Research Results.'' Any such agreement on the publication of
results should be stated to take precedence over any other clause in the
cooperative agreement.
(6) Section 1274.905(b)(3) requires the recipient to provide NASA a
government purpose license for data first produced by the Recipient that
constitutes trade secrets or confidential business or financial
information. NASA and the recipient shall determine the scope of this
license at the time of award of the cooperative agreement. In addition
to the purposes given as examples in Sec. 1274.905(b)(3), the license
should provide NASA the right to use this data under a separate
cooperative agreement or contract issued to a party other than the
recipient for the purpose of continuing the project in the event the
cooperative agreement is terminated by either party.
(7) In accordance with section 303(b) of the Space Act, any data
first produced by NASA under the agreement which embodies trade secrets
or financial information that would be privileged or confidential if it
had been obtained from a private participant, will be marked with an
appropriate legend and maintained in confidence for an agreed to period
of up to five years (the maximum allowed by law). This does not apply to
data other than that for which there has been agreement regarding
publication or distribution. The period of time during which data first
produced by NASA is maintained in confidence should be consistent with
the period of time determined in accordance with paragraph (h)(2) of
this section, before which data first produced by the recipient will be
made public. Also, NASA itself may use the marked data (under suitable
protective conditions) for agreed-to purposes.

Sec. 1274.209 Evaluation and selection.

(a) Factor development. The agreement officer, along with the NASA
evaluation team has discretion to determine the relevant evaluation
criteria based upon the project requirements, and the goals and
objectives of the cooperative agreement.
(b) Communications during non-competitive awards. For cooperative
agreements awarded non-competitively (see Sec. 1274.202(b)), there are
no restrictions on communications between NASA and the recipient. In
addition, there is no requirement for the development and publication of
formal evaluation or source selection criteria.
(c) Communications during competitive awards. As discussed in
Sec. 1274.203(c), when a competitive source selection process will be
followed to select the recipient, an appropriate level of care shall be
taken by NASA personnel in order to protect the integrity of the source
selection process. Therefore, upon release of the formal cooperative
agreement notice (CAN), the agreement officer shall direct all
procurement personnel associated with the source selection to refrain
from communicating with prospective recipients and that all inquiries be
referred to the agreement officer, or other authorized representative.
(d) Selection factors and subfactors. (1) At a minimum, the
selection process for the competitive award of cooperative agreements to
commercial entities shall include evaluation of potential

[[Page 288]]

recipients' proposals for merit and relevance to NASA's mission
requirements through their responses to the publication of NASA
evaluation factors. The evaluation factors should include technical and
management capabilities (mission suitability), past performance, and
proposed costs (including proposed cost share).
(2) For programs that may involve potentially hazardous operations
related to flight, and/or mission critical ground systems, NASA's
selection factors and subfactors shall provide for evaluation of the
recipient's proposed approach to managing risk (e.g., technology being
applied or developed, technical complexity, performance specifications
and tolerances, delivery schedule, etc.).
(3) As part of the evaluation process, the factors, subfactors, or
other criteria should be tailored to properly address the requirements
of the cooperative agreement.
(e)(1) Prior to making a Federal award, agreement officers are
required by 31 U.S.C. 3321 and 41 U.S.C. 2313 note, to review
information available through any OMB-designated repositories of
governmentwide eligibility qualification, currently the System of Award
Management (SAM), or financial integrity information (currently Federal
Awardee Performance and Integrity Information System (FAPIIS)), as
appropriate. See also suspension and debarment requirements at 2 CFR
part 180 as well as individual Federal agency suspension and debarment
regulations in title 2 of the Code of Federal Regulations.
(2) In accordance with 41 U.S.C. 2313, agreement officers are
required to review the non-public segment of FAPIIS prior to making a
Federal award where the Federal share is expected to exceed the
simplified acquisition threshold, defined in 41 U.S.C. 134, over the
period of performance. At a minimum, the information in the system for a
prior Federal award recipient must demonstrate a satisfactory record of
executing programs or activities under Federal grants, cooperative
agreements, or procurement awards; and integrity and business ethics.
NASA may make a Federal award to a recipient who does not fully meet
these standards, if it is determined that the information is not
relevant to the current Federal award under consideration or there are
specific conditions that can appropriately mitigate the effects of the
non-Federal entity's risk in accordance with 2 CFR 200.207, Specific
conditions.
(f) Other factors and subfactors. Other factors and subfactors may
include--
(1) The composition or appropriateness of the business relationship
of proposed team members or consortium, articles of collaboration,
participation of an appropriate mix of small business, veteran-owned
small business, service-disabled veteran-owned small business,
historically underutilized small business, small disadvantaged business,
and women-owned business concerns, as well as non-profits and
educational institutions, including historically black colleges and
universities and minority institutions).
(2) Other considerations may include enhancing U.S. competitiveness,
developing a capability among U.S. firms, identification of potential
markets, appropriateness of business risks.
(g) Proposal evaluation. The proposals shall be evaluated in
accordance with the criteria published in the CAN. Proposals selected
for award will be supported by documentation as described in
1274.211(b). When evaluation results in a proposal not being selected,
the proposer will be notified in accordance with the CAN.
(h) Technical evaluation. The technical evaluation of proposals may
include peer reviews. Because the business sense of a cooperative
agreement proposal is critical to its success, NASA may reserve the
right to utilize appropriate outside evaluators to assist in the
evaluation of such proposal elements as the business base projections,
the market for proposed products, and/or the impact of anticipated
product price reductions.
(i) Cost/price evaluation. (1) Prior to award of a cooperative
agreement, agreement officers shall ensure that proposed costs are
accurate and reasonable. In order to do so, cost and pricing data may be
required. The level of cost and pricing data to be requested shall be
commensurate with the analysis

[[Page 289]]

necessary to reach agreement on overall proposed project costs. The
evaluation of costs shall lead to the determination and verification of
total project costs to be shared by NASA and the recipient, as well as
establishment of NASA's milestone payment schedule based on its 50
percent cost share. The guidance at FAR 15.4 and NFS 1815.4 can assist
in determining whether cost and pricing data are necessary and the level
of analysis required. While competition may be present (i.e., more than
one proposal is received), in most cases companies are proposing
competing technologies and varying approaches that reflect very
different methods (and accompanying costs) to satisfy NASA's project
objectives. Consequently, this type of competitive environment is very
different from an environment where competitive proposals are submitted
in response to a request for proposals leading to award of a contract
for relatively well-defined program or project requirements.
(2) During evaluation of the cost proposal, the agreement officer,
along with other NASA evaluation team members and/or pricing support
personnel, shall determine the reasonableness of the overall proposed
project costs, including verifying the value of the recipient's proposed
non-cash and in-kind contributions. Commitments should be obtained and
verified to the extent practicable from the recipient or any associated
team members, from which proposed contributions will be made.
(3) If the recipient's proposed contributions include application of
IR&D costs, see Sec. 1274.204(g).
(j) Awards to foreign governments and firms. (1) An award may not be
made to a foreign government. However, if selected as the best available
source, an award may be made to a foreign firm. If a proposal is
selected from a foreign firm sponsored by their respective government
agency, or from entities considered quasi-governmental, approval must be
obtained from Headquarters, Program Operations Division (Code HS). Such
requests must include detailed rationale for the selection, to include
the funding source of the foreign participant. The approval of the
Assistant Administrator for Procurement is required to exclude foreign
firms from submitting proposals. Award to a foreign firm shall be on a
no-exchange-of-funds basis (see NPD 1360.2).
(2) The Office of External Affairs (Code I), shall be notified prior
to any announcement of intent to award to a foreign firm. Additionally,
pursuant to section 126 of Pub. L. 106-391, as part of the evaluation of
costs and benefits of entering into an obligation to conduct a space
mission in which a foreign entity will participate as a supplier of the
spacecraft, spacecraft system, or launch system, NASA shall solicit
comment on the potential impact of such participation, through notice
published in the FedBizOpps or NAIS.
(k) Safe-guarding proposals. Competitive proposal information shall
be protected in accordance with FAR 15.207, Handling proposals and
information. Unsolicited proposals shall be protected in accordance with
FAR 15.608, Prohibitions, and FAR 15.609, Limited use of data.
(1) Evaluation team members, the source selection authority, and
agreement officers are responsible for protecting sensitive information
on the award of a grant or cooperative agreement and for determining who
is authorized to receive such information. Sensitive information
includes: information contained in proposals; information prepared for
NASA's evaluation of proposals; the rankings of proposals for an award;
reports and evaluations of source selection panels, boards, or advisory
councils; and other information deemed sensitive by the source selection
authority or by the agreement officer.
(2) No sensitive information shall be disclosed to persons not on
the evaluation team or evaluation panel, unless the Selecting Official
or the agreement officer has approved disclosure based upon an
unequivocal ``need-to-know'' and the individual receiving the
information has signed a Non-Disclosure Certificate. All attendees at
formal source selection presentations and briefings shall be required to
sign an Attendance Roster and a Disclosure Certificate. The attendance
rosters and certificates shall be maintained in official files for a
minimum of six months after award.

[[Page 290]]

(3) The improper disclosure of sensitive information could result in
criminal prosecution or an adverse action.
(l) Controls on the use of outside evaluators. The use of outside
evaluators shall be approved in accordance with NFS 1815.207-70(b). A
cover sheet with the following legend shall be affixed to data provided
to outside evaluators:

Government Notice for Handling Proposals

This proposal shall be used and disclosed for evaluation purposes
only, and a copy of this Government notice shall be applied to any
reproduction or abstract thereof. Any authorized restrictive notices
which the submitter places on this proposal shall also be strictly
complied with.
(m) Printing, binding, and duplicating. Proposals for efforts that
involve printing, binding, and duplicating in excess of 25,000 pages are
subject to the regulations of the Congressional Joint Committee on
Printing. The technical office will refer such proposals to the
Installation Central Printing Management Officer (ICPMO) to ensure
compliance with NPD 1490.1. The Agreement Officer will be advised in
writing of the results of the ICPMO review.

[67 FR 45790, July 10, 2002, as amended at 81 FR 35584, June 3, 2016]

Sec. 1274.210 Unsolicited proposals.

(a) For a proposal to be considered a valid unsolicited proposal,
the submission must--
(1) Be innovative and unique;
(2) Be independently originated and developed by the recipient;
(3) Be prepared without Government supervision, endorsement,
direction or direct Government involvement;
(4) Include sufficient technical and cost detail to permit a
determination that Government support could be worthwhile and the
proposed work could benefit the agency's research and development or
other mission responsibilities; and
(5) Not be an advance proposal for a known agency requirement that
can be acquired by competitive methods.
(b) For each unsolicited proposal selected for award, the cognizant
technical office will prepare and furnish to the Agreement Officer, a
justification for acceptance of an unsolicited proposal (JAUP). The JAUP
shall be submitted for the approval of the agreement officer after
review and concurrence at a level above the technical officer. The
evaluator shall consider the following factors, in addition to any
others appropriate for the particular proposal:
(1) Unique and innovative methods, approaches or concepts
demonstrated by the proposal.
(2) Overall scientific or technical merits of the proposal.
(3) The offeror's capabilities, related experience, facilities,
techniques, or unique combinations of these which are integral factors
for achieving the proposal objectives.
(4) The qualifications, capabilities, and experience of the proposed
key personnel who are critical in achieving the proposal objectives.
(5) Current, open solicitations under which the unsolicited proposal
could be evaluated.
(c) Unsolicited proposals shall be handled in accordance with NFS
1815.606, ``Agency Procedures''.
(d) Unsolicited proposals from foreign sources are subject to NPD
1360.2, ``Development of International Cooperation in Space and
Aeronautics Programs''.
(e) There is no requirement for a public announcement of the award
of a cooperative agreement. In addition, there is no requirement for
announcement of awards resulting from unsolicited proposals. However, in
those instances where a public announcement is planned and the award is
the result of an unsolicited proposal, in addition to the requirements
of NFS 1805.303-71(a)(3), NASA personnel must take measures that ensure
protection of the data and intellectual property rights of submitters of
unsolicited proposals as provided by FAR 5.202(a)(8).
(f) Additional information regarding unsolicited proposals is
available in the handbook entitled, ``Guidance for the Preparation and
Submission of Unsolicited Proposals'', which is available on the NASA
Acquisition Internet Service Website at: http://

[[Page 291]]

ec.msfc.nasa.gov/hq/library/unSol-Prop.html.

Sec. 1274.211 Award procedures.

(a) In accordance with NFS 1805.303-71, the NASA Administrator shall
be notified at least three (3) workdays before a planned public
announcement for award of a cooperative agreement (regardless of dollar
value), if it is thought the agreement may be of significant interest to
Headquarters.
(b) For awards that are the result of a competitive source
selection, the technical officer will prepare and furnish to the
agreement officer a signed selection statement based on the selection
criteria stated in the solicitation.
(1) Bilateral award. All cooperative agreements shall be awarded on
a bilateral basis.
(2) Consortium awards. If the cooperative agreement is to be awarded
to a consortium, a completed, formally executed Articles of
Collaboration is required prior to award.
(c) System for Award Management (SAM) Prior to implementation of the
Integrated Financial Management (IFM) System at each center, all grant
and cooperative agreement recipients are required to register in the
System for Award Management database. Registration is required in order
to obtain a Commercial and Government Entity (CAGE) code, which will be
used as a grant and cooperative agreement identification number for the
new system. The agreement officer shall verify that the prospective
awardee is registered in the SAM database using the DUNS number or, if
applicable, the DUNS+4 number, via the Internet at https://www.sam.gov.
(d) Certifications, Disclosures, and Assurances. (1) Agreement
officers are required to ensure that all necessary certifications,
disclosures, and assurances have been obtained prior to awarding a
cooperative agreement.
(2) Each new proposal shall include a certification for debarment
and suspension under the requirements of 2 CFR 180.510 and 1260.117.
(3) Each new proposal for an award exceeding $100,000 shall include
a certification, and a disclosure form (SF LLL) if required, on Lobbying
under the requirements of 14 CFR 1271.110 and 1260.117.
(4) Unless a copy is on file at the NASA center, recipients must
furnish an assurance on NASA Form (NF) 1206 on compliance with Civil
Rights statutes specified in 14 CFR parts 1250 through 1253.
(5) The non-Federal entity or applicant for a Federal award must
disclose, in a timely manner, in writing to the assigned agreement
officer or pass-through entity all violations of Federal criminal law
involving fraud, bribery, or gratuity violations potentially affecting
the Federal award. Non-Federal entities that have received a Federal
award including the term and condition outlined in Appendix XII--Award
Term and Condition for Recipient Integrity and Performance Matters are
required to report certain civil, criminal, or administrative
proceedings to SAM. Failure to make required disclosures can result in
any of the remedies described in Sec. 200.338 Remedies for
noncompliance, including suspension or debarment. (See also 2 CFR part
180, 31 U.S.C. 3321, and 41 U.S.C. 2313.)

[67 FR 45790, July 10, 2002, as amended at 71 FR 62210, Oct. 24, 2006;
72 FR 19785, Apr. 20, 2007; 81 FR 35584, June 3, 2016]

Sec. 1274.212 Award information.

(a) Formats. Agreement officers shall use NF 1687A (available via
the Internet at https://extranet.hq.nasa.gov/nef/user/form_search.cfm),
with minimum modification, as the standard cooperative agreement cover
page for the award of all cooperative agreements.
(b) Cooperative agreement numbering system. Cooperative agreement
numbering may be changed once the Integrated Financial Management (IFM)
is implemented. Until IFM is implemented, cooperative agreement
numbering shall conform to NFS 1804.7102, except that a NCC prefix will
be used in lieu of the NAS prefix. Along with the prefix NCC, a one or
two digit Center Identification Number, and a sequence number of up to
five digits will be used. Inclusive of the prefix and fiscal year, the
total number of characters, digits, and spaces cannot exceed 11.
(c) Recipient integrity and performance matters. If the total
Federal share of the Federal award is more than $500,000

[[Page 292]]

over the period of performance, agreement officers must include the
terms and conditions in Sec. 1274.944 of this chapter.

[67 FR 45790, July 10, 2002, as amended at 81 FR 35584, June 3, 2016]

Sec. 1274.213 Distribution of cooperative agreements.

Copies of cooperative agreements and modifications will be provided
to: payment office, technical officer, administrative agreement officer
when delegation has been made (particularly when administrative
functions are delegated to DOD or another agency), NASA Center for
Aerospace Information (CASI), Attn: Document Processing Section, 7121
Standard Drive, Hanover, MD 21076, and any other appropriate recipient.
Copies of the statement of work, contained in the recipient's proposal
and accepted by NASA, will be provided to the administrative agreement
officer and CASI. The cooperative agreement file will contain a record
of the addresses for distributing agreements and supplements.

Sec. 1274.214 Inquiries and release of information.

NASA personnel shall follow the procedures established in NFS
1805.402 prior to releasing information to the news media or the general
public. The procedures established by NFS 1805.403 shall be followed
when responding to inquiries from members of Congress.

Sec. 1274.215 Federal and federally funded construction projects.

(a) In accordance with E.O. 13202 of February 17, 2001,
``Preservation of Open Competition and Government Neutrality Towards
Government Contractors' Labor Relations on Federal and Federally Funded
Construction Projects'', as amended on April 6, 2001, the Government, or
any construction manager acting on behalf of the Government, shall not--
(1) Require or prohibit recipients, potential recipients or
subrecipients to enter into or adhere to agreements with one or more
labor organizations (as defined in 42 U.S.C. 2000e(d)) on the same or
other related construction projects; or
(2) Otherwise discriminate against recipients, potential recipients
or subrecipients for becoming, refusing to become, or remaining
signatories or otherwise adhering to agreements with one or more
organizations, on the same or other related construction projects.
(b) Nothing in this section prohibits the recipient, potential
recipients or subrecipients from voluntarily entering into project labor
agreements.
(c) The Assistant Administrator for Procurement may exempt a
construction project from this policy if, as of February 17, 2001--
(1) The agency or a construction manager acting on behalf of the
Government had issued or was party to bid specifications, project
agreements, agreements with one or more labor organizations, or other
controlling documents with respect to that particular project, which
contained any of the requirements or prohibitions in paragraph (d)(1) of
this section; and
(2) One or more construction contracts (includes any contract
awarded by the recipient) subject to such requirements or prohibitions
had been awarded.
(d) The Assistant Administrator for Procurement may exempt a
particular project, contract, or subcontract from this policy upon a
finding that special circumstances require an exemption in order to
avert an imminent threat to public health or safety, or to serve the
national security. A finding of ``special circumstances'' may not be
based on the possibility or presence of a labor dispute concerning the
use of contractors or subcontractors who are nonsignatories to, or
otherwise do not adhere to, agreements with one or more labor
organizations, or concerning employees on the project who are not
members of, or affiliated with, a labor organization.

[67 FR 77668, Dec. 19, 2002]

Subpart 1274.3_Administration

Sec. 1274.301 Delegation of administration.

Cooperative agreements may be administered by the awarding activity
or the awarding activity may obtain additional administration services
in accordance with the procedures provided by NFS 1842.202. NASA Form
1678,

[[Page 293]]

NASA Technical Officer Delegation for Cooperative Agreements with
Commercial Firms, will be used to delegate responsibilities to the NASA
Technical Officer.

Sec. 1274.302 Transfers, novations, and change of name agreements.

(a) Transfer of cooperative agreements. Novation is the only means
by which a cooperative agreement may be transferred from one recipient
to another.
(b) Novation and change of name. NASA legal counsel shall review,
for legal sufficiency, all novation agreements or change of name
agreements of the recipient, prior to formal execution by the agreement
officer.

Sec. 1274.303 Public access to Federal award information.

(a) In accordance with statutory requirements for Federal spending
transparency (e.g., FFATA), except as noted in this section, for
applicable Federal awards NASA must announce all Federal awards publicly
and publish the required information at www.USAspending.gov.
(b) All information posted in FAPIIS, accessible through SAM, on or
after April 15, 2011 will be publicly available after a waiting period
of 14 calendar days, except for--
(1) Past performance reviews required by Federal Government
contractors in accordance with the Federal Acquisition Regulation (FAR)
42.15;
(2) Information that was entered prior to April 15, 2011; or
(3) Information that is withdrawn during the 14-calendar day waiting
period by the Federal Government official.
(c) Nothing in this section may be construed as requiring the
publication of information otherwise exempt under the Freedom of
Information Act (5 U.S.C. 552), or controlled unclassified information
pursuant to Executive Order 13556.

[81 FR 35584, June 3, 2016]

Sec. 1274.304 Reporting a determination that a non-Federal entity
is not qualified for a Federal award.

(a) If NASA does not make a Federal award to a non-Federal entity
because the agreement officer determines that the non-Federal entity
does not meet either or both of the minimum qualification standards, as
described in paragraph (a)(2) of 2 CFR 200.205, the agreement officer
must report that determination in FAPIIS, accessible through SAM, only
if all of the following apply:
(1) The only basis for the determination described in paragraph (a)
of this section is the non-Federal entity's prior record of executing
programs or activities under Federal awards or its record of integrity
and business ethics, as described in paragraph (a)(2) of 2 CFR 200.205,
(i.e., the entity was determined to be qualified based on all factors
other than those two standards); and
(2) The total Federal share of the Federal award that otherwise
would be made to the non-Federal entity is expected to exceed the
simplified acquisition threshold over the period of performance.
(b) Agreement officers are not required to report a determination
that a non-Federal entity is not qualified for a Federal award if they
make the Federal award to the non-Federal entity and includes specific
award terms and conditions (see Sec. 1274.209).
(c) If the agreement officer reports a determination that a non-
Federal entity is not qualified for a Federal award, as described in
paragraph (a) of this section, the agreement officer also must notify
the non-Federal entity that--
(1) The determination was made and reported to FAPIIS, accessible
through SAM, and include with the notification an explanation of the
basis for the determination;
(2) The information will be kept in the system for a period of five
years from the date of the determination, as required by section 872 of
Public Law 110-417, as amended (41 U.S.C. 2313), then archived;
(3) Agreement officers making a Federal award to the non-Federal
entity during that five year period must consider the information found
in FAPIIS when judging whether the non-Federal entity is qualified to
receive the Federal award when the total Federal share of the Federal
award is expected

[[Page 294]]

to include an amount of Federal funding in excess of the simplified
acquisition threshold over the period of performance of the award;
(4) The non-Federal entity may go to the awardee integrity and
performance portal accessible through SAM (currently the Contractor
Performance Assessment Reporting System (CPARS)) and comment on any
information the system contains about the non-Federal entity itself; and
(5) Agreement officers will consider that non-Federal entity's
comments in determining whether the non-Federal entity is qualified for
a future Federal award.
(d) If the agreement officer enters information into FAPIIS about a
determination that a non-Federal entity is not qualified for a Federal
award and subsequently--
(1) Learns that any of that information is erroneous, the agreement
officer must correct the information in the system within three business
days; and
(2) Obtains an update to that information that could be helpful to
other Federal awarding agencies, the agreement officer is strongly
encouraged to amend the information in the system to incorporate the
update in a timely way.
(e) The agreement officer shall not post any information that will
be made publicly available in the non-public segment of designated
integrity and performance system that is covered by a disclosure
exemption under the Freedom of Information Act. If the recipient asserts
within seven calendar days to NASA that some or all of the information
made publicly available is covered by a disclosure exemption under the
Freedom of Information Act, agreement officers must remove the posting
within seven calendar days of receiving the assertion. Prior to
reposting the releasable information, agreement officers must resolve
the issue in accordance with the agency's Freedom of Information Act
procedures.

[81 FR 35584, June 3, 2016]

Subpart 1274.4_Property

Sec. 1274.401 Government furnished property.

Property or equipment owned by the Government that will be used in
the performance of a cooperative agreement shall be included as part of
the Government's percentage (usually 50 percent) of shared costs. In
most cases the property or equipment will be categorized as non-cash
contributions. Agreement officers may use the procedures promulgated by
FAR Subpart 45.2, as guidelines to calculate the value of the property
or equipment.

Sec. 1274.402 Contractor acquired property.

As provided in Sec. 1274.923(c), title to property acquired with
government funds vests in the government. Under a cost shared
cooperative agreement, joint ownership of property equal to the cost-
sharing ratio will result if the parties make no specific arrangements
regarding such property. The disposition of acquired property should be
addressed in the cooperative agreement at the time of award. The
cooperative agreement may provide that all such property be contributed
by the recipient as a non-cash contribution. A reasonable dollar value
must be specified and adequately supported. In this case, title will
vest in the recipient. Alternatively, NASA and the recipient may include
in the cooperative agreement any other appropriate arrangement for the
disposition of acquired property upon completion of the effort.

Subpart 1274.5_Procurement Standards

Sec. 1274.501 Purpose of procurement standards.

(a) The procurement standards stated in Secs. 1274.502 through
1274.510, may not apply to or may supplement the procedures of a
commercial recipient that has a purchasing system approved in accordance
with the requirements of FAR Subpart 44.3 and NFS 1844.3.
(b) Sections 1274.502 through 1274.510 set forth standards for use
by recipients in establishing procedures for the procurement of supplies
and other expendable property, equipment, real

[[Page 295]]

property and other services with Federal funds. These standards are
furnished to ensure that such materials and services are obtained in an
effective manner and in compliance with the provisions of applicable
Federal statutes and executive orders.

Sec. 1274.502 Recipient responsibilities.

The standards contained in this section do not relieve the recipient
of the contractual responsibilities arising under its contract(s). The
recipient is the responsible authority, without recourse to NASA,
regarding the settlement and satisfaction of all contractual and
administrative issues arising out of procurements entered into in
support of an award or other agreement. This includes disputes, claims,
protests of award, source evaluation or other matters of a contractual
nature. Matters concerning violation of statute are to be referred to
such Federal, State or local authority as may have proper jurisdiction.

Sec. 1274.503 Codes of conduct.

The recipient shall maintain written standards of conduct governing
the performance of its employees engaged in the award and administration
of contracts. No employee, officer, or agent shall participate in the
selection, award, or administration of a contract supported by Federal
funds if a real or apparent conflict of interest would be involved. Such
a conflict would arise when the employee, officer, or agent, any member
of his or her immediate family, his or her partner, or an organization
which employs or is about to employ any of the parties indicated herein,
has a financial or other interest in the firm selected for an award. The
officers, employees, and agents of the recipient shall neither solicit
nor accept gratuities, favors, or anything of monetary value from
contractors, or parties to subagreements. However, recipients may set
standards for situations in which the financial interest is not
substantial or the gift is an unsolicited item of nominal value. The
standards of conduct shall provide for disciplinary actions to be
applied for violations of such standards by officers, employees, or
agents of the recipient.

Sec. 1274.504 Competition.

All procurement transactions shall be conducted in a manner to
provide, to the maximum extent practical, open and free competition. The
recipient shall be alert to organizational conflicts of interest as well
as noncompetitive practices among contractors that may restrict or
eliminate competition or otherwise restrain trade. In order to ensure
objective contractor performance and eliminate unfair competitive
advantage, contractors that develop or draft specifications,
requirements, statements of work, invitations for bids and/or requests
for proposals shall normally be excluded from competing for such
procurements, unless conflicts or apparent conflicts of interest issues
have been resolved. Awards shall be made to the bidder or offeror whose
bid or offer is responsive to the solicitation and is most advantageous
to the recipient, price, quality and other factors considered.
Solicitations shall clearly set forth all requirements that the bidder
or offeror shall fulfill in order for the bid or offer to be evaluated
by the recipient. Any and all bids or offers may be rejected when it is
in the recipient's interest to do so.

Sec. 1274.505 Procurement procedures.

(a) All recipients shall establish written procurement procedures.
These procedures shall provide at a minimum, that the conditions in
paragraphs (a)(1), (2) and (3) of this section apply.
(1) Recipients avoid purchasing unnecessary items.
(2) Where appropriate, an analysis is made of lease and purchase
alternatives to determine which would be the most economical and
practical procurement for the Federal Government.
(3) Solicitations for goods and services provide for all of the
following:
(i) A clear and accurate description of the technical requirements
for the material, product or service to be procured. In competitive
procurements, such a description shall not contain features that unduly
restrict competition.
(ii) Requirements that the bidder/offeror must fulfill and all other
factors to be used in evaluating bids or proposals.

[[Page 296]]

(iii) A description, whenever practicable, of technical requirements
in terms of functions to be performed or performance required, including
the range of acceptable characteristics or minimum acceptable standards.
(iv) The specific features of ``brand name or equal'' descriptions
that bidders are required to meet when such items are included in the
solicitation.
(v) The acceptance, to the extent practicable and economically
feasible, of products and services dimensioned in the metric system of
measurement.
(vi) Preference, to the extent practicable and economically
feasible, for products and services that conserve natural resources and
protect the environment and are energy efficient.
(b) Positive efforts shall be made by recipients to utilize small
business, veteran-owned small business, service-disabled veteran-owned
small business, historically underutilized small business, small
disadvantaged business, women-owned business concerns, Historically
Black Colleges and Universities, and minority educational institutions
as subcontractors to the maximum extent practicable. Recipients of NASA
awards shall take all of the following steps to further this goal.
(1) Make information on forthcoming opportunities available and
arrange time frames for purchases and contracts.
(2) Consider in the contract process whether firms competing for
larger contracts intend to subcontract with these businesses and
institutions.
(3) Encourage contracting with consortiums or teams of these
businesses and institutions when a contract is too large for one of
these firms to handle individually.
(4) Use the services and assistance, as appropriate, of such
organizations as the Small Business Administration and the Department of
Commerce's Minority Business Development Agency in the solicitation and
utilization of small businesses, minority-owned firms and women's
business enterprises.
(c) The type of procuring instruments used (e.g., fixed price
contracts, cost reimbursable contracts, purchase orders, and incentive
contracts) shall be determined by the recipient but shall be appropriate
for the particular procurement and for promoting the best interest of
the program or project involved. The ``cost-plus-a-percentage-of-cost''
or ``percentage of construction cost'' methods of contracting shall not
be used.
(d) Contracts shall be made only with responsible contractors who
possess the potential ability to perform successfully under the terms
and conditions of the proposed procurement. Consideration shall be given
to such matters as contractor integrity, record of past performance,
financial and technical resources or accessibility to other necessary
resources. In certain circumstances, contracts with certain parties are
restricted by 2 CFR part 180, the implementation of Executive Orders
12549 and 12689, ``Debarment and Suspension.''
(e) Recipients shall, on request, make available for NASA, pre-award
review and procurement documents, such as request for proposals or
invitations for bids, independent cost estimates, etc., when any of the
following conditions apply:
(1) A recipient's procurement procedures or operation fails to
comply with the procurement standards in NASA's implementation of this
subpart.
(2) The procurement is expected to exceed the simplified acquisition
threshold and is to be awarded without competition or only one bid or
offer is received in response to a solicitation.
(3) The procurement, which is expected to exceed the simplified
acquisition threshold, specifies a ``brand name'' product.
(4) The proposed award over the simplified acquisition threshold is
to be awarded to other than the apparent low bidder under a sealed bid
procurement.
(5) A proposed contract modification changes the scope of a contract
or increases the contract amount by more than the amount of the
simplified acquisition threshold.

[67 FR 45790, July 10, 2002, as amended at 72 FR 19785, Apr. 20, 2007]

Sec. 1274.506 Cost and price analysis.

Some form of cost or price analysis shall be made and documented in
the procurement files in connection with

[[Page 297]]

every procurement action. Price analysis may be accomplished in various
ways, including the comparison of price quotations submitted, market
prices and similar indicies, together with discounts. Cost analysis is
the review and evaluation of each element of cost to determine
reasonableness, allocability and allowability.

Sec. 1274.507 Procurement records.

Procurement records and files for purchases in excess of the
simplified acquisition threshold shall include the following at a
minimum:
(a) Basis for contractor selection.
(b) Justification for lack of competition when competitive bids or
offers are not obtained.
(c) Basis for award cost or price.

Sec. 1274.508 Contract administration.

A system for contract administration shall be maintained to ensure
contractor conformance with the terms, conditions and specifications of
the contract and to ensure adequate and timely follow-up of all
purchases. Recipients shall evaluate contractor performance and
document, as appropriate, whether contractors have met the terms,
conditions and specifications of the contract.

Sec. 1274.509 Contract provisions.

The recipient shall include, in addition to provisions to define a
sound and complete agreement, the following provisions in all contracts.
The following provisions shall also be applied to subcontracts:
(a) Contracts in excess of the simplified acquisition threshold
(currently $100,000) shall contain contractual provisions or conditions
that allow for administrative, contractual, or legal remedies in
instances in which a contractor violates or breaches the contract terms,
and provide for such remedial actions as may be appropriate.
(b) All contracts in excess of the simplified acquisition threshold
shall contain suitable provisions for termination by the recipient,
including the manner by which termination shall be effected and the
basis for settlement. In addition, such contracts shall describe
conditions under which the contract may be terminated for default as
well as conditions where the contract may be terminated because of
circumstances beyond the control of the contractor.
(c) All negotiated contracts (except those for less than the
simplified acquisition threshold) awarded by recipients shall include a
provision to the effect that the recipient, NASA, the Comptroller
General of the United States, or any of their duly authorized
representatives, shall have access to any books, documents, papers and
records of the contractor which are directly pertinent to a specific
program for the purpose of making audits, examinations, excerpts and
transcriptions.
(d) For Construction and facility improvements, except as otherwise
required by statute, an award that requires the contracting (or
subcontracting) for construction or facility improvements shall provide
for the recipient to follow its own requirements relating to bid
guarantees, performance bonds, and payment bonds unless the construction
contract or subcontract exceeds $100,000. For those contracts or
subcontracts exceeding $100,000, NASA may accept the bonding policy and
requirements of the recipient, provided NASA has made a determination
that the Federal Government's interest is adequately protected. If such
a determination has not been made, the minimum requirements shall be as
follows:
(1) A bid guarantee from each bidder equivalent to five percent of
the bid price. The ``bid guarantee'' shall consist of a firm commitment
such as a bid bond, certified check, or other negotiable instrument
accompanying a bid as assurance that the bidder shall, upon acceptance
of his bid, execute such contractual documents as may be required within
the time specified.
(2) A performance bond on the part of the contractor for 100 percent
of the contract price. A ``performance bond'' is one executed in
connection with a contract to secure fulfillment of all the contractor's
obligations under such contract.
(3) A payment bond on the part of the contractor for 100 percent of
the contract price. A ``payment bond'' is one executed in connection
with a contract

[[Page 298]]

to assure payment as required by statute of all persons supplying labor
and material in the execution of the work provided for in the contract.
(4) Where bonds are required in the situations described in this
section, the bonds shall be obtained from companies holding certificates
of authority as acceptable sureties pursuant to 31 CFR part 223,
``Surety companies doing business with the United States.''

Sec. 1274.510 Subcontracts.

Recipients (individual firms or consortia) are not authorized to
issue grants or cooperative agreements to subrecipients. All entities
that are involved in performing the research and development effort that
is the purpose of the cooperative agreement shall be part of the
recipient's consortium and not subcontractors. All contracts, including
small purchases, awarded by recipients and their contractors shall
contain the procurement provisions of Exhibit A to this part, as
applicable and may be subject to approval requirements cited in
Sec. 1274.925.

Subpart 1274.6_Reports and Records

Sec. 1274.601 Retention and access requirements for records.

(a) This subpart sets forth requirements for record retention and
access to records for awards to recipients.
(b) Financial records, supporting documents, statistical records,
and all other records pertinent to an award shall be retained for a
period of three years from the date of submission of the final invoice.
The only exceptions are the following:
(1) If any litigation, claim, or audit is started before the
expiration of the 3-year period, the records shall be retained until all
litigation, claims or audit findings involving the records have been
resolved and final action taken.
(2) Records for real property and equipment acquired with Federal
funds shall be retained for 3 years after final disposition.
(3) When records are transferred to or maintained by NASA, the 3-
year retention requirement is not applicable to the Recipient.
(4) Indirect cost rate proposals, cost allocations plans, etc., as
specified in paragraph (g) of this section.
(c) Copies of original records may be substituted for the original
records if authorized by NASA.
(d) NASA shall request transfer of certain records to its custody
from recipients when it determines that the records possess long term
retention value. However, in order to avoid duplicate record keeping,
NASA may make arrangements for recipients to retain any records that are
continuously needed for joint use.
(e) NASA, the Inspector General, Comptroller General of the United
States, or any of their duly authorized representatives, have the right
of timely and unrestricted access to any books, documents, papers, or
other records of Recipients that are pertinent to the awards, in order
to make audits, examinations, excerpts, transcripts and copies of such
documents. This right also includes timely and reasonable access to a
recipient's personnel for the purpose of interview and discussion
related to such documents. The rights of access in this paragraph are
not limited to the required retention period, but shall last as long as
records are retained.
(f) Unless required by statute, NASA shall not place restrictions on
recipients that limit public access to the records of recipients that
are pertinent to an award, except when NASA can demonstrate that such
records shall be kept confidential and would have been exempted from
disclosure pursuant to the Freedom of Information Act (5 U.S.C. 552) if
the records had belonged to NASA.
(g) Indirect cost rate proposals, cost allocations plans, etc.,
applies to the following types of documents, and their supporting
records: indirect cost rate computations or proposals, cost allocation
plans, and any similar accounting computations of the rate at which a
particular group of costs is chargeable (such as computer usage
chargeback rates or composite fringe benefit rates).
(1) If submitted for negotiation. If the recipient submits to NASA
or the subrecipient submits to the recipient the proposal, plan, or
other computation to

[[Page 299]]

form the basis for negotiation of the rate, then the 3-year retention
period for its supporting records starts on the date of such submission.
(2) If not submitted for negotiation. If the recipient is not
required to submit to NASA or the subrecipient is not required to submit
to the recipient the proposal, plan, or other computation for
negotiation purposes, then the 3-year retention period for the proposal,
plan, or other computation and its supporting records starts at the end
of the fiscal year (or other accounting period) covered by the proposal,
plan, or other computation.

Subpart 1274.7_Suspension or Termination

Sec. 1274.701 Suspension or termination.

(a) Suspension. NASA or the recipient may suspend the cooperative
agreement for a mutually agreeable period of time, if an assessment is
required to determine whether the agreement should be terminated.
(b) Termination. (1) A cooperative agreement provides both NASA and
the recipient the ability to terminate the Agreement if it is in their
best interests to do so, by giving the other party prior written notice.
Upon receipt of a notice of termination, the receiving party shall take
immediate steps to stop the accrual of any additional obligations, which
might require payment.
(2) NASA may, for example, terminate the Agreement if the recipient
is not making anticipated technical progress, if the recipient
materially changes the objectives of the agreement, or if appropriated
funds are not available to support the program.
(3) Similarly, the recipient may terminate the agreement if, for
example, technical progress is not being made, if the commercial
recipient shifts its technical emphasis, or if other technological
advances have made the effort obsolete.
(4) If the cooperative agreement is terminated by either NASA or the
recipient and NASA elects to continue the project with a party other
than the recipient, the right of the government to use data first
produced by either NASA or the recipient in the performance of this
agreement is covered by 1274.905(b). See Sec. 1274.208(l)(6) to assure
that appropriate language is contained in Sec. 1274.905(b).
(5) When NASA terminates a Federal award prior to the end of the
period of performance due to the non-Federal entity's material failure
to comply with the Federal award terms and conditions, NASA must report
the termination in FAPIIS.
(6) The information required under paragraph (b) of this section is
not to be reported to designated integrity and performance system until
the non-Federal entity either--
(i) Has exhausted its opportunities to object or challenge the
decision, see Sec. 200.341 Opportunities to object, hearings and
appeals; or
(ii) Has not, within 30 calendar days after being notified of the
termination, informed the agreement officer that it intends to appeal
the decision to terminate.
(7) If the agreement officer, after entering information into FAPIIS
about a termination, subsequently:
(i) Learns that any of that information is erroneous, the agreement
officer must correct the information in the system within three business
days;
(ii) Obtains an update to that information that could be helpful to
other Federal awarding agencies, the agreement officer is strongly
encouraged to amend the information in the system to incorporate the
update in a timely way.
(8) Agreement officers shall not post any information that will be
made publicly available in the non-public segment of designated
integrity and performance system that is covered by a disclosure
exemption under the Freedom of Information Act. If the non-Federal
entity asserts within seven calendar days to the Federal awarding agency
who posted the information that some of the information made publicly
available is covered by a disclosure exemption under the Freedom of
Information Act, agreement officers must remove the posting within seven
calendar days of receiving the assertion. Prior to reposting the
releasable information, agreement officers must resolve the issue in
accordance with the agency's Freedom of Information Act procedures.

[[Page 300]]

(c) When a Federal award is terminated or partially terminated, both
NASA or the pass-through entity and the non-Federal entity remain
responsible for compliance with the closeout and post-closeout
requirements and continuing responsibilities.
(d) Notification of termination requirement. If the Federal award is
terminated for the non-Federal entity's material failure to comply with
the Federal statutes, regulations, or terms and conditions of the
Federal award, the notification must state that--
(1) The termination decision will be reported in FAPIIS, accessible
through SAM;
(2) The information will be available in FAPIIS for a period of five
years from the date of the termination, then archived;
(3) When considering making a Federal award to the non-Federal
entity during that five year period, NASA must consider that information
in judging whether the non-Federal entity is qualified to receive the
Federal award, when the Federal share of the Federal award is expected
to exceed the simplified acquisition threshold over the period of
performance;
(4) The non-Federal entity may comment on any information that the
OMB-designated integrity and performance system contains about the non-
Federal entity for future consideration by NASA. The non-Federal entity
may submit comments to the awardee integrity and performance portal
accessible through SAM (currently (CPARS).
(5) Agreement officers will consider non-Federal entity comments
when determining whether the non-Federal entity is qualified for a
future Federal award.

[67 FR 45790, July 10, 2002, as amended at 81 FR 35585, June 3, 2016]

Subpart 1274.8_Post-Award/Administrative Requirements

Sec. 1274.801 Adjustments to performance costs.

In order to accomplish program objectives, there may be occasions
where additional contributions (cash and/or in-kind contributions) by
NASA and the recipient beyond the initial agreement may be needed. There
may also be occasions where actual costs of NASA and the recipient may
be less than initially agreed. In cases where program costs are
adjusted, prior to execution of a modification to the agreement, mutual
agreement between NASA and the recipient shall also be reached on the
corresponding changes in program requirements such as schedule, work
statements and milestone payments. Funding for any work required beyond
the initial funding level of the cooperative agreement, shall require
submission by the recipient of a detailed proposal to the agreement
officer. Prior to execution of a modification increasing NASA's initial
cost share or funding levels, detailed cost analysis techniques may be
applied, which may include requests for audits services and/or
application of other pricing support techniques. Any adjustments or
modifications that result in a change to the performance costs of the
cooperative agreement shall continue to maintain the share ratio
requirements (normally 50/50) stated in Sec. 1274.204(b).

Sec. 1274.802 Modifications.

Modifications to the cooperative agreement in particular,
modifications that affect funding, milestone payments, program schedule
and statement of work requirements shall be executed on a bilateral
basis.

Sec. 1274.803 Suspension and Debarment.

Non-federal entities are subject to the non-procurement debarment
and suspension regulations implementing Executive Orders 12549 and
12689, 2 CFR part 180, adopted by NASA at 2 CFR part 1880. These
regulations restrict awards, subawards, and contracts with certain
parties that are debarred, suspended, or otherwise excluded from or
ineligible for participation in Federal assistance programs or
activities.

[81 FR 35585, June 3, 2016]

[[Page 301]]

Secs. ;1274.804 [Reserved]

Subpart 1274.9_Other Provisions and Special Conditions

Sec. 1274.901 Other provisions and special conditions.

Where applicable, the provisions set forth in this subpart are to be
incorporated in and made a part of all cooperative agreements with
commercial firms. When included, the provisions at Sec. 1274.902 through
Sec. 1274.909 and the provisions at Sec. 1274.933 through Sec. 1274.942
are to be incorporated in full text substantially as stated in this
regulation. When required, the provisions at Sec. 1274.910 through
Sec. 1274.932, may be incorporated by reference in an enclosure to each
cooperative agreement. For inclusion of provisions in subcontracts, see
Exhibit A of this part, and Sec. 1274.925.

Sec. 1274.902 Purpose.

Purpose

July 2002

The purpose of this cooperative agreement is to conduct a shared
resource project that will lead to ________. This cooperative agreement
will advance the technology developments and research which have been
performed on _________ _________. The specific objective is to
__________ __________. This work will culminate in __________.

[End of provision]

Sec. 1274.903 Responsibilities.

Responsibilities

July 2002

(a) This Cooperative Agreement will include substantial NASA
participation during performance of the effort. NASA and the Recipient
agree to the following Responsibilities, a statement of cooperative
interactions to occur during the performance of this effort. NASA and
the Recipient shall exert all reasonable efforts to fulfill the
responsibilities stated below.
(b) NASA Responsibilities. The following NASA responsibilities are
hereby set forth effective upon the start date, which unless stated
otherwise, shall be the execution date of this bilateral Cooperative
Agreement. The end date stated below, may be changed by a written
bilateral modification:

Responsibilities Start Date End Date

(c) Recipient Responsibilities. The Recipient shall be responsible
for particular aspects of project performance as set forth in the
technical proposal dated ________, attached hereto (or Statement of Work
dated __________, attached hereto). The following responsibilities are
hereby set forth effective upon the start date, which unless stated
otherwise, shall be the execution date of this bilateral Cooperative
Agreement. The end date stated below, may be changed by a written
bilateral modification:

Responsibilities Start Date End Date

(d) Since NASA contractors may obtain certain intellectual property
rights arising from work for NASA in support of this agreement, NASA
will inform Recipient whenever NASA intends to use NASA contractors to
perform technical engineering services in support of this agreement.
(e) Unless the Cooperative Agreement is terminated by the parties,
end date can only be changed by execution of a bilateral modification.

[End of provision]

Sec. 1274.904 Resource sharing requirements.

Resource Sharing Requirements

July 2002

Where NASA and other Government agencies are involved in the
cooperative agreement, ``NASA'' shall also mean ``Federal Government''.
(a) NASA and the Recipient will share in providing the resources
necessary to perform the agreement. NASA funding and non-cash
contributions (personnel, equipment, facilities, etc.) and the dollar
value of the Recipient's cash and/or non-cash contribution will be on a
__ percent (NASA)___ percent (Recipient) basis. Criteria and procedures
for the allowability and allocability of cash and non-cash contributions
shall be governed by FAR Parts 30 and 31, and NFS Parts 1830 and 1831.
(b) The funding and non-cash contributions by both parties are
represented by the following dollar amounts:

Government Share_______________________________________________________

Recipient Share________________________________________________________

Total Amount___________________________________________________________

(c) The Recipient's share shall not be charged to the Government
under this Agreement or under any other contract, grant, or cooperative
agreement, except to the extent that the Recipient's contribution may be
allowable IR&D costs pursuant to FAR 31.205-18(e).

[[Page 302]]

[End of provision]

[67 FR 45790, July 10, 2002, as amended at 71 FR 51714, Aug. 31, 2006]

Sec. 1274.905 Rights in data.

As noted in Sec. 1274.208(l)(1), the following provision assumes a
substantially equal cost sharing relationship where collaborative
research, experimental, developmental, engineering, demonstration, or
design activities are to be carried out, such that it is likely that
``proprietary'' information will be developed and/or exchanged under the
agreement. If cost sharing is unequal or no extensive research,
experimental, developmental, engineering, demonstration, or design
activities are likely, a different set of provisions may be appropriate.
The Agreement Officer is expected to complete and/or select the
appropriate bracketed language under the provision for those paragraphs
dealing with data first produced under the cooperative agreement. In
addition, the Agreement Officer may, in consultation with the Center's
Patent or Intellectual Property Counsel, tailor the provision to fit the
particular circumstances of the program and/or the recipient's need to
protect specific proprietary information.

Rights in Data

July 2002

(a) Definitions.
``Data,'' means recorded information, regardless of form, the media
on which it may be recorded, or the method of recording. The term
includes, but is not limited to, data of a scientific or technical
nature, computer software and documentation thereof, and data comprising
commercial and financial information.
(b) Data categories.
(1) General. Data exchanged between NASA and Recipient under this
cooperative agreement will be exchanged without restriction as to its
disclosure, use or duplication except as otherwise provided below in
this provision.
(2) Background Data. In the event it is necessary for Recipient to
furnish NASA with Data which existed prior to, or produced outside of,
this cooperative agreement, and such Data embodies trade secrets or
comprises commercial or financial information which is privileged or
confidential, and such Data is so identified with a suitable notice or
legend, the Data will be maintained in confidence and disclosed and used
by NASA and its contractors (under suitable protective conditions) only
for the purpose of carrying out NASA's responsibilities under this
cooperative agreement. Upon completion of activities under this
agreement, such Data will be disposed of as requested by Recipient.
(3) Data first produced by Recipient. In the event Data first
produced by Recipient in carrying out Recipient's responsibilities under
this cooperative agreement is furnished to NASA, and Recipient considers
such Data to embody trade secrets or to comprise commercial or financial
information which is privileged or confidential, and such Data is so
identified with a suitable notice or legend, the Data will be maintained
in confidence for a period of [insert ``two'' to ``five''] years after
development of the data and be disclosed and used by [``NASA'' or ``the
Government,'' as appropriate] and its contractors (under suitable
protective conditions) only for [insert appropriate purpose; for
example: experimental; evaluation; research; development, etc.] by or on
behalf of [``NASA'' or ``the Government'' as appropriate] during that
period. In order that [``NASA'' or the ``Government'', as appropriate]
and its contractors may exercise the right to use such Data for the
purposes designated above, NASA, upon request to the Recipient, shall
have the right to review and request delivery of Data first produced by
Recipient. Delivery shall be made within a time period specified by
NASA.
(4) Data first produced by NASA. As to data first produced by NASA
in carrying out NASA's responsibilities under this cooperative agreement
and which Data would embody trade secrets or would comprise commercial
or financial information that is privileged or confidential if it had
been obtained from the Recipient, will be marked with an appropriate
legend and maintained in confidence for an agreed to period of up to (
) years [INSERT A PERIOD UP TO 5 YEARS] after development of the
information, with the express understanding that during the aforesaid
period such Data may be disclosed and used (under suitable protective
conditions) by or on behalf of the Government for Government purposes
only, and thereafter for any purpose whatsoever without restriction on
disclosure and use. Recipient agrees not to disclose such Data to any
third party without NASA's written approval until the aforementioned
restricted period expires. Use of this data under a separate cooperative
agreement or contract issued to a party other than the Recipient for the
purpose of continuing the project in the event this cooperative
agreement is terminated by either party shall constitute a government
purpose.
(5) Copyright. (i) In the event Data is exchanged with a notice
indicating the Data is protected under copyright as a published
copyrighted work, or are deposited for registration as a published work
in the U.S.

[[Page 303]]

Copyright Office, the following paid-up licenses shall apply:
(A) If it is indicated on the Data that the Data existed prior to,
or was produced outside of, this agreement, the receiving party and
others acting on its behalf, may reproduce, distribute, and prepare
derivative works for the purpose of carrying out the receiving party's
responsibilities under this cooperative agreement; and
(B) If the furnished Data does not contain the indication of
paragraph (b)(5)(i)(A) of this section, it will be assumed that the Data
was first produced under this agreement, and the receiving party and
others acting on its behalf, shall be granted a paid up, nonexclusive,
irrevocable, world-wide license for all such Data to reproduce,
distribute copies to the public, prepare derivative works, distribute
copies to the public, and perform publicly and display publicly, by or
on behalf of the receiving party. For Data that is computer software,
the right to distribute shall be limited to potential users in the
United States.
(ii) When claim is made to copyright, the Recipient shall affix the
applicable copyright notice of 17 U.S.C. 401 or 402 and acknowledgment
of Government sponsorship to the data when and if the data are delivered
to the Government.
(6) Oral and visual information. If information which the Recipient
considers to embody trade secrets or to comprise commercial or financial
information which is privileged or confidential is disclosed orally or
visually to NASA, such information must be reduced to tangible, recorded
form (i.e., converted into Data as defined herein), identified and
marked with a suitable notice or legend, and furnished to NASA within 10
days after such oral or visual disclosure, or NASA shall have no duty to
limit or restrict, and shall not incur any liability for, any disclosure
and use of such information.
(7) Disclaimer of liability. Notwithstanding the above, NASA shall
not be restricted in, nor incur any liability for, the disclosure and
use of:
(i) Data not identified with a suitable notice or legend as set in
paragraph (b)(2) of this section; nor
(ii) Information contained in any Data for which disclosure and use
is restricted under paragraphs (b)(2) or (3) of this section, if such
information is or becomes generally known without breach of the above,
is known to or is generated by NASA independently of carrying out
responsibilities under this agreement, is rightfully received from a
third party without restriction, or is included in data which
Participant has, or is required to furnish to the U.S. Government
without restriction on disclosure and use.
(c) Marking of data. Any Data delivered under this cooperative
agreement, by NASA or the Recipient, shall be marked with a suitable
notice or legend indicating the data was generated under this
cooperative agreement.
(d) Lower tier agreements. The Recipient shall include this
provision, suitably modified to identify the parties, in all
subcontracts or lower tier agreements, regardless of tier, for
experimental, developmental, or research work.

[End of provision]

Sec. 1274.906 Designation of New Technology Representative and
Patent Representative.

Designation of New Technology Representative and Patent Representative

July 2002

(a) For purposes of administration of the clause of this cooperative
agreement entitled ``PATENT RIGHTS--RETENTION BY THE CONTRACTOR (LARGE
BUSINESS)'' or ``PATENT RIGHTS--RETENTION BY THE CONTRACTOR (SMALL
BUSINESS)'' the following named representatives are hereby designated by
the Agreement Officer to administer such clause:

------------------------------------------------------------------------
Title Office code Address
------------------------------------------------------------------------
New Technology
Representative
Patent
Representative
------------------------------------------------------------------------

(b) Reports of reportable items, and disclosure of subject
inventions, interim reports, final reports, utilization reports, and
other reports required by the clause, as well as any correspondence with
respect to such matters, should be directed to the New Technology
Representative unless transmitted in response to correspondence or
request from the Patent Representative. Inquiries or requests regarding
disposition of rights, election of rights, or related matters should be
directed to the Patent Representative. This clause shall be included in
any subcontract hereunder requiring ``PATENT RIGHTS--RETENTION BY THE
CONTRACTOR (LARGE BUSINESS)'' clause or ``PATENT RIGHTS--RETENTION BY
THE CONTRACTOR (SMALL BUSINESS)'' clause, unless otherwise authorized or
directed by the Agreement Officer. The respective responsibilities and
authorities of the above-named representatives are set forth in NFS
1827.305-370.

[[Page 304]]

[End of provision]

Sec. 1274.907 Disputes.

Disputes

July 2002

(a) In the event that a disagreement arises, representatives of the
parties shall enter into discussions in good faith and in a timely and
cooperative manner to seek resolution. If these discussions do not
result in a satisfactory solution, the aggrieved party may seek a
decision from the Dispute Resolution Official under paragraph (b) of
this provision. This request must be presented no more than (3) three
months after the events giving rise to the disagreement have occurred.
(b) The aggrieved party may submit a written request for a decision
to the Center Ombudsman, who is designated as the Dispute Resolution
Official. The written request shall include a statement of the relevant
facts, a discussion of the unresolved issues, and a specification of the
clarification, relief, or remedy sought. A copy of this written request
and all accompanying materials must be provided to the other party at
the same time. The other party shall submit a written position on the
matters in dispute within thirty (30) calendar days after receiving this
notification that a decision has been requested. The Dispute Resolution
Official shall conduct a review of the matters in dispute and render a
decision in writing within thirty (30) calendar days of receipt of such
written position.

[End of provision]

Sec. 1274.908 Milestone payments.

Milestone Payments

July 2002

(a) By submission of the first invoice, the Recipient is certifying
that it has an established accounting system which complies with
generally accepted accounting principles, with the requirements of this
agreement, and that appropriate arrangements have been made for
receiving, distributing, and accounting for Federal funds received under
this agreement.
(b) Payments will be made upon the following milestones: [The
schedule for payments may be based upon the Recipient's completion of
specific tasks, submission of specified reports, or whatever is
appropriate.]

Date Payment Amount
Milestone

(c) Upon submission by the recipient of invoices in accordance with
the provisions of the agreement and upon certification by NASA of
completion of the payable milestone, the Agreement Officer shall
authorize payment. Payment shall be made within 30 calendar days after
receipt of proper invoice. Payment shall be considered as being made on
the date of electronic funds transfer. A proper invoice must include the
following:
(i) Name and address of the recipient.
(ii) Invoice date (The Recipient is encouraged to date invoices as
close as possible to the date of the mailing or transmission).
(iii) Cooperative agreement number.
(iv) Description, milestone, and extended price of efforts/tasks
performed.
(v) Payment terms.
(vi) Name and address of Recipient official to whom payment is to be
sent. (Must be the same as that in the cooperative agreement or in a
proper notice of assignment).
(vii) Name (where practicable), title, phone number, and mailing
address of the person to be notified in the event of a defective
invoice.
(viii) Any other information or documentation required by the
cooperative agreement.
(ix) Taxpayer identification number (TIN).
(x) While not required, the recipient is strongly encouraged to
assign an identification number to each invoice.
(d) A payment milestone may be successfully completed in advance of
the date appearing in paragraph (b) of this section. However, payment
shall not be made prior to that date without the written consent of the
Agreement Officer.
(e) The recipient is not entitled to partial payment for partial
completion of a payment milestone.
(f) Unless approved by the Agreement Officer, all preceding payment
milestones must be completed before payment can be made for the next
payment milestone.
(g) (i) If the Recipient is authorized to submit invoices directly
to the NASA paying office, the original invoice should be submitted to:
[Insert the mailing address for submission of cost vouchers]
(ii) If the Recipient is not authorized to submit invoices directly
to the NASA paying office, the original invoice should be submitted to
the Agreement Officer for certification.
(iii) Copies of the recipient's invoice should be submitted to the
following offices:
(A) Copy 1--NASA Agreement Officer.
(B) Copy 2--Auditor.
(C) Copy 3--Contract administration office.
(D) Copy 4--Project management office.
(E) Copy 5--Other recipients as designated by the Agreement Officer.

[[Page 305]]

[End of provision]

Sec. 1274.909 Term of agreement.

Term of Agreement

July 2002

(a) The agreement commences on the effective date indicated on the
attached cover sheet and continues until the expiration date indicated
on the attached cover sheet unless terminated by either party. If all
resources are expended prior to the expiration date of the agreement,
the parties have no obligation to continue performance and may elect to
cease at that point. The parties may extend the expiration date if
additional time is required to complete the milestones at no increase in
Government resources. Requests for approval for no-cost extensions must
be forwarded to the NASA Agreement Officer no later than ten days prior
to the expiration of the award to be considered.
(b) Provisions of this Agreement, which, by their express terms or
by necessary implication, apply for periods of time other than that
specified as the agreement term, shall be given effect, notwithstanding
expiration of the term of the agreement.

[End of provision]

Sec. 1274.910 Authority.

Authority

July 2002

This is a cooperative agreement as defined in 31 U.S.C. 6305 (the
Chiles Act) and is entered into pursuant to the authority of 42 U.S.C.
2451, et seq. (the Space Act).

[End of provision]

Sec. 1274.911 Patent rights.

Patent Rights

July 2002

(a) Definitions. (1) Administrator means the Administrator or Deputy
Administrator of NASA.
(2) Invention means any invention or discovery which is or may be
patentable or otherwise protectable under Title 35 of the United States
Code.
(3) Made when used in relation to any invention means the conception
or first actual reduction to practice such invention.
(4) Nonprofit organization means a domestic university or other
institution of higher education or an organization of the type described
in Section 501(c)(3) of the Internal Revenue Code of 1954 (26 U.S.C.
501(c)) and exempt from taxation under Section 501(a) of the Internal
Revenue Code (26 U.S.C. 501(a)), or any domestic nonprofit scientific or
educational organization qualified under a State nonprofit organization
statute.
(5) Practical application means to manufacture, in the case of a
composition or product; to practice, in the case of a process or method;
or to operate, in the case of a machine or system; and, in each case,
under such conditions as to establish that the invention is being
utilized and that its benefits are, to the extent permitted by law or
Government regulations, available to the public on reasonable terms.
(6) Recipient means:
(i) The signatory Recipient party or parties or;
(ii) The Consortium, where a Consortium has been formed for carrying
out Recipient responsibilities under this agreement.
(7) Small Business Firm means a domestic small business concern as
defined at 15 U.S.C. 632 and implementing regulations of the
Administrator of the Small Business Administration. (For the purpose of
this definition, the size standard contained in 13 CFR 121.901 through
121.911 will be used.)
(8) Subject Invention means any invention of a Recipient and/or
Government employee conceived or first actually reduced to practice in
the performance of work under this Agreement.
(9) Manufactured substantially in the United States means the
product must have over 50 percent of its components manufactured in the
United States. This requirement is met if the cost to the Recipient of
the components mined, produced, or manufactured in the United States
exceeds 50 percent of the cost of all components required to make the
product. (In making this determination only the product and its
components shall be considered.) The cost of each component includes
transportation costs to the place of incorporation into the product and
any applicable duty (whether or not a duty-free entry certificate is
issued). Components of foreign origin of the same class or kind for
which determinations have been made in accordance with FAR 25.102(a)(3)
and (4) are treated as domestic. Scrap generated, collected, and
prepared for processing in the United States is considered domestic.
(b) Allocation of principal rights--(1) Recipient Inventions. For
other than Small Business Firm or Nonprofit organization Recipients, the
``PATENT RIGHTS--RETENTION BY RECIPIENT (LARGE BUSINESS)'' provision
applies. For Small Business Firm and Nonprofit organization Recipients,
the ``PATENT RIGHTS--RETENTION BY RECIPIENT (SMALL BUSINESS)'' provision
applies.
(2) NASA Inventions. NASA will use reasonable efforts to report
inventions made by NASA employees as a consequence of, or which bear a
direct relation to, the performance of specified NASA activities under
this

[[Page 306]]

cooperative agreement and, upon timely request, NASA will use its best
efforts to grant the Recipient or designated Consortium Member (if
applicable) the first option to acquire either an exclusive or partially
exclusive, revocable, royalty-bearing license, on terms to be
subsequently negotiated, for any patent applications and patents
covering such inventions, and subject to the license reserved in
paragraph (b)(5)(i) of this section. Upon application in compliance with
37 CFR Part 404--Licensing of Government Owned Inventions, the Recipient
or each Consortium Member (if applicable), shall be granted a revocable,
nonexclusive, royalty-free license in each patent application filed in
any country on a subject invention and any resulting patent in which the
Government acquires title. Each nonexclusive license may extend to
subsidiaries and affiliates, if any, within the corporate structure of
the licensee and includes the right to grant sublicenses of the same
scope to the extent the licensee was legally obligated to do so at the
time the cooperative agreement was signed.
(3) NASA Contractor Inventions. In the event NASA contractors are
tasked to perform work in support of specified NASA activities under
this cooperative agreement and inventions are made by contractor
employees, the recipient will normally retain title to its employee
inventions in accordance with 35 U.S.C. 202, 14 CFR Part 1245, and E.O.
12591. In the event the recipient decides not to pursue right to title
in any such invention and NASA obtains title to such inventions, NASA
will use reasonable efforts to report such inventions and, upon timely
request, NASA will use its best efforts to grant the Recipient or
designated Consortium Member (if applicable) the first option to acquire
either an exclusive or partially exclusive, revocable, royalty-bearing
license, upon terms to be subsequently negotiated, for any patent
applications and patents covering such inventions, and subject to the
license reserved in paragraph (b)(5)(ii) of this section. Upon
application in compliance with 37 CFR Part 404--Licensing of Government
Owned Inventions, the Recipient or each Consortium Member (if
applicable), shall be granted a revocable, nonexclusive, royalty-free
license in each patent application filed in any country on a subject
invention and any resulting patent in which the Government acquires
title. Each nonexclusive license may extend to subsidiaries and
affiliates, if any, within the corporate structure of the licensee and
includes the right to grant sublicenses of the same scope to the extent
the licensee was legally obligated to do so at the time the cooperative
agreement was signed.
(4) Joint NASA and Recipient Inventions. NASA and Recipient agree to
use reasonable efforts to identify and report to each other any
inventions made jointly between NASA employees (or employees of NASA
contractors) and employees of Recipient.
(i) For other than small business firms and nonprofit organizations
the Administrator may agree that the United States will refrain from
exercising its undivided interest in a manner inconsistent with
Recipient's commercial interest and to cooperate with Recipient in
obtaining patent protection on its undivided interest on any waived
inventions subject, however, to the condition that Recipient makes its
best efforts to bring the invention to the point of practical
application at the earliest practicable time. In the event that the
Administrator determines that such efforts are not undertaken, the
Administrator may void NASA's agreement to refrain from exercising its
undivided interest and grant licenses for the practice of the invention
so as to further its development. In the event that the Administrator
decides to void NASA's agreement to refrain from exercising its
undivided interest and grant licenses for this reason, notice shall be
given to the Inventions and Contributions Board as to why such action
should not be taken. Either alternative will be subject to the
applicable license or licenses reserved in paragraph (b)(5) of this
section.
(ii) For small business firms and nonprofit organization, NASA may
assign or transfer whatever rights it may acquire in a subject invention
from its employee to the Recipient as authorized by 35 U.S.C. 202(e).
(5) Minimum rights reserved by the Government. Any license or
assignment granted Recipient pursuant to paragraphs (b)(2), (b)(3), or
(b)(4) of this section will be subject to the reservation of the
following licenses:
(i) As to inventions made solely or jointly by NASA employees, the
irrevocable, royalty-free right of the Government of the United States
to practice and have practiced the invention by or on behalf of the
United States; and
(ii) As to inventions made solely by, or jointly with, employees of
NASA contractors, the rights in the Government of the United States as
set forth in paragraph (b)(5)(i) of this section, as well as the
revocable, nonexclusive, royalty-free license in the contractor as set
forth in 14 CFR 1245.108.
(6) Preference for United States manufacture. The Recipient agrees
that any products embodying subject inventions or produced through the
use of subject inventions shall be manufactured substantially in the
United States. However, in individual cases, the requirement to
manufacture substantially in the United States may be waived by the
Assistant Administrator for Procurement (Code HS) with the concurrence
of the Associate General Counsel for Intellectual Property upon a
showing by the Recipient that under the circumstances domestic
manufacture is not commercially feasible.

[[Page 307]]

(7) Work performed by the Recipient under this cooperative agreement
is considered undertaken to carry out a public purpose of support and/or
stimulation rather than for acquiring property or services for the
direct benefit or use of the Government. Accordingly, such work by the
Recipient is not considered ``by or for the United States'' and the
Government assumes no liability for infringement by the Recipient under
28 U.S.C. 1498.

[End of provision]

Sec. 1274.912 Patent rights--retention by the recipient (large business).

Patent Rights--Retention by the Recipient (Large Business)

July 2002

(a) Definitions. (1) Administrator, as used in this clause, means
the Administrator of the National Aeronautics and Space Administration
(NASA) or duly authorized representative.
(2) Invention, as used in this clause, means any invention or
discovery which is or may be patentable or otherwise protectable under
title 35 of the U.S.C.
(3) Made, as used in relation to any invention, means the conception
or first actual reduction to practice such invention.
(4) Nonprofit organization, as used in this clause, means a domestic
university or other institution of higher education or an organization
of the type described in section 501(c)(3) of the Internal Revenue Code
of 1954 (26 U.S.C. 501(c)) and exempt from taxation under section 501(a)
of the Internal Revenue Code (26 U.S.C. 501(a)), or any domestic
nonprofit scientific or educational organization qualified under a State
nonprofit organization statute.
(5) Practical application, as used in this clause, means to
manufacture, in the case of a composition or product; to practice, in
the case of a process or method; or to operate, in case of a machine or
system; and, in each, case, under such conditions as to establish that
the invention is being utilized and that its benefits are, to the extent
permitted by law or Government regulations, available to the public on
reasonable terms.
(6) Reportable item, as used in this clause, means any invention,
discovery, improvement, or innovation of the Recipient, whether or not
the same is or may be patentable or otherwise protectable under Title 35
of the United States Code, conceived or first actually reduced to
practice in the performance of any work under this contract or in the
performance of any work that is reimbursable under any clause in this
contract providing for reimbursement of costs incurred prior to the
effective date of this contract.
(7) Small business firm, as used in this clause, means a domestic
small business concern as defined at 15 U.S.C. 632 and implementing
regulations of the Administrator of the Small Business Administration.
(For the purpose of this definition, the size standard contained in 13
CFR 121.901 through 121.911 will be used.)
(8) Subject invention, as used in this clause, means any reportable
item which is or may be patentable or otherwise protectable under Title
35 of the United States Code, or any novel variety of plant that is or
may be protectable under the Plant Variety Protection Act (7 U.S.C.
2321, et seq).
(9) Manufactured substantially in the United States means the
product must have over 50 percent of its components manufactured in the
United States. This requirement is met if the cost to the Recipient of
the components mined, produced, or manufactured in the United States
exceeds 50 percent of the cost of all components required to make the
product. (In making this determination only the product and its
components shall be considered.) The cost of each component includes
transportation costs to the place of incorporation into the product and
any applicable duty (whether or not a duty-free entry certificate is
issued). Components of foreign origin of the same class or kind for
which determinations have been made in accordance with Federal
Acquisition Regulation 25.102(a)(3) and (4) are treated as domestic.
Scrap generated, collected, and prepared for processing in the United
States is considered domestic.
(b) Allocation of principal rights--(1) Presumption of title. (i)
Any reportable item that the Administrator considers to be a subject
invention shall be presumed to have been made in the manner specified in
paragraph (1) or (2) of section 305(a) of the National Aeronautics and
Space Act of 1958 (42 U.S.C. 2457(a)) (hereinafter called ``the Act''),
and the above presumption shall be conclusive unless at the time of
reporting the reportable item the Recipient submits to the Agreement
Officer a written statement, containing supporting details,
demonstrating that the reportable item was not made in the manner
specified in paragraph (1) or (2) of section 305(a) of the Act.
(ii) Regardless of whether title to a given subject invention would
otherwise be subject to an advance waiver or is the subject of a
petition for waiver, the Recipient may nevertheless file the statement
described in paragraph (b)(1)(i) of this section. The Administrator will
review the information furnished by the Recipient in any such statement
and any other available information relating to the circumstances
surrounding the making of the subject invention and will notify the
Recipient whether the Administrator has determined that the subject
invention was

[[Page 308]]

made in the manner specified in paragraph (1) or (2) of section 305(a)
of the Act.
(2) Property rights in subject inventions. Each subject invention
for which the presumption of paragraph (b)(1)(i) of this section is
conclusive or for which there has been a determination that it was made
in the manner specified in paragraph (1) or (2) of section 305(a) of the
Act shall be the exclusive property of the United States as represented
by NASA unless the Administrator waives all or any part of the rights of
the United States, as provided in paragraph (b)(3) of this section.
(3) Waiver of rights. (i) Section 305(f) of the Act provides for the
promulgation of regulations by which the Administrator may waive the
rights of the United States with respect to any invention or class of
inventions made or that may be made under conditions specified in
paragraph (1) or (2) of section 305(a) of the Act. The promulgated NASA
Patent Waiver Regulations, 14 CFR part 1245, subpart 1, have adopted the
Presidential memorandum on Government Patent Policy of February 18,
1983, as a guide in acting on petitions (requests) for such waiver of
rights.
(ii) As provided in 14 CFR part 1245, subpart 1, Recipients may
petition, either prior to execution of the Agreement or within 30 days
after execution of the Agreement, for advance waiver of rights to any or
all of the inventions that may be made under an Agreement. If such a
petition is not submitted, or if after submission it is denied, the
Recipient (or an employee inventor of the Recipient may petition for
waiver of rights to an identified subject invention within eight months
of first disclosure of invention in accordance with paragraph (e)(2) of
this section or within such longer period as may be authorized in
accordance with 14 CFR 1245.105. Further procedures are provided in the
REQUESTS FOR WAIVER OF RIGHTS--LARGE BUSINESS provision.
(c) Minimum rights reserved by the Government. (1) With respect to
each Recipient subject invention for which a waiver of rights is
applicable in accordance with 14 CFR part 1245, subpart 1, the
Government reserves--
(i) An irrevocable, royalty-free license for the practice of such
invention throughout the world by or on behalf of the United States or
any foreign government in accordance with any treaty or agreement with
the United States; and
(ii) Such other rights as stated in 14 CFR 1245.107.
(2) Nothing contained in this paragraph shall be considered to grant
to the Government any rights with respect to any invention other than a
subject invention.
(d) Minimum rights to the Recipient. (1) The Recipient is hereby
granted a revocable, nonexclusive, royalty-free license in each patent
application filed in any country on a Recipient subject invention and
any resulting patent in which the Government acquires title, unless the
Recipient fails to disclose the subject invention within the times
specified in paragraph (e)(2) of this section. The Recipient's license
extends to its domestic subsidiaries and affiliates, if any, within the
corporate structure of which the Recipient is a party and includes the
right to grant sublicenses of the same scope to the extent the Recipient
was legally obligated to do so at the time the contract was awarded. The
license is transferable only with the approval of the Administrator
except when transferred to the successor of that part of the Recipient's
business to which the invention pertains.
(2) The Recipient's domestic license may be revoked or modified by
the Administrator to the extent necessary to achieve expeditious
practical application of the subject invention pursuant to an
application for an exclusive license submitted in accordance with 14 CFR
part 1245, subpart 3, Licensing of NASA Inventions. This license will
not be revoked in that field of use or the geographical areas in which
the Recipient has achieved practical application and continues to make
the benefits of the invention reasonably accessible to the public. The
license in any foreign country may be revoked or modified at the
discretion of the Administrator to the extent the Recipient, its
licensees, or its domestic subsidiaries or affiliates have failed to
achieve practical application in that foreign country.
(3) Before revocation or modification of the license, the Recipient
will be provided a written notice of the Administrator's intention to
revoke or modify the license, and the Recipient will be allowed 30 days
(or such other time as may be authorized by the Administrator for good
cause shown by the Recipient) after the notice to show cause why the
license should not be revoked or modified. The Recipient has the right
to appeal, in accordance with 14 CFR 1245.112, any decision concerning
the revocation or modification of its license.
(e) Invention identification, disclosures, and reports. (1) The
Recipient shall establish and maintain active and effective procedures
to assure that reportable items are promptly identified and disclosed to
Recipient personnel responsible for the administration of this clause
within six months of conception and/or first actual reduction to
practice, whichever occurs first in the performance of work under this
contract. These procedures shall include the maintenance of laboratory
notebooks or equivalent records and other records as are reasonably
necessary to document the conception and/or the first actual reduction
to practice of the reportable items, and records that show that the
procedures for identifying and disclosing reportable items are followed.
Upon request, the

[[Page 309]]

Recipient shall furnish the Agreement Officer a description of such
procedures for evaluation and for determination as to their
effectiveness.
(2) The Recipient will disclose each reportable item to the
Agreement Officer within two months after the inventor discloses it in
writing to Recipient personnel responsible for the administration of
this clause or, if earlier, within six months after the Recipient
becomes aware that a reportable item has been made, but in any event for
subject inventions before any on sale, public use, or publication of
such invention known to the Recipient. The disclosure to the agency
shall be in the form of a written report and shall identify the
Agreement under which the reportable item was made and the inventor(s)
or innovator(s). It shall be sufficiently complete in technical detail
to convey a clear understanding, to the extent known at the time of the
disclosure, of the nature, purpose, operation, and physical, chemical,
biological, or electrical characteristics of the reportable item. The
disclosure shall also identify any publication, on sale, or public use
of any subject invention and whether a manuscript describing such
invention has been submitted for publication and, if so, whether it has
been accepted for publication at the time of disclosure. In addition,
after disclosure to the agency, the Recipient will promptly notify the
agency of the acceptance of any manuscript describing a subject
invention for publication or of any on sale or public use planned by the
Recipient for such invention.
(3) The Recipient shall furnish the Agreement Officer the following:
(i) Interim reports every 12 months (or such longer period as may be
specified by the Agreement Officer) from the date of the Agreement,
listing reportable items during that period, and certifying that all
reportable items have been disclosed (or that there are no such
inventions) and that the procedures required by paragraph (e)(1) of this
section have been followed.
(ii) A final report, within three months after completion of the
work, listing all reportable items or certifying that there were no such
reportable items, and listing all subcontracts at any tier containing a
patent rights clause or certifying that there were no such subcontracts.
(4) The Recipient agrees, upon written request of the Agreement
Officer, to furnish additional technical and other information available
to the Recipient as is necessary for the preparation of a patent
application on a subject invention and for the prosecution of the patent
application, and to execute all papers necessary to file patent
applications on subject inventions and to establish the Government's
rights in the subject inventions.
(5) The Recipient agrees, subject to 48 CFR (FAR) 27.302(j), that
the Government may duplicate and disclose subject invention disclosures
and all other reports and papers furnished or required to be furnished
pursuant to this clause.
(f) Examination of records relating to inventions. (1) The Agreement
Officer or any authorized representative shall, pursuant to the
Retention and Examination of Records provision of this cooperative
agreement, have the right to examine any books (including laboratory
notebooks), records, and documents of the Recipient relating to the
conception or first actual reduction to practice of inventions in the
same field of technology as the work under this contract to determine
whether--
(i) Any such inventions are subject inventions;
(ii) The Recipient has established and maintained the procedures
required by paragraph (e)(1) of this section; and
(iii) The Recipient and its inventors have complied with the
procedures.
(2) If the Agreement Officer learns of an unreported Recipient
invention that the Agreement Officer believes may be a subject
inventions, the Recipient may be required to disclose the invention to
the agency for a determination of ownership rights.
(3) Any examination of records under this paragraph will be subject
to appropriate conditions to protect the confidentiality of the
information involved.
(g) Subcontracts. (1) Unless otherwise authorized or directed by the
Agreement Officer, the Recipient shall--
(i) Include this Clause Patent Rights--Retention by the Recipient--
(Large Business) (suitably modified to identify the parties) in any
subcontract hereunder (regardless of tier) with other than a small
business firm or nonprofit organization for the performance of
experimental, developmental, or research work; and
(ii) Include the clause Patent Right--Retention by the Recipient--
(Small Business) (suitably modified to identify the parties) in any
subcontract hereunder (regardless of tier) with a small business firm or
nonprofit organization for the performance of experimental,
developmental, or research work.
(2) In the event of a refusal by a prospective subcontractor to
accept such a clause the Recipient--
(i) Shall promptly submit a written notice to the Agreement Officer
setting forth the subcontractor's reasons for such refusal and other
pertinent information that may expedite disposition of the matter; and
(ii) Shall not proceed with such subcontract without the written
authorization of the Agreement Officer.
(3) The Recipient shall promptly notify the Agreement Officer in
writing upon the award of any subcontract at any tier containing a
patent rights clause by identifying the subcontractor, the applicable
patent rights

[[Page 310]]

clause, the work to be performed under the subcontract, and the dates of
award and estimated completion. Upon request of the Agreement Officer,
the Recipient shall furnish a copy of such subcontract, and, no more
frequently than annually, a listing of the subcontracts that have been
awarded.
(4) The subcontractor will retain all rights provided for the
Recipient in the clause of paragraph (g)(1)(i) or (1)(ii) of this
section, whichever is included in the subcontract, and the Recipient
will not, as part of the consideration for awarding the subcontract,
obtain rights in the subcontractor's subject inventions.
(5) Notwithstanding paragraph (g)(4) of this section, and in
recognition of the contractor's substantial contribution of funds,
facilities and/or equipment to the work performed under this cooperative
agreement, the Recipient is authorized, subject to the rights of NASA
set forth elsewhere in this clause, to:
(i) Acquire by negotiation and mutual agreement rights to a
subcontractor's subject inventions as the Recipient may deem necessary
to obtaining and maintaining of such private support; and
(ii) Request, in the event of inability to reach agreement pursuant
to paragraph (g)(5)(i) of this section, that NASA invoke exceptional
circumstances as necessary pursuant to 37 CFR 401.3(a)(2) if the
prospective subcontractor is a small business firm or organization, or
for all other organizations, request that such rights for the Recipient
be included as an additional reservation in a waiver granted pursuant to
14 CFR part 1245, subpart 1. Any such requests to NASA should be
prepared in consideration of the following guidance and submitted to the
contract officer.
(A) Exceptional circumstances. A request that NASA make an
``exceptional circumstances'' determination pursuant to 37 CFR
401.3(a)(2) must state the scope of rights sought by the Recipient
pursuant to such determination; identify the proposed subcontractor and
the work to be performed under the subcontract; and state the need for
the determination.
(B) Waiver petition. The subcontractor should be advised that unless
it requests a waiver of title pursuant to the NASA Patent Waiver
Regulations (14 CFR part 1245, subpart 1), NASA will acquire title to
the subject invention (42 U.S.C. 2457, as amended, sec. 305). If a
waiver is not requested or granted, the Recipient may request a license
from NASA (see licensing of NASA inventions, 14 CFR part 1245, subpart
3). A subcontractor requesting a waiver must follow the procedures set
forth in the attached clause REQUESTS FOR WAIVER OF RIGHTS--LARGE
BUSINESS.
(h) Preference for United States manufacture. The Recipient agrees
that any products embodying subject inventions or produced through the
use of subject inventions shall be manufactured substantially in the
United States. However, in individual cases, the requirement to
manufacture substantially in the United States may be waived by the
Assistant Administrator for Procurement (Code HS) with the concurrence
of the Associate General Counsel for Intellectual Property upon a
showing by the Recipient that under the circumstances domestic
manufacture is not commercially feasible.
(i) March-in rights. The Recipient agrees that, with respect to any
subject invention in which it has acquired title, NASA has the right in
accordance with the procedures in 37 CFR 401.6 and any supplemental
regulations of the agency to require the Recipient, an assignee or
exclusive licensee of a subject invention to grant a nonexclusive,
partially exclusive, or exclusive license in any field of use to a
responsible applicant or applicants, upon terms that are reasonable
under the circumstances, and if the Subcontractor, assignee, or
exclusive licensee refuses such a request NASA has the right to grant
such a license itself if the Federal agency determines that--
(1) Such action is necessary because the Recipient or assignee has
not taken, or is not expected to take within a reasonable time,
effective steps to achieve practical application of the subject
invention in such field of use;
(2) Such action is necessary to alleviate health or safety needs
which are not reasonably satisfied by the Recipient, assignee, or their
licensees;
(3) Such action is necessary to meet requirements for public use
specified by Federal regulations and such requirements are not
reasonably satisfied by the Recipient, assignee, or licensees; or
(4) Such action is necessary because the agreement required by
paragraph (i) of this clause has not been obtained or waived or because
a licensee of the exclusive right to use or sell any subject invention
in the United States is in breach of such agreement.

[End of provision]

Sec. 1274.913 Patent rights--retention by the recipient (small business).

Patent Rights--Retention by the Recipient (Small Business)

July 2002

(a) Definitions. (1) Invention, as used in this clause, means any
invention or discovery which is or may be patentable or otherwise
protectable under title 35 of the U.S.C.
(2) Made, as used in this clause, when used in relation to any
invention means the conception or first actual reduction to practice
such invention.

[[Page 311]]

(3) Nonprofit organization, as used in this clause, means a
university or other institution of higher education or an organization
of the type described in section 501(c)(3) of the Internal Revenue Code
of 1954 (26 U.S.C. 501(c)) and exempt from taxation under section 501(a)
of the Internal Revenue Code (26 U.S.C. 501(a)) or any nonprofit
scientific or educational organization qualified under a state nonprofit
organization statute.
(4) Practical application, as used in this clause, means to
manufacture, in the case of a composition of product; to practice, in
the case of a process or method, or to operate, in the case of a machine
or system; and, in each case, under such conditions as to establish that
the invention is being utilized and that its benefits are, to the extent
permitted by law or Government regulations, available to the public on
reasonable terms.
(5) Small business firm, as used in this clause, means a small
business concern as defined at Section 2 of Pub. L. 85-536 (15 U.S.C.
632) and implementing regulations of the Administrator of the Small
Business Administration. For the purpose of this clause, the size
standards for small business concerns involved in Government procurement
and subcontracting at 13 CFR 121.901 through 121.911 will be used.
(6) Subject invention, as used in this clause, means any invention
of the Subcontractor conceived or first actually reduced to practice in
the performance of work under this Agreement.
(7) Manufactured substantially in the United States means the
product must have over 50 percent of its components manufactured in the
United States. This requirement is met if the cost to the Recipient of
the components mined, produced, or manufactured in the United States
exceeds 50 percent of the cost of all components required to make the
product. (In making this determination only the product and its
components shall be considered.) The cost of each component includes
transportation costs to the place of incorporation into the product and
any applicable duty (whether or not a duty-free entry certificate is
issued). Components of foreign origin of the same class or kind for
which determinations have been made in accordance with FAR 25.102(a)(3)
and (4) are treated as domestic. Scrap generated, collected, and
prepared for processing in the United States is considered domestic.
(b) Allocation of principal rights. The Recipient may retain the
entire right, title, and interest throughout the world to each subject
invention subject to the provisions of this clause and 35 U.S.C. 203.
With respect to any subject invention in which the Recipient retains
title, the Federal Government shall have a nonexclusive,
nontransferable, irrevocable, paid-up license to practice or have
practiced for or on behalf of the United States the subject invention
throughout the world.
(c) Invention disclosure, election of title, and filing of patent
application by Recipient. (1) The Recipient will disclose each subject
invention to NASA within two months after the inventor discloses it in
writing to Recipient personnel responsible for patent matters. The
disclosure to the agency shall be in the form of a written report and
shall identify the contract under which the invention was made and the
inventor(s). It shall be sufficiently complete in technical detail to
convey a clear understanding to the extent known at the time of the
disclosure, of the nature, purpose, operation, and the physical,
chemical, biological or electrical characteristics of the invention. The
disclosure shall also identify any publication, on sale or public use of
the invention and whether a manuscript describing the invention has been
submitted for publication and, if so, whether it has been accepted for
publication at the time of disclosure. In addition, after disclosure to
the agency, the Recipient will promptly notify the agency of the
acceptance of any manuscript describing the invention for publication or
of any sale or public use planned by the Recipient.
(2) The Recipient will elect in writing whether or not to retain
title to any such invention by notifying NASA within two years of
disclosure to the Federal agency. However, in any case where
publication, on sale or public use has initiated the one-year statutory
period wherein valid patent protection can still be obtained in the
United States, the period for election of title may be shortened by the
agency to a date that is no more than 60 days prior to the end of the
statutory period.
(3) The Recipient will file its initial patent application on a
subject invention to which it elects to retain title within one year
after election of title or, if earlier, prior to the end of any
statutory period wherein valid patent protection can be obtained in the
United States after a publication, on sale, or public use. The Recipient
will file patent applications in additional countries or international
patent offices within either 10 months of the corresponding initial
patent application of six months from the date permission is granted by
the Commissioner of Patents and Trademarks to file foreign patent
applications where such filing has been prohibited by a Secrecy Order.
(4) Requests for extension of the time for disclosure election, and
filing under paragraphs (c)(1), (2), and (3) of this section may, at the
discretion of the agency, be granted.
(d) Conditions when the Government may obtain title. The Recipient
will convey to NASA, upon written request, title to any subject
invention--
(1) If the Recipient fails to disclose or elect title to the subject
invention within the

[[Page 312]]

times specified in paragraph (c) of this section, or elects not to
retain title; provided, that the agency may only request title within 60
days after learning of the failure of the Recipient to disclose or elect
within the specified times.
(2) In those countries in which the Recipient fails to file patent
applications within the times specified in paragraph (c) of this
section; provided, however, that if the Recipient has filed a patent
application in a country after the times specified in paragraph (c) of
this section, but prior to its receipt of the written request of the
Federal agency, the Recipient shall continue to retain title in that
country.
(3) In any country in which the Recipient decides not to continue
the prosecution of any application for, to pay the maintenance fees on,
or defend in reexamination or opposition proceeding on, a patent on a
subject invention.
(e) Minimum rights to Recipient and protection of the Recipient
right to file. (1) The Recipient will retain a nonexclusive, royalty-
free license throughout the world in each subject invention to which the
Government obtains title, except if the Recipient fails to disclose the
invention within the times specified in paragraph (c) of this section.
The Recipient's license extends to its domestic subsidiary and
affiliates, if any, within the corporate structure of which the
Recipient is a party and includes the right to grant sublicenses of the
same scope to the extent the Recipient was legally obligated to do so at
the time the agreement was awarded. The license is transferable only
with the approval of NASA, except when transferred to the successor of
that part of the Recipient's business to which the invention pertains.
(2) The Contractor's domestic license may be revoked or modified by
NASA to the extent necessary to achieve expeditious practical
application of subject invention pursuant to an application for an
exclusive license submitted in accordance with applicable provisions at
37 CFR Part 404 and agency licensing regulations (if any). This license
will not be revoked in that field of use or the geographical areas in
which the Subcontractor has achieved practical application and continues
to make the benefits of the invention reasonable accessible to the
public. The license in any foreign country may be revoked or modified at
the discretion of NASA to the extent the Subcontractor, its licensees,
or the domestic subsidiaries or affiliates have failed to achieve
practical application in that foreign country.
(3) Before revocation or modification of the license, NASA will
furnish the Recipient a written notice of its intention to revoke or
modify the license, and the Recipient will be allowed 30 days (or such
other time as may be authorized by NASA for good cause shown by the
Recipient) after the notice to show cause why the license should not be
revoked or modified. The Recipient has the right to appeal, in
accordance with applicable regulations in 37 CFR Part 404 and 14 CFR
Subpart 1245.1, concerning the licensing of Government-owned inventions,
any decision concerning the revocation or modification of the license.
(f) Recipient action to protect the Government's interest. (1) The
Recipient agrees to execute or to have executed and promptly deliver to
NASA all instruments necessary to:
(i) establish or confirm the rights the Government has throughout
the world in those subject inventions to which the Subcontractor elects
to retain title, and,
(ii) convey title to the Federal agency when requested under
paragraph (d) of this section and to enable the Government to obtain
patent protection throughout the world in that subject invention.
(2) The Recipient agrees to require, by written agreement, its
employees, other than clerical and nontechnical employees, to disclose
promptly in writing to personnel identified as responsible for the
administration of patent matters and in a format suggested by the
Recipient each subject invention made under contract in order that the
Recipient can comply with the disclosure provisions of paragraph (c) of
this section, and to execute all papers necessary to file patent
applications on subject inventions and to establish the Government's
rights in the subject inventions. This disclosure format should require,
as a minimum, the information required by paragraph (c)(1) of this
section. The Recipient shall instruct such employees, through employee
agreements or other suitable educational programs, on the importance of
reporting inventions in sufficient time to permit the filing of patent
applications prior to U.S. or foreign statutory bars.
(3) The Recipient will notify NASA of any decisions not to continue
the prosecution of a patent application, pay maintenance fees, or defend
in a reexamination or opposition proceeding on a patent, in any country,
not less than 30 days before the expiration of the response period
required by the relevant patent office.
(4) The Recipient agrees to include, within the specification of any
United States patent application and any patent issuing thereon covering
a subject invention the following statement, ``This invention was made
with Government support under (identify the agreement) awarded by NASA.
The Government has certain rights in the invention.''
(5) The Recipient shall provide the Agreement Officer the following:
(i) A listing every 12 months (or such longer period as the
Agreement Officer may specify) from the date of the Agreement, of

[[Page 313]]

all subject inventions required to be disclosed during the period.
(ii) A final report prior to closeout of the Agreement listing all
subject inventions or certifying that there were none.
(iii) Upon request, the filing date, serial number, and title, a
copy of the patent application, and patent number and issue date for any
subject invention in any country in which the Recipient has applied for
patents.
(iv) An irrevocable power to inspect and make copies of the patent
application file, by the Government, when a Federal Government employee
is a co-inventor.
(g) Subcontracts. (1) Unless otherwise authorized or directed by the
Agreement Officer, the Recipient shall--
(i) Include this clause (Patent Rights--Retention by the Recipient
(Small Business)), suitably modified to identify the parties, in all
subcontracts, regardless of tier, for experimental, developmental, or
research work to be performed by a small business firm or domestic
nonprofit organization; and
(ii) Include in all other subcontracts, regardless of tier, for
experimental, developmental, or research work the patent rights clause
(Patent Rights--Retention by the Recipient (Large Business).
(2) In the event of a refusal by a prospective subcontractor to
accept such a clause the Recipient--
(i) Shall promptly submit a written notice to the Agreement Officer
setting forth the subcontractor's reasons for such refusal and other
pertinent information that may expedite disposition of the matter; and
(ii) Shall not proceed with such subcontract without the written
authorization of the Agreement Officer.
(3) The Recipient shall promptly notify the Agreement Officer in
writing upon the award of any subcontract at any tier containing a
patent rights clause by identifying the subcontractor, the applicable
patent rights clause, the work to be performed under the subcontract,
and the dates of award and estimated completion. Upon request of the
Agreement Officer, the Recipient shall furnish a copy of such
subcontract, and, no more frequently than annually, a listing of the
subcontracts that have been awarded.
(4) The subcontractor will retain all rights provided for the
Recipient in the clause under paragraph (g)(1)(i) or (g)(1)(ii) of this
section, whichever is included in the subcontract, and the Recipient
will not, as part of the consideration for awarding the subcontract,
obtain rights in the subcontractor's subject inventions.
(5) Notwithstanding paragraph (g)(4) of this section, and in
recognition of the contractor's substantial contribution of funds,
facilities and/or equipment to the work performed under this cooperative
agreement, the Recipient is authorized, subject to the rights of NASA
set forth elsewhere in this clause, to--
(i) Acquire by negotiation and mutual agreement rights to a
subcontractor's subject inventions as the Recipient may deem necessary
to obtaining and maintaining of such private support; and
(ii) Request, in the event of inability to reach agreement pursuant
to paragraph (g)(5)(i) of this section that NASA invoke exceptional
circumstances as necessary pursuant to 37 CFR 401.3(a)(2) if the
prospective subcontractor is a small business firm or organization, or
for all other organizations, request that such rights for the Recipient
be included as an additional reservation in a waiver granted pursuant to
14 CFR part 1245, subpart 1. Any such requests to NASA should be
prepared in consideration of the following guidance and submitted to the
contract office:
(A) Exceptional circumstances. A request that NASA make an
``exceptional circumstances'' determination pursuant to 37 CFR
401.3(a)(2) must state the scope of rights sought by the Recipient
pursuant to such determination; identify the proposed subcontractor and
the work to be performed under the subcontract; and state the need for
the determination.
(B) Waiver petition. The subcontractor should be advised that unless
it requests a waiver of title pursuant to the NASA Patent Waiver
Regulations (14 CFR part 1245, subpart 1), NASA will acquire title to
the subject invention (42 U.S.C. 2457, as amended, sec. 305). If a
waiver is not requested or granted, the Recipient may request a license
from NASA (see licensing of NASA inventions, 14 CFR part 1245, subpart
3). A subcontractor requesting a waiver must follow the procedures set
forth in the REQUESTS FOR WAIVER OF RIGHTS--LARGE BUSINESS provision.
(h) Reporting on utilization of subject inventions. The Recipient
agrees to submit, on request, periodic reports no more frequently than
annually on the utilization of a subject invention or on efforts at
obtaining such utilization that are being made by the Recipient or its
licensees or assignees. Such reports shall include information regarding
the status of development, date of first commercial sale or use, gross
royalties received by the Recipient, and such other data and information
as the agency may reasonably specify. The Recipient also agrees to
provide additional reports as may be requested by the agency in
connection with any march-in proceeding under-taken by the agency in
accordance with paragraph (i) of this section. As required by 35 U.S.C.
202(c)(5), the agency agrees it will not disclose such information to
persons outside the Government without permission of the Recipient.

[[Page 314]]

(i) Preference for United States manufacture. The Recipient agrees
that any products embodying subject inventions or produced through the
use of subject inventions shall be manufactured substantially in the
United States. However, in individual cases, the requirement to
manufacture substantially in the United States may be waived by the
Assistant Administrator for Procurement (Code HS) with the concurrence
of the Associate General Counsel for Intellectual Property upon a
showing by the Recipient that under the circumstances domestic
manufacture is not commercially feasible.
(j) March-in rights. The Recipient agrees that, with respect to any
subject invention in which it has acquired title, NASA has the right in
accordance with the procedures in 37 CFR 401.6 and any supplemental
regulations of the agency to require the Recipient, an assignee or
exclusive licensee of a subject invention to grant a nonexclusive,
partially exclusive, or exclusive license in any field of use to a
responsible applicant or applicants, upon terms that are reasonable
under the circumstances, and if the Subcontractor, assignee, or
exclusive licensee refuses such a request NASA has the right to grant
such a license itself if the Federal agency determines that--
(1) Such action is necessary because the Recipient or assignee has
not taken, or is not expected to take within a reasonable time,
effective steps to achieve practical application of the subject
invention in such field of use;
(2) Such action is necessary to alleviate health or safety needs
which are not reasonably satisfied by the Recipient, assignee, or their
licensees;
(3) Such action is necessary to meet requirements for public use
specified by Federal regulations and such requirements are not
reasonably satisfied by the Recipient, assignee, or licensees; or
(4) Such action is necessary because the agreement required by
paragraph (i) of this section has not been obtained or waived or because
a licensee of the exclusive right to use or sell any subject invention
in the United States is in breach of such agreement.
(k) Special provisions for Agreements with nonprofit organizations.
If the Recipient is a nonprofit organization, it agrees that--
(1) Rights to a subject invention in the United States may not be
assigned without the approval of NASA, except where such assignment is
made to an organization which has one of its primary functions the
management of inventions; provided, that such assignee will be subject
to the same provisions as the Recipient;
(2) The Recipient will share royalties collected on a subject
invention with the inventor, including Federal employee co-inventors
(when NASA deems it appropriate) when the subject invention is assigned
in accordance with 35 U.S.C. 202(e) and 37 CFR 401.10;
(3) The balance of any royalties or income earned by the Recipient
with respect to subject inventions, after payment of expenses (including
payments to inventors) incidental to the administration of subject
inventions will be utilized for the support of scientific research or
education; and
(4) It will make efforts that are reasonable under the circumstances
to attract licensees of subject inventions that are small business
firms, and that it will give a preference to a small business firm when
licensing a subject invention if the Recipient determines that the small
business firm has a plan or proposal for marketing the invention which,
if executed, is equally as likely to bring the invention to practical
application as any plans or proposals from applicants that are not small
business firms; provided that the Recipient is also satisfied that the
small business firm has the capability and resources to carry out its
plan or proposal. The decision whether to give a preference in any
specific case will be at the discretion of the Recipient. However, the
Recipient agrees that the Secretary of Commerce may review the
Contractor's licensing program and decisions regarding small business
applicants, and the Recipient will negotiate changes to its licensing
policies, procedures, or practices with the Secretary of Commerce when
the Secretary's review discloses that the Recipient could take
reasonable steps to more effectively implement the requirements of this
paragraph.
(l) Documentation submissions. A copy of all submissions or requests
required by this clause, plus a copy of any reports, manuscripts,
publications, or similar material bearing on patent matters, shall be
sent to the installation Patent Counsel in addition to any other
submission requirements in the cooperative agreement. If any reports
contain information describing a ``subject invention'' for which the
Recipient has elected or may elect title, NASA will use reasonable
efforts to delay public release by NASA or publication by NASA in a NASA
technical series, in order for a patent application to be filed,
provided that the Recipient identify the information and the ``subject
invention'' to which it relates at the time of submittal. If required by
the Agreement Officer, the Recipient shall provide the filing date,
serial number and title, a copy of the patent application, and a patent
number and issue date for any ``subject invention'' in any country in
which the Recipient has applied for patents.

[[Page 315]]

[End of provision]

Sec. 1274.914 Requests for waiver of rights--large business.

Requests for Waiver of Rights--Large Business

July 2002

(a) In accordance with the NASA Patent Waiver Regulations, 14 CFR
part 1245, subpart 1, waiver of rights to any or all inventions made or
that may be made under a NASA agreement, contract or subcontract with
other than a small business firm or a domestic nonprofit organization
may be requested at different time periods. Advance waiver of rights to
any or all inventions that may be made under a contract or subcontract
may be requested prior to the execution of the agreement, contract or
subcontract, or within 30 days after execution by the selected
Recipient. In addition, waiver of rights to an identified invention made
and reported under an agreement, contract or subcontract may be
requested, even though a request for an advance waiver was not made or,
if made, was not granted.
(b) Each request for waiver of rights shall be by petition to the
Administrator and shall include an identification of the petitioner;
place of business and address; if petitioner is represented by counsel,
the name, address, and telephone number of the counsel; the signature of
the petitioner or authorized representative; and the date of signature.
No specific forms need be used, but the request should contain a
positive statement that waiver of rights is being requested under the
NASA Patent Waiver Regulations; a clear indication of whether the
request is for an advance waiver or for a waiver of rights for an
individual identified invention; whether foreign rights are also
requested and, if so, the countries, and a citation of the specific
Section or Sections of the regulations under which such rights are
requested; and the name, address, and telephone number of the party with
whom to communicate when the request is acted upon. Requests for advance
waiver of rights should, preferably, be included with the proposal, but
in any event in advance of negotiations.
(c) Petitions for advance waiver, prior to agreement execution, must
be submitted to the Agreement Officer. All other petitions will be
submitted to the Patent Representative designated in the contract.
(d) Petitions submitted with proposals selected for negotiation of
an agreement will be forwarded by the Contracting or Officer to the
installation Patent Counsel for processing and then to the Inventions
and Contributions Board. The Board will consider these petitions and
where the Board makes the findings to support the waiver, the Board will
recommend to the Administrator that waiver be granted, and will notify
the petitioner and the Agreement Officer of the Administrator's
determination. The Agreement Officer will be informed by the Board
whenever there is insufficient time or information or other reasons to
permit a decision to be made without unduly delaying the execution of
the agreement. In the latter event, the petitioner will be so notified
by the Agreement Officer. All other petitions will be processed by
installation Patent Counsel and forwarded to the Board. The Board shall
notify the petitioner of its action and if waiver is granted, the
conditions, reservations, and obligations thereof will be included in
the Instrument of Waiver. Whenever the Board notifies a petitioner of a
recommendation adverse to, or different from, the waiver requested, the
petitioner may request reconsideration under procedures set forth in the
Regulations.

[End of provision]

Sec. 1274.915 Restrictions on sale or transfer of technology to
foreign firms or institutions.

Restrictions on Sale or Transfer of Technology to Foreign Firms or
Institutions

July 2002

(a) The parties agree that access to technology developments under
this Agreement by foreign firms or institutions must be carefully
controlled. For purposes of this clause, a transfer includes a sale of
the company, or sales or licensing of the technology. Transfers include:
(1) Sales of products or components,
(2) Licenses of software or documentation related to sales of
products or components, or
(3) Transfers to foreign subsidiaries of the Recipient for purposes
related to this Agreement.
(b) The Recipient shall provide timely notice to the Agreement
Officer in writing of any proposed transfer of technology developed
under this Agreement. If NASA determines that the transfer may have
adverse consequences to the national security interests of the United
States, or to the establishment of a robust United States industry, NASA
and the Recipient shall jointly endeavor to find alternatives to the
proposed transfer which obviate or mitigate potential adverse
consequences of the transfer.

[End of provision]

Sec. 1274.916 Liability and risk of loss.

The following provision is applicable to all cooperative agreements
with commercial firms, except programs or

[[Page 316]]

projects that are subject to Section 431 of Public Law 105-276, which
addresses insurance for, or indemnification of, developers of
experimental aerospace vehicles.

Liability and Risk of Loss

July 2002

(a) With regard to activities undertaken pursuant to this agreement,
neither party shall make any claim against the other, employees of the
other, the other's related entities (e.g., contractors, subcontractors,
etc.), or employees of the other's related entities for any injury to or
death of its own employees or employees of its related entities, or for
damage to or loss of its own property or that of its related entities,
whether such injury, death, damage or loss arises through negligence or
otherwise, except in the case of willful misconduct.
(b) To the extent that a risk of damage or loss is not dealt with
expressly in this agreement, each party's liability to the other party
arising out of this Agreement, whether or not arising as a result of an
alleged breach of this Agreement, shall be limited to direct damages
only, and shall not include any loss of revenue or profits or other
indirect or consequential damages.

[End of provision]

Sec. 1274.917 Additional funds.

Additional Funds

July 2002

Pursuant to this Agreement, NASA is providing a fixed amount of
funding for activities to be undertaken under the terms of this
cooperative agreement. NASA is under no obligation to provide additional
funds. Under no circumstances shall the Recipient undertake any action
which could be construed to imply an increased commitment on the part of
NASA under this cooperative agreement.

[End of provision]

Sec. 1274.918 Incremental funding.

Incremental Funding

July 2002

(a) Of the award amount indicated on the cover page of this
Agreement, only the obligated amount indicated on the cover page of this
agreement is available for payment. NASA may supplement the Agreement,
as required, until it is fully funded. Any work beyond the funding limit
will be at the recipient's risk.
(b) These funds will be obligated as appropriated funds become
available without any action required of the Recipient. NASA is not
obligated to make payments in excess of the total funds obligated.

[End of provision]

Sec. 1274.919 Cost principles and accounting standards.

Cost Principles and Accounting Standards

July 2002

The expenditure of Government funds by the Recipient and the
allowability of costs recognized as a resource contribution by the
Recipient (See clause entitled ``Resource Sharing Requirements'') shall
be governed by the FAR cost principles implemented by FAR Parts 30, 31,
and 48 CFR part 99. (If the Recipient is a consortium which includes
non-commercial firm members, cost allowability for those members will be
determined as follows: Allowability of costs incurred by State, local or
federally-recognized Indian tribal governments is determined in
accordance with the provisions of OMB Circular A-87, ``Cost Principles
for State and Local Governments.'' The allowability of costs incurred by
non-profit organizations is determined in accordance with the provisions
of OMB Circular A-122, ``Cost Principles for Non-Profit Organizations.''
The allowability of costs incurred by institutions of higher education
is determined in accordance with the provisions of OMB Circular A-21,
``Cost Principles for Educational Institutions.'' The allowability of
costs incurred by hospitals is determined in accordance with the
provisions of Appendix E of 45 CFR part 74, ``Principles for Determining
Costs Applicable to Research and Development Under Grants and Contracts
with Hospitals.'')

[End of provision]

Sec. 1274.920 Responsibilities of the NASA technical officer.

Responsibilities of the NASA Technical Officer

July 2002

(a) The NASA Agreement Officer and Technical Officer for this
cooperative agreement are identified on the cooperative agreement cover
sheet.
(b) The Agreement Officer shall serve as NASA's authorized
representative for the administrative elements of all work to be
performed under the agreement.
(c) The Technical Officer shall have the authority to issue written
Technical Advice which suggests redirecting the project work (e.g., by
changing the emphasis among different tasks), or pursuing specific lines
of inquiry likely to assist in accomplishing the effort. The Technical
Officer shall have the

[[Page 317]]

authority to approve or disapprove those technical reports, plans, and
other technical information the Recipient is required to submit to NASA
for approval. The Technical Officer is not authorized to issue and the
Recipient shall not follow any Technical Advice which constitutes work
which is not contemplated under this agreement; which in any manner
causes an increase or decrease in the resource sharing or in the time
required for performance of the project; which has the effect of
changing any of the terms or conditions of the cooperative agreement; or
which interferes with the Recipient's right to perform the project in
accordance with the terms and conditions of this cooperative agreement.
In the event of perceived interference, dispute resolution procedures
apply as set forth in 1274.907.

[End of provision]

Sec. 1274.921 Publications and reports: non-proprietary research results.

The requirements set forth under this provision may be modified by
the Agreement Officer based on specific report needs for the particular
grant or cooperative agreement.

Publications and Reports: Non-Proprietary Research Results

July 2002

(a) NASA encourages the widest practicable dissemination of research
results at all times during the course of the investigation consistent
with the other terms of this agreement.
(b) All information disseminated as a result of the cooperative
agreement shall contain a statement which acknowledges NASA's support
and identifies the cooperative agreement by number.
(c) Prior approval by the NASA Technical Officer is required only
where the Recipient requests that the results of the research be
published in a NASA scientific or technical publication. Two copies of
each draft publication shall accompany the approval request.
(d) Reports shall contain full bibliographic references, abstracts
of publications and lists of all other media in which the research was
discussed. The Recipient shall submit the following technical reports:
(1) A progress report for every year of the cooperative agreement
(except the final year). Each report is due 60 days before the
anniversary date of the cooperative agreement and shall describe
research accomplished during the report period.
(2) A summary of research is due by 90 days after the expiration
date of the cooperative agreement, regardless of whether or not support
is continued under another cooperative agreement. This report is
intended to summarize the entire research accomplished during the
duration of the cooperative agreement.
(e) Progress reports and summaries of research shall display the
following on the first page:
(1) Title of the cooperative agreement.
(2) Type of report.
(3) Period covered by the report.
(4) Name and address of the Recipient's organization.
(5) Cooperative agreement number.
(f) An original and two copies, one of which shall be of suitable
quality to permit micro-reproduction, shall be sent as follows:
(1) Original--Agreement Officer.
(2) Copy--Technical Officer
(3) Micro-reproducible copy--NASA Center for Aerospace Information
(CASI), Parkway Center, Attn: Document Processing Section, 7121 Standard
Drive, Hanover, MD 21076.

[End of provision]

Sec. 1274.922 Suspension or termination.

Suspension or Termination

July 2002

(a) This cooperative agreement may be suspended or terminated in
whole or in part by the Recipient or by NASA after consultation with the
other party. With prior written notice, NASA may terminate the
agreement, for example, if the Recipient is not making anticipated
technical progress, if the Recipient materially fails to comply with the
terms of the agreement, if the Recipient materially changes the
objective of the agreement, or if appropriated funds are not available
to support the program.
(b) Upon fifteen (15) days written notice to the other party, either
party may temporarily suspend the cooperative agreement, pending
corrective action or a decision to terminate the cooperative agreement.
The notice should express the reasons why the agreement is being
suspended.
(c) In the event of termination by either party, the Recipient shall
not be entitled to additional funds or payments except as may be
required by the Recipient to meet NASA's share of commitments which had
in the judgment of NASA become firm prior to the effective date of
termination and are otherwise appropriate. In no event, shall these
additional funds or payments exceed the amount of the next payable
milestone billing amount.

[[Page 318]]

[End of provision]

Sec. 1274.923 Equipment and other property.

Equipment and Other Property

February 2004

(a) Under no circumstances shall cooperative agreement funds be used
to acquire land or any interest therein, to acquire or construct
facilities (as defined in 48 CFR (FAR) 45.301), or to procure passenger
carrying vehicles.
(b) Contractor acquired equipment or property used in performance of
the Cooperative Agreement shall be controlled in accordance with 48 CFR
(FAR) 45.6.
(c) The government shall have title to equipment and other personal
property acquired with government funds. Such property shall be disposed
of pursuant to 48 CFR (FAR) 45.603. The Recipient shall have title to
equipment and other personal property acquired with Recipient funds.
Such property shall remain with the Recipient at the conclusion of the
cooperative agreement. Under a shared cost arrangement, the Government
and the Recipient have joint ownership of acquired property in
accordance with the cost share ratio. Jointly owned property shall be
disposed of as agreed to by the parties.
(d) Title to Government furnished equipment (including equipment,
title to which has been transferred to the Government prior to
completion of the work) will remain with the Government.
(e) The Recipient shall establish and maintain property management
standards for Government property and otherwise manage such property as
set forth in 48 CFR (FAR) 45.5 and 48 CFR (NFS) 1845.5.
(f) Recipients shall submit annually a NASA Form 1018, NASA Property
in the Custody of Contractors, in accordance with the instructions on
the form, the provisions of 48 CFR (NFS) 1845.71 and any supplemental
instructions that may be issued by NASA for the current reporting
period. The original NF 1018 shall be submitted to the center Deputy
Chief Financial Officer, Finance, with three copies sent concurrently to
the center Industrial Property Officer. The annual reporting period
shall be from October 1 of each year through September 30 of the
following year. The report shall be submitted in time to be received by
October 15. Negative reports (i.e. no reportable property) are required.
The information contained in the reports is entered into the NASA
accounting system to reflect current asset values for agency financial
statement purposes. Therefore, it is essential that required reports be
received no later than October 15. A final report is required within 30
days after expiration of the agreement.
(g) As of the date of this rewrite, process changes have been made
to facilitate electronic submission of NF 1018. Recipients may use the
procedures established by NASA Procurement Notice (PN) 97-64, issued on
August 9, 2001.

[End of provision]

[67 FR 45790, July 10, 2002, as amended at 69 FR 5017, Feb. 3, 2004]

Sec. 1274.924 Civil rights.

Civil Rights

July 2002

Work on NASA cooperative agreements is subject to the provisions of
Title VI of the Civil Rights Act of 1964 (Public Law 88-352; 42 U.S.C.
2000d-l), Title IX of the Education Amendments of 1972 (20 U.S.C. 1680
et seq.), section 504 of the Rehabilitation Act of 1973, as amended (29
U.S.C. 794), the Age Discrimination Act of 1975 (42 U.S.C. 6101 et
seq.), and the NASA implementing regulations (14 CFR parts 1250, 1251,
1252 and 1253).

[End of provision]

Sec. 1274.925 Subcontracts.

Subcontracts

July 2002

(a) Recipients are not authorized to issue grants or cooperative
agreements.
(b) NASA Agreement Officer consent is required for subcontracts
over[dollar threshold inserted by Agreement Officer] and/or subcontracts
for [critical systems, subsystems, components, or services inserted by
Agreement Officer and Cognizant NASA Project Office]___.
(c) If not submitted by the Recipient and accepted by NASA in the
original proposal. The Recipient shall provide the following information
to the Agreement Officer:
(1) A copy of the proposed subcontract.
(2) Basis for subcontractor selection.
(3) Justification for lack of competition when competitive bids or
offers are not obtained.
(4) Basis for award cost or award price.
(d) The Recipient shall utilize small business, veteran-owned small
business, service-disabled veteran-owned small business, historically
underutilized small business, small disadvantaged business, women-owned
business concerns, Historically Black Colleges and Universities, and
minority educational institutions as subcontractors to the maximum
extent practicable.
(e) All entities that are involved in performing the research and
development effort

[[Page 319]]

that is the purpose of the cooperative agreement shall be part of the
Recipient's consortium and not subcontractors.

[End of provision]

Sec. 1274.926 Clean Air-Water Pollution Control Acts.

Clean Air-Water Pollution Control Acts

July 2002

If this cooperative agreement or supplement thereto is in excess of
$100,000, the Recipient agrees to notify the Agreement Officer promptly
of the receipt, whether prior or subsequent to the Recipient's
acceptance of this cooperative agreement, of any communication from the
Director, Office of Federal Activities, Environmental Protection Agency
(EPA), indicating that a facility to be utilized under or in the
performance of this cooperative agreement or any subcontract thereunder
is under consideration to be listed on the EPA ``List of Violating
Facilities'' published pursuant to 40 CFR 15.20. By acceptance of a
cooperative agreement in excess of $100,000, the Recipient--
(a) Stipulates that any facility to be utilized thereunder is not
listed on the EPA ``List of Violating Facilities'' as of the date of
acceptance;
(b) Agrees to comply with all requirements of section 114 of the
Clean Air Act, as amended (42 U.S.C. 1857 et seq. as amended by Public
Law 91-604) and section 308 of the Federal Water Pollution Control Act,
as amended (33 U.S.C. 1251 et seq. as amended by Public Law 92-500)
relating to inspection, monitoring, entry, reports and information, and
all other requirements specified in the aforementioned sections, as well
as all regulations and guidelines issued thereunder after award of and
applicable to the cooperative agreement; and
(c) Agrees to include the criteria and requirements of this clause
in every subcontract hereunder in excess of $100,000, and to take such
action as the Contracting or Grant Officer may direct to enforce such
criteria and requirements.

[End of provision]

Sec. 1274.927 Debarment and Suspension and Drug-Free Workplace.

Debarment and Suspension and Drug-Free Workplace (SEP 2014)

NASA cooperative agreements are subject to the provisions of 2 CFR
Part 180, Government-wide Debarment and Suspension (Nonprocurement) and
2 CFR Part 182, Government-wide requirements for Drug-Free Workplace,
unless excepted by 2 CFR 180.110 or 180.610.

[End of Provision]

[79 FR 56488, Sept. 22, 2014]

Sec. 1274.928 Foreign national employee investigative requirements.

Foreign National Employee Investigative Requirements

July 2002

(a) The Recipient shall submit a properly executed Name Check
Request (NASA Form 531) and a completed applicant fingerprint card
(Federal Bureau of Investigation Card FD-258) for each foreign national
employee requiring access to a NASA Installation. These documents shall
be submitted to the Installation's Security Office at least 75 days
prior to the estimated duty date. The NASA Installation Security Office
will request a National Agency Check (NAC) for foreign national
employees requiring access to NASA facilities. The NASA Form 531 and
fingerprint card may be obtained from the NASA Installation Security
Office.
(b) The Installation Security Office will request from NASA
Headquarters, Code I, approval for each foreign national's access to the
Installation prior to providing access to the Installation. If the
access approval is obtained from NASA Headquarters prior to completion
of the NAC and performance of the cooperative agreement requires a
foreign national to be given access immediately, the Technical Officer
may submit an escort request to the Installation's Chief of Security.

[End of provision]

Sec. 1274.929 Restrictions on lobbying.

Restrictions on Lobbying

July 2002

This award is subject to the provisions of 14 CFR part 1271 ``New
Restrictions on Lobbying.''

[End of provision]

Sec. 1274.930 Travel and transportation.

Travel and Transportation

July 2002

(a) For travel funded by the government under this agreement,
section 5 of the International Air Transportation Fair Competitive
Practices Act of 1974 (49 U.S.C. 40118) (Fly America Act) requires the
Recipient to use U.S.-flag air carriers for international air
transportation of personnel and property to the extent that service by
those carriers is available.

[[Page 320]]

(b) Department of Transportation regulations, 49 CFR part 173,
govern Recipient shipment of hazardous materials and other items.

[End of provision]

Sec. 1274.931 Electronic funds transfer payment methods.

Electronic Funds Transfer Payment Methods

July 2002

Payments under this cooperative agreement will be made by the
Government by electronic funds transfer through the Treasury Fedline
Payment System (FEDLINE) or the Automated Clearing House (ACH), at the
option of the Government. After award, but no later than 14 days before
an invoice is submitted, the Recipient shall designate a financial
institution for receipt of electronic funds transfer payments, and shall
submit this designation to the Agreement Officer or other Government
official, as directed.
(a) For payment through FEDLINE, the Recipient shall provide the
following information:
(1) Name, address, and telegraphic abbreviation of the financial
institution receiving payment.
(2) The American Bankers Association 9-digit identifying number for
wire transfers of the financing institution receiving payment if the
institution has access to the Federal Reserve Communication System.
(3) Payee's account number at the financial institution where funds
are to be transferred.
(4) If the financial institution does not have access to the Federal
Reserve Communications System, name, address, and telegraphic
abbreviation of the correspondent financial institution through which
the financial institution receiving payment obtains wire transfer
activity. Provide the telegraphic abbreviation and American Bankers
Association identifying number for the correspondent institution.
(b) For payment through ACH, the Recipient shall provide the
following information:
(1) Routing transit number of the financial institution receiving
payment (same as American Bankers Association identifying number used
for FEDLINE).
(2) Number of account to which funds are to be deposited.
(3) Type of depositor account (``C'' for checking, ``S'' for
savings).
(4) If the Recipient is a new enrollee to the ACH system, a
``Payment Information Form,'' SF 3881, must be completed before payment
can be processed.
(c) In the event the Recipient, during the performance of this
cooperative agreement, elects to designate a different financial
institution for the receipt of any payment made using electronic funds
transfer procedures, notification of such change and the required
information specified above must be received by the appropriate
Government official 30 days prior to the date such change is to become
effective.
(d) The documents furnishing the information required in this clause
must be dated and contain the signature, title, and telephone number of
the Recipient official authorized to provide it, as well as the
Recipient's name and contract number.
(e) Failure to properly designate a financial institution or to
provide appropriate payee bank account information may delay payments of
amounts otherwise properly due.

[End of provision]

Sec. 1274.932 Retention and examination of records.

Retention and Examination of Records

July 2002

Financial records, supporting documents, statistical records, and
all other records (or microfilm copies) pertinent to this cooperative
agreement shall be retained for a period of 3 years, except that records
for nonexpendable property acquired with cooperative agreement funds
shall be retained for 3 years after its final disposition and, if any
litigation, claim, or audit is started before the expiration of the 3-
year period, the records shall be retained until all litigation, claims,
or audit findings involving the records have been resolved. The
retention period starts from the date of the submission of the final
invoice. The Administrator of NASA and the Comptroller General of the
United States, or any of their duly authorized representatives, shall
have access to any pertinent books, documents, papers, and records of
the Recipient and of subcontractors to make audits, examinations,
excerpts, and transcripts. All provisions of this clause shall apply to
any subcontractor performing substantive work under this cooperative
agreement.

[End of provision]

Sec. 1274.933 Summary of recipient reporting responsibilities.

Summary of Recipient Reporting Responsibilities

July 2004

This cooperative agreement requires the recipient to submit a number
of reports. These reporting requirements are summarized below. In the
event of a conflict between this provision and other provisions of

[[Page 321]]

the cooperative agreement requiring reporting, the other provisions take
precedence.
[The Agreement Officer may add/delete reporting requirements as
appropriate.]

------------------------------------------------------------------------
Report Frequency Reference
------------------------------------------------------------------------
Report of Joint NASA/ As required......... 1274.911 Patent
Recipient Inventions. Rights
(Paragraph (b)(4))
Interim Report of Reportable Every 12 months..... 1274.912 Patent
Items. Rights--Retention
by the Recipient
(Large Business)
(Paragraph
(e)(3)(i))
Final Report of Reportable 3 months after 1274.912 Patent
Items. completion. Rights--Retention
by the Recipient
(Large Business)
(Paragraph
(e)(3)(ii))
Disclosure of Subject Within 2 months 1274.912 Patent
Inventions. after inventor Rights Retention by
discloses it to the Recipient
Recipient. (Large Business)
(Paragraph (e)(2))
or
1274.913 Patent
Rights--Retention
by the Recipient
(Small Business)
(Paragraph (c)(1))
Election of Title to a 1 year after 1274.913 Patent
Subject Invention. disclosure of the Rights--Retention
subject invention by the Recipient
if a statutory bar (Small Business)
exists, otherwise (Paragraph (c)(2))
within 2 years.
Listing of Subject Every 12 months from 1274.913 Patent
Inventions. the date of the Rights--Retention
agreement. by the Recipient
(Small Business)
(Paragraph
(f)(5)(i))
Subject Inventions Final Prior to close-out 1274.913 Retention
Report. of the agreement. by the Recipient
(Small Business)
(Paragraph
(f)(5)(ii))
Notification of Decision to 30 days before 1274.913 Patent
Forego Patent Protection. expiration of the Rights--Retention
response period. by the Recipient
(Small Business)
(Paragraph (f)(3))
Notification of a Promptly upon award 1274.912 Patent
Subcontract Award. of a subcontract. Rights--Retention
by the Recipient
(Large
Business)(Paragraph
(g)(3))
or 1274.913 Patent
Rights--Retention
by the Recipient
(Small Business)
(Paragraph (g)(3))
Utilization of Subject Annually............ 1274.913 Patent
Invention. Rights--Retention
by the Recipient
(Small Business)
(Paragraph (h))
Notice of Proposed Transfer Prior to 1274.915
of Technology. transferring Restrictions on
technology to Sale or Transfer of
foreign firm or Technology to
institution. Foreign Firms or
Institutions
(Paragraph (b))
Progress Report............. 60 days prior to the 1274.921
anniversary date of Publications and
the agreement Reports: Non-
(except final year). Proprietary
Research Results
(Paragraph (d)(1))
Summary of Research......... 90 days after 1274.921
completion of Publications and
agreement. Reports: Non-
Proprietary
Research Results
(Paragraph (d)(2))
NASA Form 1018 Property in Annually by October 1274.923 Equipment
the Custody of Contractors. 15. and Other Property
(Paragraph (f))
NASA Form 1018 Property in 60 days after 1274.923 Equipment
the Custody of Contractors. expiration date of and Other Property
agreement. (Paragraph (f))
------------------------------------------------------------------------

[67 FR 45790, July 10, 2002, as amended at 69 FR 41936, July 13, 2004]

Sec. 1274.934 Safety.

Safety

July 2002

NASA's safety priority is to protect: (1) The public, (2) astronauts
and pilots, (3) the NASA workforce (including contractor employees
working on NASA contracts), and (4) high-value equipment and property.
(a) The Recipient shall act responsibly in matters of safety and
shall take all reasonable safety measures in performing under this
cooperative agreement. The recipient shall comply with all applicable
federal, state, and local laws relating to safety. The Recipient shall
maintain a record of, and will notify the NASA Agreement Officer
immediately (within one workday) of any accident involving death,
disabling injury or substantial loss of property. The Recipient will
immediately (within one workday) advise NASA of hazards that come to its
attention as a result of the work performed.
(b) Where the work under this cooperative agreement involves flight
hardware, the hazardous aspects, if any, of such hardware will be
identified, in writing, by the Recipient.

[[Page 322]]

Compliance with this provision by subcontractors shall be the
responsibility of the Recipient.

[End of provision]

Sec. 1274.935 Security classification requirements.

Security Classification Requirements

July 2002

Performance under this Cooperative Agreement will involve access to
and/or generation of classified information, work in a secure area, or
both, up to the level of [insert the applicable security clearance
level]. Federal Acquisition Regulation clause 52.204-2 shall apply to
this Agreement and DD Form 254, Contract Security Classification
Specification Attachment ___ [Insert the attachment number of the DD
Form 254.]

[End of provision]

Sec. 1274.936 Breach of safety or security.

Breach of Safety or Security

July 2002

Safety is the freedom from those conditions that can cause death,
injury, occupational illness, damage to or loss of equipment or
property, or damage to the environment. Safety is essential to NASA and
is a material part of this contract. NASA's safety priority is to
protect: The public; astronauts and pilots; the NASA workforce
(including contractor employees working on NASA contracts); and high-
value equipment and property. A major breach of safety by the Recipient
entitles the Government to remedies (pending corrective measures by the
Recipient) which includes, suspension or termination of the Cooperative
Agreement, require removal or change of Recipient's personnel from
performing under the Agreement. A major breach of safety must be related
directly to the work on the Agreement. A major breach of safety is an
act or omission of the Recipient that consists of an accident, incident,
or exposure resulting in a fatality or mission failure; or in damage to
equipment or property equal to or greater than $1 million; or in any
``willful'' or ``repeat'' violation cited by the Occupational Safety and
Health Administration (OSHA) or by a state agency operating under an
OSHA approved plan.
(a) Security is the condition of safeguarding against espionage,
sabotage, crime (including computer crime), or attack. A major breach of
security by the Recipient entitles the Government to remedies (pending
corrective measures by the Recipient) which includes, suspension or
termination of the Cooperative Agreement, require removal or change of
Recipient's personnel from performing under the Cooperative Agreement. A
major breach of security may occur on or off Government installations,
but must be related directly to the work on the Cooperative Agreement. A
major breach of security may arise from any of the following: compromise
of classified information; illegal technology transfer; workplace
violence resulting in criminal conviction; sabotage; compromise or
denial of information technology services; damage or loss greater than
$250,000 to the Government; or theft.
(b) In the event of a major breach of safety or security, the
Recipient shall report the breach to the Agreement Officer. If directed
by the Agreement Officer, the Recipient shall conduct its own
investigation and report the results to the Government. The Recipient
shall cooperate with the Government investigation, if conducted.

[End of provision]

Sec. 1274.937 Security requirements for unclassified information
technology resources.

Security Requirements for Unclassified Information Technology Resources

July 2002

(a) The Recipient shall be responsible for Information Technology
security for all systems connected to a NASA network or operated by the
Recipient for NASA, regardless of location. This provision is applicable
to all or any part of the cooperative agreement that includes
information technology resources or services in which the Recipient must
have physical or electronic access to NASA's sensitive information
contained in unclassified systems that directly support the mission of
the Agency. This includes information technology, hardware, software,
and the management, operation, maintenance, programming, and system
administration of computer systems, networks, and telecommunications
systems. Examples of tasks that require security provisions include:
(1) Computer control of spacecraft, satellites, or aircraft or their
payloads;
(2) Acquisition, transmission or analysis of data owned by NASA with
significant replacement cost should the Recipient's copy be corrupted;
and
(3) Access to NASA networks or computers at a level beyond that
granted the general public, e.g. bypassing a firewall.
(b) The Recipient shall provide, implement, and maintain an IT
Security Plan. This plan shall describe the processes and procedures
that will be followed to ensure appropriate security of IT resources
that are developed, processed, or used under this cooperative agreement.
The plan shall describe

[[Page 323]]

those parts of the cooperative agreement to which this provision
applies. The Recipient's IT Security Plan shall be compliant with
Federal laws that include, but are not limited to, the Computer Security
Act of 1987 (40 U.S.C. 1441 et seq.) and the Government Information
Security Reform Act of 2000. The plan shall meet IT security
requirements in accordance with Federal and NASA policies and procedures
that include, but are not limited to:
(1) OMB Circular A-130, Management of Federal Information Resources,
Appendix III, Security of Federal Automated Information Resources;
(2) NASA Procedures and Guidelines (NPG) 2810.1, Security of
Information Technology; and
(3) Chapter 3 of NPG 1620.1, NASA Security Procedures and
Guidelines.
(c) Within __ days after cooperative agreement award, the Recipient
shall submit for NASA approval an IT Security Plan. This plan must be
consistent with and further detail the approach contained in the
Recipient's proposal that resulted in the award of this cooperative
agreement and in compliance with the requirements stated in this
provision. The plan, as approved by the Agreement Officer, shall be
incorporated into the cooperative agreement as a compliance document.
(d)(1) Recipient personnel requiring privileged access or limited
privileged access to systems operated by the Recipient for NASA or
interconnected to a NASA network shall be screened at an appropriate
level in accordance with NPG 2810.1, Section 4.5; NPG 1620.1, Chapter 3;
and paragraph (d)(2) of this provision. Those Recipient personnel with
non-privileged access do not require personnel screening. NASA shall
provide screening using standard personnel screening National Agency
Check (NAC) forms listed in paragraph (d)(3) of this provision, unless
Recipient screening in accordance with paragraph (d)(4) is approved. The
Recipient shall submit the required forms to the NASA Center Chief of
Security (CCS) within fourteen (14) days after cooperative agreement
award or assignment of an individual to a position requiring screening.
The forms may be obtained from the CCS. At the option of the government,
interim access may be granted pending completion of the NAC.
(2) Guidance for selecting the appropriate level of screening is
based on the risk of adverse impact to NASA missions. NASA defines three
levels of risk for which screening is required (IT-1 has the highest
level of risk):
(i) IT-1--Individuals having privileged access or limited privileged
access to systems whose misuse can cause very serious adverse impact to
NASA missions. These systems include, for example, those that can
transmit commands directly modifying the behavior of spacecraft,
satellites or aircraft.
(ii) IT-2--Individuals having privileged access or limited
privileged access to systems whose misuse can cause serious adverse
impact to NASA missions. These systems include, for example, those that
can transmit commands directly modifying the behavior of payloads on
spacecraft, satellites or aircraft; and those that contain the primary
copy of ``level 1'' data whose cost to replace exceeds one million
dollars.
(iii) IT-3--Individuals having privileged access or limited
privileged access to systems whose misuse can cause significant adverse
impact to NASA missions. These systems include, for example, those that
interconnect with a NASA network in a way that exceeds access by the
general public, such as bypassing firewalls; and systems operated by the
Recipient for NASA whose function or data has substantial cost to
replace, even if these systems are not interconnected with a NASA
network.
(3) Screening for individuals shall employ forms appropriate for the
level of risk as follows:
(i) IT-1: Fingerprint Card (FC) 258 and Standard Form (SF) 85P,
Questionnaire for Public Trust Positions;
(ii) IT-2: FC 258 and SF 85, Questionnaire for Non-Sensitive
Positions; and
(iii) IT-3: NASA Form 531, Name Check, and FC 258.
(4) The Agreement Officer may allow the Recipient to conduct its own
screening of individuals requiring privileged access or limited
privileged access provided the Recipient can demonstrate that the
procedures used by the Recipient are equivalent to NASA's personnel
screening procedures. As used here, equivalent includes a check for
criminal history, as would be conducted by NASA, and completion of a
questionnaire covering the same information as would be required by
NASA.
(5) Screening of Recipient personnel may be waived by the Agreement
Officer for those individuals who have proof of--
(i) Current or recent national security clearances (within last
three years);
(ii) Screening conducted by NASA within last three years; or
(iii) Screening conducted by the Recipient, within last three years,
that is equivalent to the NASA personnel screening procedures as
approved by the Agreement Officer under paragraph (d)(4) of this
provision.
(e) The Recipient shall ensure that its employees, in performance of
the cooperative agreement, receive annual IT security training in NASA
IT Security policies, procedures, computer ethics, and best practices in
accordance with NPG 2810.1, Section 4.3 requirements. The Recipient may
use web-based training available from NASA to meet this requirement.

[[Page 324]]

(f) The Recipient shall afford NASA, including the Office of
Inspector General, access to the Recipient's, subcontractors' or
subawardees' facilities, installations, operations, documentation,
databases and personnel used in performance of the cooperative
agreement. Access shall be provided to the extent required to carry out
a program of IT inspection, investigation and audit to safeguard against
threats and hazards to the integrity, availability and confidentiality
of NASA data or to the function of computer systems operated on behalf
of NASA, and to preserve evidence of computer crime.
(g) The Recipient shall incorporate the substance of this clause in
all subcontracts or subagreements that meet the conditions in paragraph
(a) of this provision.

[End of provision]

Sec. 1274.938 Modifications.

Modifications

July 2002

During the term of this agreement and in the interest of achieving
program objectives, the parties may agree to changes that affect the
responsibility statements, milestones, or other provisions of this
agreement. Any changes to this agreement will be accomplished by a
written bilateral modification.

[End of provision]

Sec. 1274.939 Application of Federal, State, and Local laws and
regulations.

Application of Federal, State, and Local Laws and Regulations

July 2002

(a) Federal Laws and Regulations. This Cooperative Agreement shall
be governed by the Federal Laws, regulations, policies, and related
administrative practices applicable to this Cooperative Agreement on the
date the Agreement is executed. The Recipient understands that such
Federal laws, regulations, policies, and related administrative
practices may be modified from time to time. The Recipient agrees to
consider modifying this Agreement to be governed by those later modified
Federal laws, regulations, policies, and related administrative
practices that directly affect performance of the Project.
(b) State or Territorial Law and Local Law. Except to the extent
that a Federal statute or regulation preempts State or territorial law,
nothing in the Cooperative Agreement shall require the Recipient to
observe or enforce compliance with any provision thereof, perform any
other act, or do any other thing in contravention of any applicable
State or territorial law; however, if any of the provisions of the
Cooperative Agreement violate any applicable State or territorial law,
or if compliance with the provisions of the Agreement would require the
Recipient to violate any applicable State or territorial law, the
Recipient agrees to notify the Government (NASA) immediately in writing
in order that the Government and the Recipient may make appropriate
arrangements to proceed with the Project as soon as possible.
(c) Changed Conditions of Performance (Including Litigation). The
Recipient agrees to notify the Government (NASA) immediately of any
change in State or local law, conditions, or any other event that may
significantly affect its ability to perform the Project in accordance
with the terms of this Cooperative Agreement. In addition, the Recipient
agrees to notify the Government (NASA) immediately of any decision
pertaining to the Recipient's conduct of litigation that may affect the
Government's interests in the Project or the Government's administration
or enforcement of applicable Federal laws or regulations. Before the
Recipient may name the Government as a party to litigation for any
reason, the Recipient agrees to inform the Government; this proviso
applies to any type of litigation whatsoever, in any forum.
(d) No Government Obligations to Third Parties. Absent the
Government's express written consent, and notwithstanding any
concurrence by the Government in or approval of the award of any
Agreement of the Recipient (third party contract) or subcontract of the
Recipient (third party subcontract) or the solicitation thereof, the
Government shall not be subject to any obligations or liabilities to
third party contractors or third party subcontractors or any other
person(s).

[End of provision]

Sec. 1274.940 Changes in recipient's membership.

Changes in Recipient's Membership

July 2002

The Recipient shall notify the cognizant Agreement Officer within
seven (7) days of any change in the corporate membership (ownership)
structure of the Recipient, including the addition or withdrawal of any
of the Recipient's affiliated members (e.g., Consortium Member). If NASA
reasonably determines that any change in the corporate membership
(ownership) of Recipient will conflict with NASA's objectives for the
___ Project or any statutory or regulatory restriction applicable to the
agency, NASA may terminate this Agreement after giving the Agreement
Recipient at least ninety (90) days prior written notice of such
perceived

[[Page 325]]

conflict and a reasonable opportunity to cure such conflict.

[End of provision]

Sec. 1274.941 Insurance and indemnification.

The following provision is applicable to all cooperative agreements
with commercial firms that involve programs or projects that are subject
to Section 431 of Public Law 105-276, which addresses insurance for, or
indemnification of, developers of experimental aerospace vehicles.

Insurance and Indemnification

July 2002

(a) General. The Recipient has applied, under the provisions of
Section 431 of Public Law 105-276 (Section 431), for indemnification by
the Government against certain third party damage claims that might
arise under the Agreement. Under Section 431, a necessary prerequisite
to, and consideration for, the Government's granting such
indemnification is the Recipient's obtaining insurance against an
initial increment of such damages arising from certain third party
claims. This provision sets forth the requirements for this insurance
prerequisite to a Government grant of indemnification.
(b) Definitions. The definitions at 14 CFR 1266, Cross-Waivers and
Indemnification, apply to this provision.
(c) Insurance. The Recipient shall obtain, as part of its financial
contribution, insurance that meets the following parameters:
(1) The insurance policy or policies shall insure against damages
incurred by third parties arising from covered activities;
(2) The amount of insurance applicable to each launch shall be
[Amount to be inserted by the contracting officer]. The Government may
subsequently increase the amount of insurance the Recipient is required
to maintain to qualify for indemnification, for one or more launches,
and the Recipient shall pay the additional cost of such increases from
its financial contribution; and
(3) The insurance policy or policies shall name the parties and
their related entities, and the employees of the parties and their
related entities, as named insureds.
Nothing in this provision precludes the Recipient from obtaining, at
no cost to the Government, such other insurance as the Recipient
determines advisable to protect its business interests.
(d) Proof of Insurance. The Recipient shall provide proof of
insurance that meets the parameters in paragraph (c) of this provision
and that is acceptable to the Agreement Officer:
(1) Within 30/60 days after the execution of the modification adding
this provision to the Agreement;
(2) No later than 30 days before each launch; and
(3) Within 7 days after a request by the Agreement Officer.
Moreover, the Recipient shall promptly notify the Agreement Officer
of any termination, or of any change to the terms or conditions of an
insurance policy or policies for which proof of insurance was provided.
(e) Notification of Claims. The Recipient shall--
(1) Promptly notify the Agreement Officer of any third party claim
or suit against the Recipient, one of its related entities, any employee
of the Recipient or its related entities, or any insurer of the
Recipient for damages resulting from covered activities;
(2) Furnish evidence or proof of any such claim, suit or damages, in
the form required by NASA; and
(3) Immediately furnish to NASA, or its designee, copies of all
information received by the Recipient, or by any related entity,
employee or insurer that is pertinent to such claim, suit or damages.
(f) NASA Concurrence in Settlements. NASA shall concur or not concur
in each settlement of a third party claim by the Recipient's insurer(s).
For purposes of determining the amount of indemnification under this
cooperative agreement. Adjudicated claims shall be deemed concurred in
by NASA.

[End of provision]

Sec. 1274.942 Export licenses.

Export Licenses

July 2002

(a) The Recipient shall comply with all U.S. export control laws and
regulations, including the International Traffic in Arms Regulations
(ITAR), 22 CFR Parts 120 through 130, and the Export Administration
Regulations (EAR), 15 CFR parts 730 through 799, in the performance of
this Cooperative Agreement. In the absence of available license
exemptions/exceptions, the Recipient shall be responsible for obtaining
the appropriate licenses or other approvals, if required, for exports of
hardware, technical data, and software, or for the provision of
technical assistance.
(b) The Recipient shall be responsible for obtaining export
licenses, if required, before utilizing foreign persons in the
performance of this Cooperative Agreement, including instances where the
work is to be performed on-site at [insert name of NASA installation],
where the foreign person will have access to export-controlled technical
data or software.

[[Page 326]]

(c) The Recipient shall be responsible for all regulatory record
keeping requirements associated with the use of licenses and license
exemptions/exceptions.
(d) The Recipient shall be responsible for ensuring that the
requirements of this provision apply to its subcontractors.
(e) The Recipient may request, in writing, that the Agreement
Officer authorize it to export ITAR-controlled technical data (including
software) pursuant to the exemption at 22 CFR 125.4(b)(3). The Agreement
Officer or designated representative may authorize or direct the use of
the exemption where the data does not disclose details of the design,
development, production, or manufacture of any defense article.

[End of provision]

Sec. 1274.943 Investigation of research misconduct.

Investigation of Research Misconduct

May 2005

Recipients of this cooperative agreement are subject to the
requirements of 14 CFR part 1275, ``Investigation of Research
Misconduct.''

[End of provision]

[70 FR 28809, May 19, 2005]

Sec. 1274.944 Award term and condition for recipient integrity and
performance matters.

(a) Reporting of matters related to recipient integrity and
performance--(1) General reporting requirement. (i) If the total value
of your currently active grants, cooperative agreements, and procurement
contracts from all Federal awarding agencies exceeds $10,000,000 for any
period during the period of performance of this Federal award, then you
as the recipient during that period of time must maintain the currency
of information reported in FAPIIS about civil, criminal, or
administrative proceedings described in paragraph (a)(2) of this
section. This is a statutory requirement under section 872 of Public Law
110-417, as amended (41 U.S.C. 2313).
(ii) As required by section 3010 of Public Law 111-212, all
information posted in FAPIIS on or after April 15, 2011, except past
performance reviews required for Federal procurement contracts, will be
publicly available.
(2) Proceedings about which you must report. Submit the information
required about each proceeding that--
(i) Is in connection with the award or performance of a grant,
cooperative agreement, or procurement contract from the Federal
Government;
(ii) Reached its final disposition during the most recent five year
period; and
(iii) Is one of the following:
(A) A criminal proceeding that resulted in a conviction, as defined
in paragraph (a)(5)(ii) of this section.
(B) A civil proceeding that resulted in a finding of fault and
liability and payment of a monetary fine, penalty, reimbursement,
restitution, or damages of $5,000 or more.
(C) An administrative proceeding, as defined in paragraph (a)(5)(i)
of this award term and condition, that resulted in a finding of fault
and liability and your payment of either a monetary fine or penalty of
$5,000 or more or reimbursement, restitution, or damages in excess of
$100,000.
(D) Any other criminal, civil, or administrative proceeding if--
(1) It could have led to an outcome described in paragraph
(a)(2)(iii)(A), (B), or (C) of this section;
(2) It had a different disposition arrived at by consent or
compromise with an acknowledgment of fault on your part; and
(3) The requirement in this award term and condition to disclose
information about the proceeding does not conflict with applicable laws
and regulations.
(3) Reporting procedures. Enter in the SAM Entity Management area
the information that SAM requires about each proceeding described in
paragraph (a)(4) of this section. You do not need to submit the
information a second time under assistance awards that you received if
you already provided the information through SAM, because you were
required to do so under Federal procurement contracts that you were
awarded.
(4) Reporting frequency. During any period of time when you are
subject to the requirement in paragraph (a)(1) of this section, you must
report proceedings information through SAM for the most recent five year
period, either

[[Page 327]]

to report new information about any proceeding(s) that you have not
reported previously or affirm that there is no new information to
report. Recipients that have Federal contract, grant, and cooperative
agreement awards with a cumulative total value greater than $10,000,000
must disclose semiannually any information about the criminal, civil,
and administrative proceedings.
(5) Definitions. For purposes of this section:
(i) Administrative proceeding means a non-judicial process that is
adjudicatory in nature in order to make a determination of fault or
liability (e.g., Securities and Exchange Commission Administrative
proceedings, Civilian Board of Contract Appeals proceedings, and Armed
Services Board of Contract Appeals proceedings). This includes
proceedings at the Federal and State level but only in connection with
performance of a Federal contract or grant. It does not include audits,
site visits, corrective plans, or inspection of deliverables.
(ii) Conviction, for purposes of this award term and condition,
means a judgment or conviction of a criminal offense by any court of
competent jurisdiction, whether entered upon a verdict or a plea, and
includes a conviction entered upon a plea of nolo contendere.
(6) Total value of currently active grants, cooperative agreements,
and procurement contracts includes--
(i) Only the Federal share of the funding under any Federal award
with a recipient cost share or match; and
(ii) The value of all expected funding increments under a Federal
award and options, even if not yet exercised.
(b) [Reserved]

[81 FR 35586, June 3, 2016]

Sec. Appendix to Part 1274--Listing of Exhibits

Exhibit A to Part 1274--Contract Provisions

All contracts awarded by a recipient, including small purchases,
shall contain the following provisions if applicable:
1. Equal Employment Opportunity--All contracts shall contain a
provision requiring compliance with E.O. 11246, ``Equal Employment
Opportunity,'' as amended by E.O. 11375, ``Amending Executive Order
11246 Relating to Equal Employment Opportunity,'' and as supplemented by
regulations at 41 CFR Part 60, ``Office of Federal Contract Compliance
Programs, Equal Employment Opportunity, Department of Labor.''
2. Copeland ``Anti-Kickback'' Act (18 U.S.C. 874 and 40 U.S.C.
276c)--All contracts in excess of $50,000 for construction or repair
awarded by Recipients and subrecipients shall include a provision for
compliance with the Copeland ``Anti-Kickback'' Act (18 U.S.C. 874), as
supplemented by Department of Labor regulations (29 CFR part 3,
``Contractors and Subcontractors on Public Building or Public Work
Financed in Whole or in Part by Loans or Grants from the United
States''). The Act provides that each recipient or subrecipient shall be
prohibited from inducing, by any means, any person employed in the
construction, completion, or repair of public work, to give up any part
of the compensation to which he is otherwise entitled. The recipient
shall report all suspected or reported violations to NASA.
3. Contract Work Hours and Safety Standards Act (40 U.S.C. 327-
333)--Where applicable, all contracts awarded by recipients in excess of
$2,000 for construction contracts and in excess of $50,000 for other
contracts, other than contracts for commercial items, that involve the
employment of mechanics or laborers shall include a provision for
compliance with sections 102 and 107 of the Contract Work Hours and
Safety Standards Act (40 U.S.C. 327-333), as supplemented by Department
of Labor regulations (29 CFR part 5). Under Subsection 102 of the Act,
each recipient shall be required to compute the wages of every mechanic
and laborer on the basis of a standard work week of 40 hours. Work in
excess of the standard work week is permissible provided that the worker
is compensated at a rate of not less than 1\1/2\ times the basic rate of
pay for all hours worked in excess of 40 hours in the work week. Section
107 of the Act is applicable to construction work and provides that no
laborer or mechanic shall be required to work in surroundings or under
working conditions which are unsanitary, hazardous or dangerous. These
requirements do not apply to the purchases of supplies or materials or
articles ordinarily available on the open market, or contracts for
transportation or transmission of intelligence.
4. Rights to Inventions Made Under a Contract or Agreement--
Contracts or agreements for the performance of experimental,
developmental, or research work shall provide for the rights of the
Federal Government and the Recipient in any resulting invention in
accordance with 37 CFR part 401, ``Rights to Inventions Made by
Nonprofit Organizations and Small Business Firms Under Government
Grants, Contracts and Cooperative Agreements,'' and

[[Page 328]]

any implementing regulations issued by the awarding agency.
5. Clean Air Act (42 U.S.C. 7401 et seq.) and the Federal Water
Pollution Control Act (33 U.S.C. 1251 et seq.), as amended--
Contracts, other than contracts for commercial items, of amounts in
excess of $100,000 shall contain a provision that requires the Recipient
to agree to comply with all applicable standards, orders or regulations
issued pursuant to the Clean Air Act (42 U.S.C. 7401 et seq.) and the
Federal Water Pollution Control Act as amended (33 U.S.C. 1251 et seq.).
Violations shall be reported to NASA and the Regional Office of the
Environmental Protection Agency (EPA).
6. Byrd Anti-Lobbying Amendment (31 U.S.C. 1352)--Contractors who
apply or bid for an award of $100,000 or more shall file the required
certification. Each tier certifies to the tier above that it will not
and has not used Federal appropriated funds to pay any person or
organization for influencing or attempting to influence an officer or
employee of any agency, a member of Congress, officer or employee of
Congress, or an employee of a member of Congress in connection with
obtaining any Federal contract, grant or any other award covered by 31
U.S.C. 1352. Each tier shall also disclose any lobbying with non-Federal
funds that takes place in connection with obtaining any Federal award.
Such disclosures are forwarded from tier to tier up to the Recipient.
7. Debarment and Suspension (E.O.s 12549 and 12689)--No contract
shall be made to parties listed on the General Services Administration's
List of Parties Excluded from Federal Procurement or Nonprocurement
Programs in accordance with E.O.s 12549 and 12689, ``Debarment and
Suspension.'' This list contains the names of parties debarred,
suspended, or otherwise excluded by agencies, and contractors declared
ineligible under statutory or regulatory authority other than E.O.
12549. Contractors with awards that exceed the simplified acquisition
threshold shall provide the required certification regarding its
exclusion status and that of its principal employees.

Exhibit B to Part 1274--Reports

1. Property Reporting.

As provided in paragraph (f) of Sec. 1274.923, an annual NASA Form
(NF) 1018, NASA Property in the Custody of Contractors, will be
submitted by October 31 of each year. Negative annual reports are
required. A final report is required within 30 days after expiration of
the agreement (also see paragraph (g) of 1274.923 for electronic
submission guidance).

2. Disclosure of Lobbying Activities (SFLLL)

(a) Agreement Officers shall provide one copy of each SF LLL
furnished under 14 CFR 1271.110 to the Procurement Officer for
transmittal to the Director, Analysis Division (Code HC).
(b) Suspected violations of the statutory prohibitions imple mented
by 14 CFR part 1271 shall be reported to the Director, Contract
Management Division (Code HK).

[67 FR 45790, July 10, 2002, as amended at 72 FR 40066, July 23, 2007]

PART 1275_RESEARCH MISCONDUCT--Table of Contents

Sec.
1275.100 Purpose and scope.
1275.101 Definitions.
1275.102 OIG handling of research misconduct matters.
1275.103 Role of awardee institutions.
1275.104 Conduct of Inquiry by the OIG.
1275.105 Conduct of the OIG investigation of research misconduct.
1275.106 Administrative actions.
1275.107 Adjudication.
1275.108 Appeals.

Appendix: NASA Research Disciplines and Respective Associated
Enterprises

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

Source: 69 FR 42103, July 14, 2004, unless otherwise noted.

Sec. 1275.100 Purpose and scope.

(a) The purpose of this part is to establish procedures to be used
by the National Aeronautics and Space Administration (NASA) for the
handling of allegations of research misconduct. Specifically, the
procedures contained in this part are designed to result in:
(1) Findings as to whether research misconduct by a person or
institution has occurred in proposing, performing, reviewing, or
reporting results from research activities funded or supported by NASA;
and
(2) Recommendations on appropriate administrative actions that may
be undertaken by NASA in response to research misconduct determined to
have occurred.
(b) This part applies to all research wholly or partially funded or
supported by NASA. This includes any research conducted by a NASA
installation and any research conducted by a public or private entity
receiving NASA funds or

[[Page 329]]

using NASA facilities, equipment or personnel, under a contract, grant,
cooperative agreement, Space Act agreement, or other transaction with
NASA.
(c) NASA shall make a determination of research misconduct only
after careful inquiry and investigation by an awardee institution,
another Federal agency, or NASA, and an adjudication conducted by NASA.
NASA shall afford the accused individual or institution a chance to
comment on the investigation report and a chance to appeal the decision
resulting from the adjudication. In structuring procedures in individual
cases, NASA may take into account procedures already followed by other
entities investigating the same allegation of research misconduct.
Investigation of allegations which, if true, would constitute criminal
offenses, are not covered by this part.
(d) A determination that research misconduct has occurred must be
accompanied by recommendations on appropriate administrative actions.
However, the administrative actions themselves may be imposed only after
further procedures described in applicable Federal acquisition and NASA
regulations concerning contracts, cooperative agreements, grants, Space
Act agreements, or other transactions, depending on the type of
agreement used to fund or support the research in question.
Administrative actions involving NASA civil service employees may be
imposed only in compliance with all relevant Federal laws and policies.
(e) Allegations of research misconduct concerning NASA research may
be transmitted to NASA in one of the following ways: By mail address to
the Office of Inspector General (OIG), National Aeronautics and Space
Administration, 300 E Street SW., Washington, DC 20546-0001 via the NASA
OIG Hotline at 1-800-424-9183, or cyber hotline at http://oig.nasa.gov/
hotline.html.
(f) To the extent permitted by law, the identity of the Complainant,
witnesses, or other sources of information who wish to remain anonymous
shall be kept confidential. To the extent permitted by law, NASA shall
protect the research misconduct inquiry, investigation, adjudication,
and appeal records maintained by NASA as exempt from mandatory
disclosure under 5 U.S.C. 552, the Freedom of Information Act, as
amended, and 5 U.S.C. 552a, the Privacy Act, as amended.

[69 FR 42103, July 14, 2004, as amended at 77 FR 44440, July 30, 2012]

Sec. 1275.101 Definitions.

(a) Research misconduct means fabrication, falsification, or
plagiarism in proposing, performing, or reviewing research, or in
reporting research results. Research misconduct does not include honest
error or differences of opinion. Research as used in this part includes
all basic and applied research as defined in OMB Circular A-11 in all
fields of science, engineering, and mathematics, including, but not
limited to, research in space and Earth sciences, economics, education,
linguistics, medicine, psychology, social sciences, statistics, and
biological and physical research (ground based and microgravity),
including research involving human subjects or animals.
(b) Fabrication means making up data or results and recording or
reporting them.
(c) Falsification means manipulating research materials, equipment,
or processes, or changing or omitting data or results such that the
research is not accurately represented in the research record.
(d) Plagiarism means the appropriation of another person's ideas,
processes, results, or words without giving appropriate credit.
(e) Awardee institution means any public or private entity or
organization (including a Federal, State, or local agency) that is a
party to a NASA contract, grant, cooperative agreement, Space Act
agreement, or to any other transaction with NASA, whose purpose includes
the conduct of research.
(f) NASA research means research wholly or partially funded or
supported by NASA involving an awardee institution or a NASA
installation. This definition includes research wholly or partially
funded by NASA appropriated funds, or research involving the use of NASA
facilities, equipment, or personnel.
(g) NASA research discipline means one of the following areas of
research that together comprise NASA's research mission for aeronautics,
space

[[Page 330]]

science, Earth science, biomedicine, biology, engineering and physical
sciences (physics and chemistry).
(h) Inquiry means the assessment of whether an allegation of
research misconduct has substance and warrants an investigation.
(i) Investigation means the formal development of a factual record
and the examination of that record leading to recommended findings on
whether research misconduct has occurred, and if the recommended
findings are that such conduct has occurred, to include recommendations
on appropriate administrative actions.
(j) Complainant is the individual bringing an allegation of research
misconduct related to NASA research.
(k) Respondent is the individual or institution who is the subject
of an allegation of research misconduct related to NASA research.
(l) Adjudication means the formal procedure for reviewing and
evaluating the investigation report and the accompanying evidentiary
record and for determining whether to accept the recommended findings
and any recommendations for administrative actions resulting from the
investigation.
(m) NASA Adjudication Official is the NASA Associate Administrator
of a Mission Directorate, Chief Technologist, or Chief Engineer,
depending on the research area involved in the misconduct allegation (as
described in the list of NASA research disciplines and their associated
directorates contained in the Appendix to this part).
(n) Appeal means the formal procedure initiated at the request of
the Respondent for review of a determination resulting from the
adjudication and for affirming, overturning, or modifying it.
(o) NASA Appeals Official is the NASA Deputy Administrator or other
official designated by the NASA Administrator.

[69 FR 42103, July 14, 2004, as amended at 77 FR 44441, July 30, 2012]

Sec. 1275.102 OIG handling of research misconduct matters.

(a) When an allegation is made to the OIG, rather than to the
awardee institution, the OIG shall determine whether the allegation
concerns NASA research and whether the allegation, if true, falls within
the definition of research misconduct in Sec. 1275.101(a). Investigation
of allegations which, if true, would constitute criminal offenses, are
not covered by this part. If these criteria are met and the research in
question is being conducted by NASA researchers, the OIG shall proceed
in accordance with Sec. 1275.104. If the research in question is being
conducted at an awardee institution, another Federal agency, or is a
collaboration between NASA researchers and co-investigators at either
academia or industry, the OIG must refer the allegation that meets the
definition of research misconduct to the entities involved and determine
whether to--
(1) Defer its inquiry or investigation pending review of the results
of an inquiry or investigation conducted at the awardee institution or
at the Federal agency (referred to for purposes of this part as external
investigations) determined to be the lead investigative organization for
the case; or
(2) Commence its own inquiry or investigation.
(b) The OIG must inform the NASA Office of the Chief Scientist of
all allegations that meet the definition of research misconduct received
by the OIG and of the determinations of the OIG required by
Sec. 1275.101. The NASA Office of the Chief Scientist shall notify the
NASA Office of the Chief Engineer or the NASA Office of the Chief
Technologist when the research is either engineering or technology
research.
(c) The OIG should defer its inquiry or investigation pending review
of the results of an external investigation whenever possible.
Nevertheless, the OIG retains the right to proceed at any time with a
NASA inquiry or investigation. Circumstances in which the OIG may elect
not to defer its inquiry or investigation include, but are not limited
to, the following:
(1) When the OIG determines that the awardee institution is not
prepared to handle the allegation in a manner consistent with this part;
(2) When the OIG determines that NASA involvement is needed to
protect the public interest, including public health and safety;

[[Page 331]]

(3) When the OIG determines that the allegation involves an awardee
institution of sufficiently small size that it cannot reasonably conduct
the investigation itself;
(4) When the OIG determines that a NASA program or project could be
jeopardized by the occurrence of research misconduct; or
(5) When the OIG determines that any of the notifications or
information required to be given to the OIG by the awardee institution
pursuant to Sec. 1275.103(b) requires NASA to cease its deferral to the
awardee institution's procedures and to conduct its own inquiry or
investigation.
(d) A copy of the investigation report, evidentiary record, and
final determination resulting from an external investigation must be
transmitted to the OIG for review. The OIG shall determine whether to
recommend to the NASA Adjudication Official, or to the lead
investigative organization in cases that involve multiple institutions,
acceptance of the investigation report and final determination in whole
or in part. The OIG's decision must be made within 45 days of receipt of
the investigation report and evidentiary record. This period of time may
be extended by the OIG for good cause. The OIG shall make this decision
based on the OIG's assessment of the completeness of the investigation
report, and the OIG's assessment of whether the investigating entity
followed reasonable procedures, including whether the Respondent had an
adequate opportunity to comment on the investigation report and whether
these comments were given due consideration. If the OIG decides to
recommend acceptance of the results of the external investigation, in
whole or in part, the OIG shall transmit a copy of the final
determination, the investigation report, and the evidentiary record to
the NASA Adjudication Official, and to the NASA Office of the Chief
Scientist. When the OIG decides not to recommend acceptance, the OIG
must initiate its own investigation.
(e) In the case of an investigation conducted by the OIG, the OIG
shall transmit copies of the investigation report, including the
Respondent's written comments (if any), the evidentiary record and its
recommendations, to the institution, to the NASA Adjudication Official
and to the NASA Office of the Chief Scientist.
(f) Upon learning of alleged research misconduct, the OIG shall
identify potentially implicated awards or proposals and, when
appropriate, shall ensure that program, grant, or contracting officers
handling them are informed. Neither a suspicion nor allegation of
research misconduct, nor a pending inquiry or investigation, shall
normally delay review of proposals. Subject to paragraph (g) of this
section, reviewers or panelists shall not be informed of allegations or
of ongoing inquiries or investigations in order to avoid influencing
reviews. In the event that an application receives a fundable rating or
ranking by a review panel, funding can be deferred by the program until
the completion of the inquiry or investigation.
(g) If, during the course of an OIG conducted inquiry or
investigation, it appears that immediate administrative action, as
described in Sec. 1275.106, is necessary to protect public health or
safety, Federal resources or interests, or the interests of those
involved in the inquiry or investigation, the OIG shall inform the NASA
sponsor for the research and the NASA Office of the Chief Scientist.

Sec. 1275.103 Role of awardee institutions.

(a) The awardee institutions have the primary responsibility for
prevention and detection of research misconduct and for the inquiry,
investigation, and adjudication of research misconduct alleged to have
occurred in association with their own institutions, although NASA has
ultimate oversight authority for NASA research.
(b) When an allegation of research misconduct related to NASA
research is made directly to the OIG and the OIG defers to the awardee
institution's inquiry or investigation, or when an allegation of
research misconduct related to NASA research is made directly to the
awardee institution which commences an inquiry or investigation, the
awardee institution is required to:

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(1) Notify the OIG if an inquiry supports a formal investigation as
soon as this is determined.
(2) Keep the OIG informed during such an investigation.
(3) Notify the OIG immediately--
(i) If public health or safety is at risk;
(ii) If Federal resources, reputation, or other interests need
protecting;
(iii) If research activities should be suspended;
(iv) If there is reasonable indication of possible violations of
civil or criminal law;
(v) If Federal action is needed to protect the interests of those
involved in the investigation; or
(vi) If the research community or the public should be informed.
(4) Provide the OIG with a copy of the investigation report,
including the recommendations made to the awardee institution's
adjudication official and the Respondent's written comments (if any),
along with a copy of the evidentiary record.
(5) Provide the OIG with the awardee institution's final
determination, including any corrective actions taken or planned.
(c) If an awardee institution wishes the OIG to defer its own
inquiry or investigation, the awardee institution shall complete any
inquiry and decide whether an investigation is warranted within 60 days.
It should similarly complete any investigation, adjudication, or other
procedure necessary to produce a final determination, within an
additional 180 days. If completion of the process is delayed, but the
awardee institution wishes NASA's deferral of its own procedures to
continue, NASA may require submission of periodic status reports.
(d) Each awardee institution must maintain and effectively
communicate to its staff, appropriate policies and procedures relating
to research misconduct, including the requirements on when and how to
notify NASA.

Sec. 1275.104 Conduct of Inquiry by the OIG.

(a) When an awardee institution or another Federal agency has
promptly initiated its own investigation, the OIG may defer its inquiry
or investigation until it receives the results of that external
investigation. When the OIG does not receive the results within a
reasonable time, the OIG shall ordinarily proceed with its own
investigation.
(b) When the OIG decides to initiate a NASA investigation, the OIG
must give prompt written notice to the individual or institution to be
investigated, unless notice would prejudice the investigation or unless
a criminal investigation is underway or under active consideration. If
notice is delayed, it must be given as soon as it will no longer
prejudice the investigation or contravene requirements of law or Federal
law-enforcement policies.
(c) When alleged misconduct may involve a crime, the OIG shall
determine whether any criminal investigation is already pending or
projected. If not, the OIG shall determine whether the matter should be
referred to the Department of Justice.
(d) When a criminal investigation by the Department of Justice or
another Federal agency is underway or under active consideration, the
OIG shall determine what information, if any, may be disclosed to the
Respondent or to NASA employees.
(e) To the extent possible, the identity of sources who wish to
remain anonymous shall be kept confidential. To the extent allowed by
law, documents and files maintained by the OIG during the course of an
inquiry or investigation of misconduct shall be treated as investigative
files exempt from mandatory public disclosure upon request under the
Freedom of Information Act.
(f) When the OIG proceeds with its own inquiry, it is responsible
for ensuring that the inquiry is completed within 60 days after it is
commenced. The OIG may extend this period of time for good cause.
(g) On the basis of what the OIG learns from an inquiry, and in
consultation as appropriate with other NASA offices, the OIG shall
decide whether a formal investigation is warranted.

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Sec. 1275.105 Conduct of the OIG investigation of research misconduct.

(a) The OIG shall make every reasonable effort to complete a NASA
research misconduct investigation and issue a report within 120 days
after initiating the investigation. The OIG may extend this period of
time for good cause.
(b) A NASA investigation may include:
(1) Review of award files, reports, and other documents readily
available at NASA or in the public domain;
(2) Review of procedures or methods and inspection of laboratory
materials, specimens, and records at awardee institutions;
(3) Interviews with parties or witnesses;
(4) Review of any documents or other evidence provided by or
properly obtainable from parties, witnesses, or other sources;
(5) Cooperation with other Federal agencies; and
(6) Opportunity for the Respondent to be heard.
(c) The OIG may invite outside consultants or experts to participate
in a NASA investigation.
(d) During the course of the investigation, the OIG shall provide a
draft of the investigation report to the Respondent, who shall be
invited to submit comments. The Respondent must submit any comments
within 20 days of receipt of the draft investigation report. This period
of time may be extended by the OIG for good cause. Any comments
submitted by the Respondent shall receive full consideration before the
investigation report is made final.
(e) At the end of the investigation proceedings, an investigation
report must be prepared that shall include recommended findings as to
whether research misconduct has occurred. A recommended finding of
research misconduct requires that:
(1) There be a significant departure from accepted practices of the
relevant research community for maintaining the integrity of the
research record;
(2) The research misconduct be committed intentionally, knowingly,
or in reckless disregard of accepted practices; and
(3) The allegation be proven by a preponderance of evidence.
(f) The investigation report must also be transmitted with the
recommendations for administrative action, when recommended findings of
research misconduct are made. Section 1275.106 lists possible
recommended administrative actions and considerations for use in
determining appropriate recommendations.
(g) NASA OIG may elect to proceed with its administrative
investigation processes in lieu of a research misconduct investigation
under this part when the allegation is against a civil service employee
(an intramural researcher).

Sec. 1275.106 Administrative actions.

(a) Listed in paragraphs (a)(1) through (a)(3) of this section are
possible administrative actions that may be recommended by the
investigation report and adopted by the adjudication process. They are
not exhaustive, and are in addition to any administrative actions
necessary to correct the research record. The administrative actions
range from minimal restrictions (Group I Actions) to severe restrictions
(Group III Actions), and do not include possible criminal sanctions.
(1) Group I Actions.
(i) Send a letter of reprimand to the individual or institution.
(ii) Require as a condition of an award that for a specified period
of time an individual, department, or institution obtain special prior
approval of particular activities from NASA.
(iii) Require for a specified period of time that an institutional
official other than those guilty of research misconduct certify the
accuracy of reports generated under an award or provide assurance of
compliance with particular policies, regulations, guidelines, or special
terms and conditions.
(2) Group II Actions.
(i) Restrict for a specified period of time designated activities or
expenditures under an active award.
(ii) Require for a specified period of time special reviews of all
requests for funding from an affected individual, department, or
institution to ensure that steps have been taken to prevent repetition
of the research misconduct.

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(3) Group III Actions.
(i) Immediately suspend or terminate an active award.
(ii) Debar or suspend an individual, department, or institution from
participation in NASA programs for a specified period of time.
(iii) Prohibit participation of an individual as a NASA reviewer,
advisor, or consultant for a specified period of time.
(b) In deciding what actions are appropriate when research
misconduct is found, NASA officials should consider the seriousness of
the misconduct, including, but not limited to:
(i) The degree to which the misconduct was knowing, intentional, or
reckless;
(ii) Whether the misconduct was an isolated event or part of a
pattern;
(iii) Whether the misconduct had a significant impact on the
research record, research subjects, or other researchers, institutions,
or the public welfare.

Sec. 1275.107 Adjudication.

(a) The NASA Adjudication Official must review and evaluate the
investigation report and the evidentiary record required to be
transmitted pursuant to Sec. 1275.102(d) and (e). The NASA Adjudication
Official may initiate further investigations, which may include
affording the Respondent another opportunity for comment, before issuing
a decision regarding the case. The NASA Adjudication Official may also
return the investigation report to the OIG with a request for further
fact-finding or analysis.
(b) Based on a preponderance of the evidence, the NASA Adjudication
Official shall issue a decision setting forth the Agency's findings as
to whether research misconduct has occurred and recommending appropriate
administrative actions that may be undertaken by NASA in response to
research misconduct determined to have occurred. The NASA Adjudication
Official shall render a decision within 30 days after receiving the
investigation report and evidentiary record, or after completion of any
further proceedings. The NASA Adjudication Official may extend this
period of time for good cause.
(c) The decision shall be sent to the Respondent, to the
Respondent's institution, and, if appropriate, to the Complainant. If
the decision confirms the alleged research misconduct, it must include
instructions on how to pursue an appeal to the NASA Appeals Official.
The decision shall also be transmitted to the NASA Office of the Chief
Scientist and the OIG.

Sec. 1275.108 Appeals.

(a) The Respondent may appeal the decision of the NASA Adjudication
Official by notifying the NASA Appeals Official in writing of the
grounds for appeal within 30 days after Respondent's receipt of the
decision. If the decision is not appealed within the 30-day period, the
decision becomes the final Agency action insofar as the findings are
concerned.
(b) The NASA Appeals Official shall inform the Respondent of a final
determination within 30 days after receiving the appeal. The NASA
Appeals Official may extend this period of time for good cause. The
final determination may affirm, overturn, or modify the decision of the
NASA Adjudication Official and shall constitute the final Agency action
insofar as the findings are concerned. The final determination shall
also be transmitted to the NASA Office of the Chief Scientist and the
OIG.
(c) Once final Agency action has been taken pursuant to paragraphs
(a) or (b) of this section, the recommendations for administrative
action shall be sent to the relevant NASA components for further
proceedings in accordance with applicable laws and regulations.

Sec. Appendix to Part 1275--Research Misconduct

NASA Research Disciplines and Respective Associated Directorates

1. Aeronautics Research--Aeronautics Research Mission Directorate
2. Space Science Research--Science Mission Directorate
3. Earth Science Research and Applications--Science Mission Directorate
4. Biomedical Research--Human Exploration and Operations Mission
Directorate
5. Fundamental Biology--Human Exploration and Operations Mission
Directorate
6. Fundamental Physics--Human Exploration and Operations Mission
Directorate

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7. Research for Exploration Systems not covered by the disciplines
above--Human Exploration and Operations Mission Directorate
8. Research for the International Space Station not covered by the
disciplines above--Human Exploration and Operations Mission Directorate
9. Other engineering research not covered by disciplines above--NASA
Chief Engineer
10. Other technology research not covered by disciplines above--NASA
Chief Technologist

[77 FR 44441, July 30, 2012]

PARTS 1276 1299 [RESERVED]

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CHAPTER VI--AIR TRANSPORTATION SYSTEM STABILIZATION

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

SUBCHAPTER A--OFFICE OF MANAGEMENT AND BUDGET
Part Page
1300 Aviation disaster relief--Air Carrier
Guarantee Loan Program.................. 339
SUBCHAPTER B--AIR TRANSPORTATION STABILIZATION BOARD
1310 Air Carrier Guarantee Loan Program
administrative regulations and amendment
or waiver of a term or condition of
guaranteed loan......................... 347
1311-1399

[Reserved]

[[Page 339]]

SUBCHAPTER A_OFFICE OF MANAGEMENT AND BUDGET

PART 1300_AVIATION DISASTER RELIEF_AIR CARRIER GUARANTEE LOAN PROGRAM
--Table of Contents

Subpart A_General

Sec.
1300.1 Purpose.
1300.2 Definitions.
1300.3 Supplementary regulations of the Air Transportation
Stabilization Board.

Subpart B_Minimum Requirements and Application Procedures

1300.10 General standard for Board issuance of Federal credit
instruments.
1300.11 Eligible borrower.
1300.12 Eligible lender.
1300.13 Guarantee amount.
1300.14 Guarantee percentage.
1300.15 Loan terms.
1300.16 Application process.
1300.17 Application evaluation.
1300.18 Issuance of the guarantee.
1300.19 Assignment or transfer of loans.
1300.20 Lender responsibilities.
1300.21 Guarantee.
1300.22 Termination of obligations.
1300.23 Participation in guaranteed loans.

Authority: Title I of Pub. L. 107-42, 115 Stat. 230 (49 U.S.C. 40101
note).

Source: 66 FR 52272, Oct. 12, 2001, unless otherwise noted.

Subpart A_General

Sec. 1300.1 Purpose.

This part is issued by the Office of Management and Budget, (OMB)
pursuant to Title I of the Air Transportation Safety and System
Stabilization Act, Public Law 107-42, 115 Stat. 230 (``Act'').
Specifically, Section 102(c)(2)(B) directs OMB to issue regulations
setting forth procedures for application and minimum requirements for
the issuance of Federal credit instruments under section 101(a)(1) of
the Act.

Sec. 1300.2 Definitions.

(a) Act means the Air Transportation Safety and System Stabilization
Act, Public Law 107-42, 115 Stat. 230 (49 U.S.C. 40101 note).
(b) Administer, administering and administration, mean the lender's
actions in making, disbursing, servicing (including, but not limited to
care, preservation and maintenance of collateral), monitoring,
collecting, and liquidating a loan and security.
(c) Agent means that lender authorized to take such actions,
exercise such powers, and perform such duties on behalf and in
representation of all lenders party to a guarantee of a single loan, as
is required by, or necessarily incidental to, the terms and conditions
of the guarantee.
(d) Air carrier means an air carrier as defined in 49 U.S.C. 40102.
(e) Applicant means one or more air carriers applying for a Federal
credit instrument issued by the Board under the program.
(f) The Board, for purposes of any operational and decisionmaking
functions in connection with individual loan guarantees, means the
voting members of the Air Transportation Stabilization Board established
under Section 102 of the Act. The voting members of the Board are the
Chairman of the Board of Governors of the Federal Reserve System (who is
the Chairman of the Board), the Secretary of the Treasury and the
Secretary of Transportation, or their designees. The Comptroller
General, who is a nonvoting member, will not participate in the review,
operations, or deliberations of the Board in connection with individual
loan guarantees, or otherwise participate in the Board's exercise of any
executive power, but may provide such audit, evaluation and other
support to the Board as the Board may request, consistent with
applicable auditing standards.
(g) Borrower means an ``Obligor,'' as defined in Section 102(a)(4)
of the Act, and includes an air carrier that is primarily liable for
payment of the principal of and interest on a Federal credit instrument,
which party may be a corporation, partnership, joint venture, trust, or
governmental entity, agency, or instrumentality.
(h) Federal credit instrument, as defined in Section 107(2) of the
Act, means any guarantee or other pledge by the Board issued under the
program to pledge the full faith and credit of

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the United States to pay all or part of any of the principal of and
interest on a loan issued by a borrower and funded by a lender.
(i) Financial obligation, as defined in Section 102(a)(2) of the
Act, means any note, bond, debenture, or other debt obligation issued by
a borrower in connection with financing under the program.
(j) Guarantee means the written agreement between the Board and one
or more lenders, pursuant to which the Federal government guarantees
repayment of a specified percentage of the principal of and/or interest
on the loan. Unless otherwise specified, guarantee includes any other
pledge issued under a Federal credit instrument.
(k) Lender means any non-Federal qualified institutional buyer, as
defined in Section 102(a)(3) of the Act, that funds a financial
obligation subject to a guarantee issued by the Board. With respect to a
guarantee of a single loan to which more than one lender is a party, the
term lender means agent.
(l) Loan, unless otherwise specified, includes any financial
obligation (i.e., note, bond, debenture, or other debt obligation)
issued by a borrower.
(m) Loan documents mean the loan agreement and all other
instruments, and all documentation between the lender and the borrower
evidencing the making, disbursing, securing, collecting, or otherwise
administering of the loan. (References to loan documents also include
comparable agreements, instruments, and documentation for other
financial obligations for which a guarantee is requested or issued.)
(n) Program means the air carrier guarantee loan program established
by section 101(a)(1) and the related provisions of Title I of the Act.
(o) Security means all property, real or personal, required by the
provisions of the guarantee or by the loan documents to secure repayment
of any indebtedness of the borrower under the loan documents or
guarantee.

Sec. 1300.3 Supplementary regulations of the Air Transportation
Stabilization Board.

(a) The regulations in this part are supplemented by the regulations
of the Air Transportation Stabilization Board in part 1310 of this
chapter in accordance with section 102(c)(2)(B) of the Act.
(b) This part and part 1310 of this chapter jointly govern the
application procedures and the requirements for issuance of Federal
credit instruments under section 101(a)(1) of the Act.

[67 FR 17258, Apr. 9, 2002]

Subpart B_Minimum Requirements and Application Procedures

Sec. 1300.10 General standards for Board issuance of Federal credit
instruments.

(a) In accordance with section 102(c)(1) of the Act, the Board may
enter into agreements with one or more borrowers to issue Federal credit
instruments only if the Board determines, in its discretion and in
accordance with the minimum requirements set forth in this part, that--
(1) The borrower is an air carrier for which credit is not
reasonably available at the time of the transaction;
(2) The intended obligation by the borrower is prudently incurred;
and
(3) Such agreement is a necessary part of maintaining a safe,
efficient, and viable commercial aviation system in the United States.
(b) In accordance with section 102(c)(2)(A) of the Act, the Board
shall enter into an agreement to issue a Federal credit instrument in
such form and on such terms and conditions and subject to such
covenants, representations, warranties, and requirements (including
requirements for audits) as the Board determines are appropriate for
satisfying the requirements of this part and any supplemental
requirements issued by the Board under section 102(c)(2)(B) of the Act.
(c) In accordance with section 102(d)(1) of the Act, in entering
into

[[Page 341]]

agreements to issue Federal credit instruments, the Board shall, to the
extent feasible and practicable and in accordance with the requirements
in this part, ensure that the Federal Government is compensated for the
risk assumed in making guarantees.
(d) In accordance with Section 102(d)(2) of the Act, the Board is
authorized to enter into contracts under which the Federal Government,
contingent on the financial success of the air carrier, would
participate in the gains of the air carrier or its security holders
through the use of such instruments as warrants, stock options, common
or preferred stock, or other appropriate equity instruments, except that
the Board shall not accept an equity interest in an air carrier that
gives the Federal Government voting rights.
(e) In accordance with Section 104(a) of the Act, the Board may only
issue a Federal credit instrument to an air carrier after the air
carrier enters into a legally binding agreement with the Board regarding
certain employee compensation.

Sec. 1300.11 Eligible borrower.

(a) An eligible borrower must be an air carrier that can
demonstrate, to the satisfaction of the Board, that:
(1) It has incurred (or is incurring) losses as a result of the
terrorist attacks on the United States that occurred on September 11,
2001, which may include losses due to the unavailability of credit or
the decrease in demand for that air carrier's services;
(2) It is not under bankruptcy protection or receivership when the
application is submitted or when the Board issues the guarantee, unless
the guarantee and the underlying financial obligation is to be part of a
bankruptcy court-certified reorganization plan;
(3) It has agreed to permit such audits and reviews prior to the
issuance of a guarantee, as the Board may deem appropriate, by an
independent auditor acceptable to the Board;
(4) It has agreed to permit such audits and reviews during the
period the loan is outstanding and three years after payment in full of
the guaranteed loan, as the Board may deem appropriate, by an
independent auditor acceptable to the Board or by the Comptroller
General;
(5) In conducting audits and reviews pursuant to paragraphs (a) (3)
and (4) of this section, it has agreed to provide access to the officers
and employees, books, records, accounts, documents, correspondence, and
other information of the borrower, its subsidiaries, affiliates,
financial advisers, consultants, and independent certified accountants
that the Board or the Comptroller General consider necessary.
(b) Status as an eligible borrower under this section does not
ensure that the Board will issue the guarantee sought or preclude the
Board from declining to issue a guarantee.

Sec. 1300.12 Eligible lender.

(a) A lender eligible to receive a Federal credit instrument
approved by the Board must be a non-Federal qualified institutional
buyer as defined in Section 102(a)(3) of the Act.
(b) If more than one institution participates as a lender in a
single loan for which a Federal credit instrument is requested, each one
of the institutions on the application must meet the requirements to be
an eligible lender. An application for a guarantee of a single loan, for
which there is more than one lender, must identify one of the
institutions to act as agent for all. This agent is responsible for
administering the loan and shall have those duties and responsibilities
required of an agent, as set forth in the guarantee.
(c) Each lender, irrespective of any indemnities or other agreements
between the lenders and the agent, shall be bound by all actions, and/or
failures to act, of the agent. The Board shall be entitled to rely upon
such actions and/or failures to act of the agent as binding the lenders.
(d) Status as an eligible lender under this section does not assure
that the Board will issue the guarantee sought, or otherwise preclude
the Board from declining to issue a guarantee.

Sec. 1300.13 Guarantee amount.

(a) Under Section 101(a)(1) of the Act, the Board is authorized to
enter into agreements to issue Federal credit instruments that, in the
aggregate, do not exceed $10 billion.

[[Page 342]]

(b) The loan amount guaranteed to a single air carrier may not
exceed that amount that, in the Board's sole discretion, the air carrier
(or its successor) needs in order for it to provide commercial air
services.

Sec. 1300.14 Guarantee percentage.

A guarantee issued by the Board must be less than 100 percent of the
amount of principal and accrued interest of the loan guaranteed.

Sec. 1300.15 Loan terms.

(a) A loan guaranteed under the program shall be due and payable in
full no later than seven years from the date on which the first
disbursement of the loan is made.
(b) Loans guaranteed under the program must bear a rate of interest
determined by the Board to be reasonable. In determining the
reasonableness of an interest rate, the Board shall consider the
percentage of the guarantee, any collateral, other loan terms, and
current average yields on outstanding obligations of the United States
with maturity comparable to the term of the loan guaranteed. The Board
may reject an application to guarantee a loan if it determines the
interest rate on such loan to be unreasonable.
(c) An eligible lender may assess and collect from the borrower such
other fees and costs associated with the application and origination of
the loan as are reasonable and customary, taking into consideration the
amount and complexity of the credit. The Board may take such other fees
and costs into consideration when determining whether to offer a
guarantee to the lender.

Sec. 1300.16 Application process.

(a) Applications are to be submitted by the borrower. Borrowers may
submit applications to the Board any time after October 12, 2001 through
June 28, 2002. All applications must be received by the Board no later
than 5 p.m. EDT, June 28, 2002, in the Board's offices. Borrowers should
submit an original application and four copies. Applications will not be
accepted via facsimile machine transmission or electronic mail. No
application will be accepted for review if it is not received by the
Board on or before June 28, 2002.
(b) Applications shall contain the following:
(1) A completed Form ``Application for Air Carrier Guaranteed Loan';
(2) All loan documents that will be signed by the lender and the
borrower, if the application is approved, including all terms and
conditions of, and security or additional security (if any), to assure
the borrower's performance under, the loan;
(3) A certification by the borrower that the borrower meets each of
the requirements of the program as set forth in the Act, the regulations
in this part, and any supplemental requirements issued by the Board;
(4) A certification by the lender that the lender meets each of the
requirements of the program as set forth in the Act, the regulations in
this part, and any supplemental requirements issued by the Board, and
that the lender will provide the loan under the terms outlined in the
loan documents if the Board approves the requested guarantee;
(5) A statement that the borrower is not under bankruptcy protection
or receivership when the application is submitted, unless the guarantee
and the underlying financial obligation is to be part of a bankruptcy
court-certified reorganization plan;
(6) Consolidated financial statements of the borrower for the
previous five years that have been audited by an independent certified
public accountant, including any associated notes, as well as any
interim financial statements and associated notes for the current fiscal
year;
(7) Copies of the financial evaluations and forecasts concerning the
air carrier's air service operations that were prepared by or for the
air carrier within the three months prior to September 11, 2001;
(8) The borrower's business plan on which the loan is based that
includes the following:
(i) A description of how the loan fits within the borrower's
business plan, the purposes for which the borrower will use the loan,
and an analysis showing that the loan is prudently incurred. If loan
funds are to be used to purchase

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an existing firm (or the substantial assets of an existing firm), the
business plan of the combined entity shall contain a discussion of the
way in which any required regulatory or judicial approvals will be
obtained, including antitrust approval for any proposed acquisition;
(ii) A discussion of a complete cost accounting and a range of
revenue, operating cost, and credit assumptions;
(iii) A discussion of the financing plan on which the loan is based,
showing that the operational needs of the borrower will be met during
the term of the plan;
(iv) An analysis demonstrating that, at the time of the application,
there is a reasonable assurance that the borrower will be able to repay
the loan according to its terms, and a complete description of the
operational and financial assumptions on which this demonstration is
based;
(v) A discussion of the borrower's five-year history and five-year
projection for revenue, cash flow, average realized prices, and average
realized operating costs and a demonstration that the borrower will be
able to continue operations if the requested guarantee is approved; and
(vi) If appropriate, a description of a plan to restructure the
borrower's obligations, contracts, and costs. In preparing this
description, the borrower shall jointly develop, with its existing
secured and unsecured creditors, employees, or vendors, an agreed-upon
plan to restructure the borrower's obligations, contracts and costs and
incorporate this into the business plan submitted;
(9) A description of the losses that the borrower incurred (or is
incurring) as a result of the terrorist attacks on the United States
that occurred on September 11, 2001, including losses due to the
unavailability of credit on reasonable terms or a decrease in demand for
the air carrier's services;
(10) An analysis that demonstrates that the issuance of the
guaranteed loan is a necessary part of maintaining a safe, efficient,
and viable commercial aviation system in the United States and that
credit is not reasonably available at the time of the transaction;
(11) A description of all security (if any) for the loan, including,
as applicable, current appraisals of real and personal property, copies
of any appropriate environmental site assessments, and current personal
and corporate financial statements of any guarantors for the same period
as required for the borrower. Appraisals of real property shall be
prepared by State licensed or certified appraisers, and be consistent
with the ``Uniform Standards of Professional Appraisal Practice,''
promulgated by the Appraisal Standards Board of the Appraisal
Foundation. Financial statements of guarantors shall be prepared by
independent certified public accountants;
(12) If appropriate, a description of the Federal government's
ability to participate, contingent on the financial success of the
borrower, in the gains of the borrower or its security holders through
the use of such instruments as warrants, stock options, common or
preferred stock, or other appropriate equity instruments; and
(13) Any other information requested by the Board.
(c) The collections of information in this section and elsewhere in
this part that are subject to the Paperwork Reduction Act (44 U.S.C.
3501 et seq.) have been approved by OMB and assigned control number
0348-0059. Under the Paperwork Reduction Act, an agency may not conduct
or sponsor, and a person is not required to respond to, a collection of
information unless it displays a currently valid OMB control number.

Sec. 1300.17 Application evaluation.

(a) Eligibility screening. Applications will be reviewed to
determine whether the lender and borrower are eligible, the information
required under Sec. 1300.16(b) is complete, and the proposed loan
complies with applicable statutes and regulations. The Board may at any
time reject an application that does not meet these requirements.
(b) Evaluation criteria. Applications that are determined to be
eligible pursuant to paragraph (a) of this section shall be subject to a
substantive review by the Board. In addition to the general standards
for Board issuance of Federal credit instruments set forth in

[[Page 344]]

Sec. 1300.10, the Board shall consider the following evaluation factors:
(1) Reasonable assurance that the borrower will be able to repay the
loan by the date specified in the loan document, which shall be no later
than seven years from the date on which the first disbursement of the
loan is made;
(2) The adequacy of the proposed provisions to protect the Federal
Government, including sufficiency of any security provided by the
borrower and the percentage of guarantee requested;
(3) The ability of the lender to administer the loan in full
compliance with the requisite standard of care. In making this
determination, the Board will assess:
(i) The lender's level of regulatory capital, in the case of banking
institutions, or net worth, in the case of other institutions;
(ii) Whether the lender possesses the ability to administer the
loan, including its experience with loans to air carriers; and
(iii) Any other matter the Board deems material to its assessment of
the lender; and
(4) The ability of the borrower to demonstrate, to the Board's
satisfaction, one or more of the following criteria. The Board shall
give preference to applications that satisfy one or more of these
criteria, giving greater preference to those applications that meet the
greatest number of these criteria, as follows:
(i) A demonstration that the air carrier has presented a plan
demonstrating that its business plan is financially sound;
(ii) A demonstration of greater participation in the loan by non-
Federal entities;
(iii) A demonstration of greater participation in the loan by
private entities, as opposed to public non-Federal entities;
(iv) A demonstration that the proposed instruments would ensure that
the Federal Government will, contingent on the financial success of the
air carrier, participate in the gains of the air carrier and its
security holders;
(v) A demonstration of concessions by the air carrier's security
holders, other creditors, or employees that will improve the financial
condition of the air carrier in a manner that will enable it to repay
the loan in accordance with its terms and provide commercial air
services on a financially sound basis after repayment;
(vi) A demonstration that guaranteed loan proceeds will be used for
a purpose other than the payment or refinancing of existing debt;
(vii) A demonstration that the proposed instruments contain
financial structures that minimize the Federal government's risk and
cost associated with making loan guarantees. Examples include, but are
not limited to, requests for guarantees that contain the following:
(A) A maturity period that is less than the maximum permitted under
the rules in this part;
(B) Pledges of collateral;
(C) Agreements by the borrower's parent or other entities to
reimburse the Federal government for any payments that the Federal
government may make under the guarantee;
(D) A grant to the Federal government of favorable priority in the
event of bankruptcy reflecting other creditors' agreement to subordinate
their debts as a condition of the loan guarantee;
(E) Limitation of the borrower's issuance of dividends and/or the
borrower's payments to its parent or subsidiaries or related companies;
(F) Limitation of the borrower's ability to incur additional debt,
and/or the borrower's ability to incur capital expenditures, beyond that
set forth in the business and financial plans that the Borrower
submitted with the application;
(G) A demonstration of reasonable liquidity;
(H) A demonstration of favorable debt ratios; and
(I) A demonstration that any proceeds raised from private sector
financing subsequent to disbursement of the federally guaranteed loan be
used to repay the federally guaranteed loan.
(c) No guarantee will be made if either the borrower or lender has
an outstanding delinquent Federal debt, including tax liabilities,
until:
(1) The delinquent debt has been paid in full;

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(2) A negotiated repayment schedule is established; or
(3) Other arrangements, satisfactory to the agency responsible for
collecting the debt are made.
(d) Decisions by the Board. The Board shall approve or deny
applications received on or before June 28, 2002, in a timely manner as
such applications are received. The Board may limit the amount of a loan
guarantee made to initial applicants to ensure that sufficient funds
remain available for subsequent applicants. The Board shall notify the
borrower in writing of the approval or denial of an application.
Approvals for loan guarantees shall be conditioned upon compliance with
Sec. 1300.18.

Sec. 1300.18 Issuance of the guarantee.

(a) The Board's decisions to approve any application for a guarantee
under Sec. 1300.17 is conditioned upon:
(1) The lender and borrower obtaining any required regulatory or
judicial approvals;
(2) Evidence showing, to the Board's satisfaction, that the lender
and borrower are legally authorized to enter into the loan under the
terms and conditions submitted to the Board in the application;
(3) The Board's receipt of the loan documents and any related
instruments, in form and substance satisfactory to the Board, and the
guarantee, all properly executed by the lender, borrower, and any other
required party other than the Board; and
(4) No material adverse change in the borrower's ability to repay
the loan or any of the representations and warranties made in the
application between the date of the Board's approval and the date the
guarantee is to be issued.
(b) The Board may withdraw its approval of an application and
rescind its offer of guarantee if the Board determines that the lender
or the borrower cannot, or is unwilling to, provide adequate
documentation and proof of compliance with paragraph (a) of this section
within the time provided for in the offer.
(c) Only after receipt of all the documentation required by this
section, will the Board sign and deliver the guarantee.
(d) A borrower receiving a loan guaranteed by the Board under this
program shall pay an annual fee, in an amount and payable as determined
by the Board. At the time that the guarantee is issued, the Board shall
ensure that this annual fee will escalate for each year that the loan is
outstanding and that such annual escalation reflects the borrower's
potential ability to obtain credit in the private credit markets, in
addition to any other factors the Board may deem appropriate.

Sec. 1300.19 Assignment or transfer of loans.

Neither the loan documents nor the guarantee of the Board, or any
interest therein, may be modified, assigned, conveyed, sold or otherwise
transferred by the lender, in whole or in part, without the prior
written approval of the Board.

Sec. 1300.20 Lender responsibilities.

The lender shall have such obligations and duties to the Board as
are set forth in the guarantee.

Sec. 1300.21 Guarantee.

The Board shall adopt a form of guarantee to be used by the Board
under the program. Modifications to the provisions of the form of
guarantee must be approved and adopted by the Board.

Sec. 1300.22 Termination of obligations.

The Board shall have such rights to terminate the guarantee as are
set forth in the guarantee.

Sec. 1300.23 Participation in guaranteed loans.

(a) Subject to paragraph (b) of this section, a lender may
distribute the risk of a portion of a loan guaranteed under the program
by sale of participations therein if:
(1) Neither the loan note nor the guarantee is assigned, conveyed,
sold, or transferred in whole or in part;
(2) The lender remains solely responsible for the administration of
the loan; and
(3) The Board's ability to assert any and all defenses available to
it under the guarantee and the law is not adversely affected.

[[Page 346]]

(b) The following categories of entities may purchase participations
in loans guaranteed under the program:
(1) Eligible lenders;
(2) Private investment funds and insurance companies that do not
usually invest in commercial loans;
(3) Air Carrier company suppliers or customers, who are interested
in participating as a means of commencing or solidifying the supplier or
customer relationship with the borrower; or
(4) Any other entity approved by the Board on a case-by-case basis.

[[Page 347]]

SUBCHAPTER B_AIR TRANSPORTATION STABILIZATION BOARD

PART 1310_AIR CARRIER GUARANTEE LOAN PROGRAM ADMINISTRATIVE REGULATIONS
AND AMENDMENT OR WAIVER OF A TERM OR CONDITION OF GUARANTEED LOAN
--Table of Contents

Sec.
1310.1 Purpose and scope.
1310.2 Composition of the Board.
1310.3 Authority of the Board.
1310.4 Offices.
1310.5 Meetings and actions of the Board.
1310.6 Staff.
1310.7 Communications with the Board.
1310.8 Freedom of Information Act.
1310.9 Restrictions on lobbying.
1310.10 Government-wide debarment and suspension.
1310.11 Regulations of the Office of Management and Budget.
1310.15 Amendment or Waiver of a term or condition of a guaranteed
loan.
1310.20 Amendments.

Authority: Title I of Pub. L. 107-42, 115 Stat. 230 (49 U.S.C. 40101
note).

Source: 67 FR 17259, Apr. 9, 2002, unless otherwise noted.

Sec. 1310.1 Purpose and scope.

This part is issued by the Air Transportation Stabilization Board
pursuant to Section 102(c)(2)(B) of the Air Transportation Safety and
System Stabilization Act, Public Law 107-42, 115 Stat. 230 (Act). This
part describes the Board's authorities, organizational structure, the
rules by which the Board takes actions, and procedures for public access
to Board records.

Sec. 1310.2 Composition of the Board.

The Board consists of the Chairman of the Board of Governors of the
Federal Reserve System or the designee of the Chairman, who acts as
Chairman of the Board, the Secretary of the Treasury or the designee of
the Secretary, the Secretary of Transportation or the designee of the
Secretary, and the Comptroller General of the United States or the
designee of the Comptroller General, who serves as a nonvoting member.
The Comptroller General of the United States or the designee of the
Comptroller General, who serves as a nonvoting member, shall not be
involved in any of the Board's discussions or deliberations in
connection with individual loan guarantee applications.

Sec. 1310.3 Authority of the Board.

Pursuant to the provisions of the Act, the Board is authorized to
guarantee loans provided to airlines by eligible lenders in accordance
with the procedures, rules, and regulations established by the Board, to
make the determinations authorized by the Act, and to take such other
actions as necessary to carry out its functions specified in the Act.

Sec. 1310.4 Offices.

The principal offices of the Board are at 1120 Vermont Avenue, NW.,
Suite 970, Washington, DC 20005.

Sec. 1310.5 Meetings and actions of the Board.

(a) Place and frequency. The Board meets, on the call of the
Chairman, in order to consider matters requiring action by the Board.
The time and place for any such meeting shall be determined by the
members of the Board.
(b) Quorum and voting. Two voting members of the Board constitute a
quorum for the transaction of business. All decisions and determinations
of the Board shall be made by a majority vote of the voting members. All
votes on determinations of the Board required by the Act shall be
recorded in the minutes. A Board member may request that any vote be
recorded according to individual Board members.
(c) Agenda of meetings. As a general rule, an agenda for each
meeting shall be distributed to members of the Board at least 48 hours
in advance of the date of the meeting, together with copies of materials
relevant to the agenda items.
(d) Minutes. The Chief Administrative Officer shall keep minutes of
each Board meeting and of action taken without a meeting, a draft of
which is to be distributed to each member of the

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Board as soon as practicable after each meeting or action. To the extent
practicable, the minutes of a Board meeting shall be corrected and
approved at the next meeting of the Board.
(e) Use of conference call communications equipment. Any member may
participate in a meeting of the Board through the use of conference
call, telephone or similar communications equipment, by means of which
all persons participating in the meeting can simultaneously speak to and
hear each other. Any member so participating in a meeting shall be
deemed present for all purposes, except that the Comptroller General of
the United States or the designee of the Comptroller General, who serves
as a nonvoting member, shall not participate in any of the Board's
discussions or deliberations in connection with individual loan
guarantee applications. Actions taken by the Board at meetings conducted
through the use of such equipment, including the votes of each member,
shall be recorded in the usual manner in the minutes of the meetings of
the Board.
(f) Actions between meetings. When, in the judgment of the Chairman,
it is desirable for the Board to consider action without holding a
meeting, the relevant information and recommendations for action may be
transmitted to the members by the Chief Administrative Officer and the
voting members may communicate their votes to the Chairman in writing
(including an action signed in counterpart by each Board member),
electronically, or orally (including telephone communication). Any
action taken under this paragraph has the same effect as an action taken
at a meeting. Any such action shall be recorded in the minutes. If a
voting member believes the matter should be considered at a meeting, the
member may so notify the Chief Administrative Officer and the matter
will be scheduled for consideration at a meeting.
(g) Delegations of authority. The Board may delegate authority,
subject to such terms and conditions as the Board deems appropriate, to
the Executive Director, the Legal Counsel, or the Chief Administrative
Officer, to take certain actions not required by the Act to be taken by
the Board. All delegations shall be made pursuant to resolutions of the
Board and recorded in writing, whether in the minutes of a meeting or
otherwise. Any action taken pursuant to delegated authority has the
effect of an action taken by the Board.

Sec. 1310.6 Staff.

(a) Executive Director. The Executive Director advises and assists
the Board in carrying out its responsibilities under the Act, provides
general direction with respect to the administration of the Board's
actions, directs the activities of the staff, and performs such other
duties as the Board may require.
(b) Legal Counsel. The Legal Counsel provides legal advice relating
to the responsibilities of the Board and performs such other duties as
the Executive Director may require.
(c) Chief Administrative Officer. The Chief Administrative Officer
sends notice of all meetings, prepares minutes of all meetings,
maintains a complete record of all votes and actions taken by the Board,
has custody of all records of the Board and performs such other duties
as the Executive Director may require.

Sec. 1310.7 Communications with the Board.

Communications with the Board shall be conducted through the staff
of the Board.

Sec. 1310.8 Freedom of Information Act.

While the Board is not part of the Department of the Treasury, the
Board follows the regulations promulgated by the Department of the
Treasury at subpart A (``Freedom of Information Act'') of part 1
(``Disclosure of Records'') of title 31 (``Money and Finance:
Treasury'') of the Code of Federal Regulations (CFR). The procedures of
31 CFR 1.1 through 1.7 shall be followed for requesting access to
records maintained by the Board, and processing such requests. Any
reference in 31 CFR 1.1 through 1.7 to the ``Department of the
Treasury,'' the ``Department'' or to a ``bureau,'' shall be construed to
refer to the Board. In the event that the regulations at subpart A of
part 1 of title 31 of the CFR subsequently are amended

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by the Department of the Treasury, the Board will follow those amended
regulations. The following additional information is provided to
implement 31 CFR 1.1 through 1.7 with respect to the Board.
(a) Public reading room. The public reading room for the Board is
the Treasury Department Library. The Library is located in the Main
Treasury Building, 1500 Pennsylvania Avenue, NW., Washington, DC 20220.
For building security purposes, visitors are required to make an
appointment by calling 202-622-0990.
(b) Requests for records. Initial determinations under 31 CFR 1.5(h)
as to whether to grant requests for records of the Board will be made by
the Chief Administrative Officer or the designate of such official.
Requests for records should be addressed to: Freedom of Information
Request, Air Transportation Stabilization Board, Assistant Director,
Disclosure Services, Department of the Treasury, 1500 Pennsylvania
Avenue, NW., Washington, DC 20220.
(c) Administrative appeal of initial determination to deny records.
(1) Appellate determinations under 31 CFR 1.5(i) with respect to records
of the Board will be made by the Executive Director, or the delegate of
such official.
(2) Appellate determinations with respect to requests for expedited
processing shall be made by the Executive Director or the delegate of
such official.
(3) Appeals should be addressed to: Freedom of Information Appeal,
Air Transportation Stabilization Board, Assistant Director, Disclosure
Services, Department of the Treasury, 1500 Pennsylvania Avenue, NW.,
Washington, DC 20220.
(d) Delivery of process. Service of process will be received by the
Legal Counsel of the Board or the delegate of such official and shall be
delivered to the following location: Legal Counsel, Air Transportation
Stabilization Board, 1120 Vermont Avenue, NW., Suite 970, Washington, DC
20005.

Sec. 1310.9 Restrictions on lobbying.

(a) While the Board is not part of the Department of the Treasury,
the regulations promulgated by the Department of the Treasury at part 21
(``New Restrictions on Lobbying'') of title 31 (``Money and Finance:
Treasury'') of the Code of Federal Regulations (CFR), including the
appendices thereto, are applicable in connection with any of the
following covered Federal actions: the awarding of any Federal contract,
the making of any Federal grant, the making of any Federal loan, the
entering into of any cooperative agreement, and the extension,
continuation, renewal, amendment, or modification of any Federal
contract, grant, loan, or cooperative agreement. The regulations
promulgated by the Department of the Treasury at 31 CFR part 21 also are
applicable to a request for, or receipt of, any Federal contract, grant,
loan or cooperative agreement; and to a request for, or receipt of, a
commitment providing for the United States to insure or guarantee a
loan. These terms are defined in 31 CFR 21.105.
(b) In the event that the regulations at part 21 of title 31 of the
CFR subsequently are amended by the Department of the Treasury, the
Board will follow those amended regulations.

Sec. 1310.10 Governmentwide debarment and suspension.

While the Board is not part of the Department of the Treasury, the
regulations promulgated by the Department of the Treasury at subpart A
(``General''), subpart B (``Effect of Action''), subpart C
(``Debarment''), subpart D (``Suspension''), and subpart E
(``Responsibilities of GSA, Agency and Participants'') of part 19
(``Governmentwide Debarment and Suspension (Nonprocurement) and
Governmentwide Requirements For Drug-Free Workplace (Grants)'') of title
31 (``Money and Finance: Treasury'') of the Code of Federal Regulations
(CFR) are applicable to the Board. Any reference in 31 CFR part 19 to
the ``Department of the Treasury'' or the ``Department'' shall be
construed to refer to the Board. In the event that the regulations at
subpart A, B, C, D or E of part 19 of title 31 of the CFR subsequently
are amended by the Department of the Treasury, the Board will follow
those amended regulations.

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Sec. 1310.11 Regulations of the Office of Management and Budget.

(a) The regulations in this part supplement the regulations of the
Office of Management and Budget in part 1300 of this chapter in
accordance with section 102(c)(2)(B) of the Act.
(b) This part and part 1300 of this chapter jointly govern the
application procedures and the requirements for issuance of Federal
credit instruments under section 101(a)(1) of the Act.

Sec. 1310.15 Amendment or Waiver of a term or condition of a guaranteed loan.

The Board may, in its discretion, charge the borrower a fee, in an
amount and payable as determined by the Board, for each amendment to, or
waiver of, any term or condition of any guaranteed loan document or
related instrument approved by the Board.

[70 FR 10037, Mar. 2, 2005]

Sec. 1310.20 Amendments.

The procedures in this part may be adopted or amended, or new
procedures may be adopted, only by majority vote of the Board. Authority
to adopt or amend these procedures may not be delegated.

PARTS 1311 1399 [RESERVED]

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FINDING AIDS

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

A list of CFR titles, subtitles, chapters, subchapters and parts and
an alphabetical list of agencies publishing in the CFR are included in
the CFR Index and Finding Aids volume to the Code of Federal Regulations
which is published separately and revised annually.

Table of CFR Titles and Chapters
Alphabetical List of Agencies Appearing in the CFR
List of CFR Sections Affected

[[Page 353]]

Table of CFR Titles and Chapters

(Revised as of January 1, 2017)

Title 1--General Provisions

I Administrative Committee of the Federal Register
(Parts 1--49)
II Office of the Federal Register (Parts 50--299)
III Administrative Conference of the United States (Parts
300--399)
IV Miscellaneous Agencies (Parts 400--500)

Title 2--Grants and Agreements

Subtitle A--Office of Management and Budget Guidance
for Grants and Agreements
I Office of Management and Budget Governmentwide
Guidance for Grants and Agreements (Parts 2--199)
II Office of Management and Budget Guidance (Parts 200--
299)
Subtitle B--Federal Agency Regulations for Grants and
Agreements
III Department of Health and Human Services (Parts 300--
399)
IV Department of Agriculture (Parts 400--499)
VI Department of State (Parts 600--699)
VII Agency for International Development (Parts 700--799)
VIII Department of Veterans Affairs (Parts 800--899)
IX Department of Energy (Parts 900--999)
X Department of the Treasury (Parts 1000--1099)
XI Department of Defense (Parts 1100--1199)
XII Department of Transportation (Parts 1200--1299)
XIII Department of Commerce (Parts 1300--1399)
XIV Department of the Interior (Parts 1400--1499)
XV Environmental Protection Agency (Parts 1500--1599)
XVIII National Aeronautics and Space Administration (Parts
1800--1899)
XX United States Nuclear Regulatory Commission (Parts
2000--2099)
XXII Corporation for National and Community Service (Parts
2200--2299)
XXIII Social Security Administration (Parts 2300--2399)
XXIV Housing and Urban Development (Parts 2400--2499)
XXV National Science Foundation (Parts 2500--2599)
XXVI National Archives and Records Administration (Parts
2600--2699)
XXVII Small Business Administration (Parts 2700--2799)

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XXVIII Department of Justice (Parts 2800--2899)
XXIX Department of Labor (Parts 2900--2999)
XXX Department of Homeland Security (Parts 3000--3099)
XXXI Institute of Museum and Library Services (Parts 3100--
3199)
XXXII National Endowment for the Arts (Parts 3200--3299)
XXXIII National Endowment for the Humanities (Parts 3300--
3399)
XXXIV Department of Education (Parts 3400--3499)
XXXV Export-Import Bank of the United States (Parts 3500--
3599)
XXXVI Office of National Drug Control Policy, Executive
Office of the President (Parts 3600--3699)
XXXVII Peace Corps (Parts 3700--3799)
LVIII Election Assistance Commission (Parts 5800--5899)
LIX Gulf Coast Ecosystem Restoration Council (Parts 5900--
5999)

Title 3--The President

I Executive Office of the President (Parts 100--199)

Title 4--Accounts

I Government Accountability Office (Parts 1--199)

Title 5--Administrative Personnel

I Office of Personnel Management (Parts 1--1199)
II Merit Systems Protection Board (Parts 1200--1299)
III Office of Management and Budget (Parts 1300--1399)
IV Office of Personnel Management and Office of the
Director of National Intelligence (Parts 1400--
1499)
V The International Organizations Employees Loyalty
Board (Parts 1500--1599)
VI Federal Retirement Thrift Investment Board (Parts
1600--1699)
VIII Office of Special Counsel (Parts 1800--1899)
IX Appalachian Regional Commission (Parts 1900--1999)
XI Armed Forces Retirement Home (Parts 2100--2199)
XIV Federal Labor Relations Authority, General Counsel of
the Federal Labor Relations Authority and Federal
Service Impasses Panel (Parts 2400--2499)
XVI Office of Government Ethics (Parts 2600--2699)
XXI Department of the Treasury (Parts 3100--3199)
XXII Federal Deposit Insurance Corporation (Parts 3200--
3299)
XXIII Department of Energy (Parts 3300--3399)
XXIV Federal Energy Regulatory Commission (Parts 3400--
3499)
XXV Department of the Interior (Parts 3500--3599)
XXVI Department of Defense (Parts 3600--3699)
XXVIII Department of Justice (Parts 3800--3899)

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XXIX Federal Communications Commission (Parts 3900--3999)
XXX Farm Credit System Insurance Corporation (Parts 4000--
4099)
XXXI Farm Credit Administration (Parts 4100--4199)
XXXIII Overseas Private Investment Corporation (Parts 4300--
4399)
XXXIV Securities and Exchange Commission (Parts 4400--4499)
XXXV Office of Personnel Management (Parts 4500--4599)
XXXVI Department of Homeland Security (Parts 4600--4699)
XXXVII Federal Election Commission (Parts 4700--4799)
XL Interstate Commerce Commission (Parts 5000--5099)
XLI Commodity Futures Trading Commission (Parts 5100--
5199)
XLII Department of Labor (Parts 5200--5299)
XLIII National Science Foundation (Parts 5300--5399)
XLV Department of Health and Human Services (Parts 5500--
5599)
XLVI Postal Rate Commission (Parts 5600--5699)
XLVII Federal Trade Commission (Parts 5700--5799)
XLVIII Nuclear Regulatory Commission (Parts 5800--5899)
XLIX Federal Labor Relations Authority (Parts 5900--5999)
L Department of Transportation (Parts 6000--6099)
LII Export-Import Bank of the United States (Parts 6200--
6299)
LIII Department of Education (Parts 6300--6399)
LIV Environmental Protection Agency (Parts 6400--6499)
LV National Endowment for the Arts (Parts 6500--6599)
LVI National Endowment for the Humanities (Parts 6600--
6699)
LVII General Services Administration (Parts 6700--6799)
LVIII Board of Governors of the Federal Reserve System
(Parts 6800--6899)
LIX National Aeronautics and Space Administration (Parts
6900--6999)
LX United States Postal Service (Parts 7000--7099)
LXI National Labor Relations Board (Parts 7100--7199)
LXII Equal Employment Opportunity Commission (Parts 7200--
7299)
LXIII Inter-American Foundation (Parts 7300--7399)
LXIV Merit Systems Protection Board (Parts 7400--7499)
LXV Department of Housing and Urban Development (Parts
7500--7599)
LXVI National Archives and Records Administration (Parts
7600--7699)
LXVII Institute of Museum and Library Services (Parts 7700--
7799)
LXVIII Commission on Civil Rights (Parts 7800--7899)
LXIX Tennessee Valley Authority (Parts 7900--7999)
LXX Court Services and Offender Supervision Agency for the
District of Columbia (Parts 8000--8099)
LXXI Consumer Product Safety Commission (Parts 8100--8199)
LXXIII Department of Agriculture (Parts 8300--8399)
LXXIV Federal Mine Safety and Health Review Commission
(Parts 8400--8499)

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LXXVI Federal Retirement Thrift Investment Board (Parts
8600--8699)
LXXVII Office of Management and Budget (Parts 8700--8799)
LXXX Federal Housing Finance Agency (Parts 9000--9099)
LXXXIII Special Inspector General for Afghanistan
Reconstruction (Parts 9300--9399)
LXXXIV Bureau of Consumer Financial Protection (Parts 9400--
9499)
LXXXVI National Credit Union Administration (Parts 9600--
9699)
XCVII Department of Homeland Security Human Resources
Management System (Department of Homeland
Security--Office of Personnel Management) (Parts
9700--9799)
XCVIII Council of the Inspectors General on Integrity and
Efficiency (Parts 9800--9899)
XCIX Military Compensation and Retirement Modernization
Commission (Parts 9900--9999)
C National Council on Disability (Partys 10000--10049)

Title 6--Domestic Security

I Department of Homeland Security, Office of the
Secretary (Parts 1--199)
X Privacy and Civil Liberties Oversight Board (Parts
1000--1099)

Title 7--Agriculture

Subtitle A--Office of the Secretary of Agriculture
(Parts 0--26)
Subtitle B--Regulations of the Department of
Agriculture
I Agricultural Marketing Service (Standards,
Inspections, Marketing Practices), Department of
Agriculture (Parts 27--209)
II Food and Nutrition Service, Department of Agriculture
(Parts 210--299)
III Animal and Plant Health Inspection Service, Department
of Agriculture (Parts 300--399)
IV Federal Crop Insurance Corporation, Department of
Agriculture (Parts 400--499)
V Agricultural Research Service, Department of
Agriculture (Parts 500--599)
VI Natural Resources Conservation Service, Department of
Agriculture (Parts 600--699)
VII Farm Service Agency, Department of Agriculture (Parts
700--799)
VIII Grain Inspection, Packers and Stockyards
Administration (Federal Grain Inspection Service),
Department of Agriculture (Parts 800--899)
IX Agricultural Marketing Service (Marketing Agreements
and Orders; Fruits, Vegetables, Nuts), Department
of Agriculture (Parts 900--999)
X Agricultural Marketing Service (Marketing Agreements
and Orders; Milk), Department of Agriculture
(Parts 1000--1199)

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XI Agricultural Marketing Service (Marketing Agreements
and Orders; Miscellaneous Commodities), Department
of Agriculture (Parts 1200--1299)
XIV Commodity Credit Corporation, Department of
Agriculture (Parts 1400--1499)
XV Foreign Agricultural Service, Department of
Agriculture (Parts 1500--1599)
XVI Rural Telephone Bank, Department of Agriculture (Parts
1600--1699)
XVII Rural Utilities Service, Department of Agriculture
(Parts 1700--1799)
XVIII Rural Housing Service, Rural Business-Cooperative
Service, Rural Utilities Service, and Farm Service
Agency, Department of Agriculture (Parts 1800--
2099)
XX Local Television Loan Guarantee Board (Parts 2200--
2299)
XXV Office of Advocacy and Outreach, Department of
Agriculture (Parts 2500--2599)
XXVI Office of Inspector General, Department of Agriculture
(Parts 2600--2699)
XXVII Office of Information Resources Management, Department
of Agriculture (Parts 2700--2799)
XXVIII Office of Operations, Department of Agriculture (Parts
2800--2899)
XXIX Office of Energy Policy and New Uses, Department of
Agriculture (Parts 2900--2999)
XXX Office of the Chief Financial Officer, Department of
Agriculture (Parts 3000--3099)
XXXI Office of Environmental Quality, Department of
Agriculture (Parts 3100--3199)
XXXII Office of Procurement and Property Management,
Department of Agriculture (Parts 3200--3299)
XXXIII Office of Transportation, Department of Agriculture
(Parts 3300--3399)
XXXIV National Institute of Food and Agriculture (Parts
3400--3499)
XXXV Rural Housing Service, Department of Agriculture
(Parts 3500--3599)
XXXVI National Agricultural Statistics Service, Department
of Agriculture (Parts 3600--3699)
XXXVII Economic Research Service, Department of Agriculture
(Parts 3700--3799)
XXXVIII World Agricultural Outlook Board, Department of
Agriculture (Parts 3800--3899)
XLI [Reserved]
XLII Rural Business-Cooperative Service and Rural Utilities
Service, Department of Agriculture (Parts 4200--
4299)

Title 8--Aliens and Nationality

I Department of Homeland Security (Immigration and
Naturalization) (Parts 1--499)

[[Page 358]]

V Executive Office for Immigration Review, Department of
Justice (Parts 1000--1399)

Title 9--Animals and Animal Products

I Animal and Plant Health Inspection Service, Department
of Agriculture (Parts 1--199)
II Grain Inspection, Packers and Stockyards
Administration (Packers and Stockyards Programs),
Department of Agriculture (Parts 200--299)
III Food Safety and Inspection Service, Department of
Agriculture (Parts 300--599)

Title 10--Energy

I Nuclear Regulatory Commission (Parts 0--199)
II Department of Energy (Parts 200--699)
III Department of Energy (Parts 700--999)
X Department of Energy (General Provisions) (Parts
1000--1099)
XIII Nuclear Waste Technical Review Board (Parts 1300--
1399)
XVII Defense Nuclear Facilities Safety Board (Parts 1700--
1799)
XVIII Northeast Interstate Low-Level Radioactive Waste
Commission (Parts 1800--1899)

Title 11--Federal Elections

I Federal Election Commission (Parts 1--9099)
II Election Assistance Commission (Parts 9400--9499)

Title 12--Banks and Banking

I Comptroller of the Currency, Department of the
Treasury (Parts 1--199)
II Federal Reserve System (Parts 200--299)
III Federal Deposit Insurance Corporation (Parts 300--399)
IV Export-Import Bank of the United States (Parts 400--
499)
V Office of Thrift Supervision, Department of the
Treasury (Parts 500--599)
VI Farm Credit Administration (Parts 600--699)
VII National Credit Union Administration (Parts 700--799)
VIII Federal Financing Bank (Parts 800--899)
IX Federal Housing Finance Board (Parts 900--999)
X Bureau of Consumer Financial Protection (Parts 1000--
1099)
XI Federal Financial Institutions Examination Council
(Parts 1100--1199)
XII Federal Housing Finance Agency (Parts 1200--1299)
XIII Financial Stability Oversight Council (Parts 1300--
1399)
XIV Farm Credit System Insurance Corporation (Parts 1400--
1499)

[[Page 359]]

XV Department of the Treasury (Parts 1500--1599)
XVI Office of Financial Research (Parts 1600--1699)
XVII Office of Federal Housing Enterprise Oversight,
Department of Housing and Urban Development (Parts
1700--1799)
XVIII Community Development Financial Institutions Fund,
Department of the Treasury (Parts 1800--1899)

Title 13--Business Credit and Assistance

I Small Business Administration (Parts 1--199)
III Economic Development Administration, Department of
Commerce (Parts 300--399)
IV Emergency Steel Guarantee Loan Board (Parts 400--499)
V Emergency Oil and Gas Guaranteed Loan Board (Parts
500--599)

Title 14--Aeronautics and Space

I Federal Aviation Administration, Department of
Transportation (Parts 1--199)
II Office of the Secretary, Department of Transportation
(Aviation Proceedings) (Parts 200--399)
III Commercial Space Transportation, Federal Aviation
Administration, Department of Transportation
(Parts 400--1199)
V National Aeronautics and Space Administration (Parts
1200--1299)
VI Air Transportation System Stabilization (Parts 1300--
1399)

Title 15--Commerce and Foreign Trade

Subtitle A--Office of the Secretary of Commerce (Parts
0--29)
Subtitle B--Regulations Relating to Commerce and
Foreign Trade
I Bureau of the Census, Department of Commerce (Parts
30--199)
II National Institute of Standards and Technology,
Department of Commerce (Parts 200--299)
III International Trade Administration, Department of
Commerce (Parts 300--399)
IV Foreign-Trade Zones Board, Department of Commerce
(Parts 400--499)
VII Bureau of Industry and Security, Department of
Commerce (Parts 700--799)
VIII Bureau of Economic Analysis, Department of Commerce
(Parts 800--899)
IX National Oceanic and Atmospheric Administration,
Department of Commerce (Parts 900--999)
XI Technology Administration, Department of Commerce
(Parts 1100--1199)
XIII East-West Foreign Trade Board (Parts 1300--1399)

[[Page 360]]

XIV Minority Business Development Agency (Parts 1400--
1499)
Subtitle C--Regulations Relating to Foreign Trade
Agreements
XX Office of the United States Trade Representative
(Parts 2000--2099)
Subtitle D--Regulations Relating to Telecommunications
and Information
XXIII National Telecommunications and Information
Administration, Department of Commerce (Parts
2300--2399)

Title 16--Commercial Practices

I Federal Trade Commission (Parts 0--999)
II Consumer Product Safety Commission (Parts 1000--1799)

Title 17--Commodity and Securities Exchanges

I Commodity Futures Trading Commission (Parts 1--199)
II Securities and Exchange Commission (Parts 200--399)
IV Department of the Treasury (Parts 400--499)

Title 18--Conservation of Power and Water Resources

I Federal Energy Regulatory Commission, Department of
Energy (Parts 1--399)
III Delaware River Basin Commission (Parts 400--499)
VI Water Resources Council (Parts 700--799)
VIII Susquehanna River Basin Commission (Parts 800--899)
XIII Tennessee Valley Authority (Parts 1300--1399)

Title 19--Customs Duties

I U.S. Customs and Border Protection, Department of
Homeland Security; Department of the Treasury
(Parts 0--199)
II United States International Trade Commission (Parts
200--299)
III International Trade Administration, Department of
Commerce (Parts 300--399)
IV U.S. Immigration and Customs Enforcement, Department
of Homeland Security (Parts 400--599)

Title 20--Employees' Benefits

I Office of Workers' Compensation Programs, Department
of Labor (Parts 1--199)
II Railroad Retirement Board (Parts 200--399)
III Social Security Administration (Parts 400--499)
IV Employees' Compensation Appeals Board, Department of
Labor (Parts 500--599)

[[Page 361]]

V Employment and Training Administration, Department of
Labor (Parts 600--699)
VI Office of Workers' Compensation Programs, Department
of Labor (Parts 700--799)
VII Benefits Review Board, Department of Labor (Parts
800--899)
VIII Joint Board for the Enrollment of Actuaries (Parts
900--999)
IX Office of the Assistant Secretary for Veterans'
Employment and Training Service, Department of
Labor (Parts 1000--1099)

Title 21--Food and Drugs

I Food and Drug Administration, Department of Health and
Human Services (Parts 1--1299)
II Drug Enforcement Administration, Department of Justice
(Parts 1300--1399)
III Office of National Drug Control Policy (Parts 1400--
1499)

Title 22--Foreign Relations

I Department of State (Parts 1--199)
II Agency for International Development (Parts 200--299)
III Peace Corps (Parts 300--399)
IV International Joint Commission, United States and
Canada (Parts 400--499)
V Broadcasting Board of Governors (Parts 500--599)
VII Overseas Private Investment Corporation (Parts 700--
799)
IX Foreign Service Grievance Board (Parts 900--999)
X Inter-American Foundation (Parts 1000--1099)
XI International Boundary and Water Commission, United
States and Mexico, United States Section (Parts
1100--1199)
XII United States International Development Cooperation
Agency (Parts 1200--1299)
XIII Millennium Challenge Corporation (Parts 1300--1399)
XIV Foreign Service Labor Relations Board; Federal Labor
Relations Authority; General Counsel of the
Federal Labor Relations Authority; and the Foreign
Service Impasse Disputes Panel (Parts 1400--1499)
XV African Development Foundation (Parts 1500--1599)
XVI Japan-United States Friendship Commission (Parts
1600--1699)
XVII United States Institute of Peace (Parts 1700--1799)

Title 23--Highways

I Federal Highway Administration, Department of
Transportation (Parts 1--999)
II National Highway Traffic Safety Administration and
Federal Highway Administration, Department of
Transportation (Parts 1200--1299)

[[Page 362]]

III National Highway Traffic Safety Administration,
Department of Transportation (Parts 1300--1399)

Title 24--Housing and Urban Development

Subtitle A--Office of the Secretary, Department of
Housing and Urban Development (Parts 0--99)
Subtitle B--Regulations Relating to Housing and Urban
Development
I Office of Assistant Secretary for Equal Opportunity,
Department of Housing and Urban Development (Parts
100--199)
II Office of Assistant Secretary for Housing-Federal
Housing Commissioner, Department of Housing and
Urban Development (Parts 200--299)
III Government National Mortgage Association, Department
of Housing and Urban Development (Parts 300--399)
IV Office of Housing and Office of Multifamily Housing
Assistance Restructuring, Department of Housing
and Urban Development (Parts 400--499)
V Office of Assistant Secretary for Community Planning
and Development, Department of Housing and Urban
Development (Parts 500--599)
VI Office of Assistant Secretary for Community Planning
and Development, Department of Housing and Urban
Development (Parts 600--699) [Reserved]
VII Office of the Secretary, Department of Housing and
Urban Development (Housing Assistance Programs and
Public and Indian Housing Programs) (Parts 700--
799)
VIII Office of the Assistant Secretary for Housing--Federal
Housing Commissioner, Department of Housing and
Urban Development (Section 8 Housing Assistance
Programs, Section 202 Direct Loan Program, Section
202 Supportive Housing for the Elderly Program and
Section 811 Supportive Housing for Persons With
Disabilities Program) (Parts 800--899)
IX Office of Assistant Secretary for Public and Indian
Housing, Department of Housing and Urban
Development (Parts 900--1699)
X Office of Assistant Secretary for Housing--Federal
Housing Commissioner, Department of Housing and
Urban Development (Interstate Land Sales
Registration Program) (Parts 1700--1799)
XII Office of Inspector General, Department of Housing and
Urban Development (Parts 2000--2099)
XV Emergency Mortgage Insurance and Loan Programs,
Department of Housing and Urban Development (Parts
2700--2799) [Reserved]
XX Office of Assistant Secretary for Housing--Federal
Housing Commissioner, Department of Housing and
Urban Development (Parts 3200--3899)
XXIV Board of Directors of the HOPE for Homeowners Program
(Parts 4000--4099) [Reserved]
XXV Neighborhood Reinvestment Corporation (Parts 4100--
4199)

[[Page 363]]

Title 25--Indians

I Bureau of Indian Affairs, Department of the Interior
(Parts 1--299)
II Indian Arts and Crafts Board, Department of the
Interior (Parts 300--399)
III National Indian Gaming Commission, Department of the
Interior (Parts 500--599)
IV Office of Navajo and Hopi Indian Relocation (Parts
700--799)
V Bureau of Indian Affairs, Department of the Interior,
and Indian Health Service, Department of Health
and Human Services (Part 900)
VI Office of the Assistant Secretary-Indian Affairs,
Department of the Interior (Parts 1000--1199)
VII Office of the Special Trustee for American Indians,
Department of the Interior (Parts 1200--1299)

Title 26--Internal Revenue

I Internal Revenue Service, Department of the Treasury
(Parts 1--End)

Title 27--Alcohol, Tobacco Products and Firearms

I Alcohol and Tobacco Tax and Trade Bureau, Department
of the Treasury (Parts 1--399)
II Bureau of Alcohol, Tobacco, Firearms, and Explosives,
Department of Justice (Parts 400--699)

Title 28--Judicial Administration

I Department of Justice (Parts 0--299)
III Federal Prison Industries, Inc., Department of Justice
(Parts 300--399)
V Bureau of Prisons, Department of Justice (Parts 500--
599)
VI Offices of Independent Counsel, Department of Justice
(Parts 600--699)
VII Office of Independent Counsel (Parts 700--799)
VIII Court Services and Offender Supervision Agency for the
District of Columbia (Parts 800--899)
IX National Crime Prevention and Privacy Compact Council
(Parts 900--999)
XI Department of Justice and Department of State (Parts
1100--1199)

Title 29--Labor

Subtitle A--Office of the Secretary of Labor (Parts
0--99)
Subtitle B--Regulations Relating to Labor
I National Labor Relations Board (Parts 100--199)

[[Page 364]]

II Office of Labor-Management Standards, Department of
Labor (Parts 200--299)
III National Railroad Adjustment Board (Parts 300--399)
IV Office of Labor-Management Standards, Department of
Labor (Parts 400--499)
V Wage and Hour Division, Department of Labor (Parts
500--899)
IX Construction Industry Collective Bargaining Commission
(Parts 900--999)
X National Mediation Board (Parts 1200--1299)
XII Federal Mediation and Conciliation Service (Parts
1400--1499)
XIV Equal Employment Opportunity Commission (Parts 1600--
1699)
XVII Occupational Safety and Health Administration,
Department of Labor (Parts 1900--1999)
XX Occupational Safety and Health Review Commission
(Parts 2200--2499)
XXV Employee Benefits Security Administration, Department
of Labor (Parts 2500--2599)
XXVII Federal Mine Safety and Health Review Commission
(Parts 2700--2799)
XL Pension Benefit Guaranty Corporation (Parts 4000--
4999)

Title 30--Mineral Resources

I Mine Safety and Health Administration, Department of
Labor (Parts 1--199)
II Bureau of Safety and Environmental Enforcement,
Department of the Interior (Parts 200--299)
IV Geological Survey, Department of the Interior (Parts
400--499)
V Bureau of Ocean Energy Management, Department of the
Interior (Parts 500--599)
VII Office of Surface Mining Reclamation and Enforcement,
Department of the Interior (Parts 700--999)
XII Office of Natural Resources Revenue, Department of the
Interior (Parts 1200--1299)

Title 31--Money and Finance: Treasury

Subtitle A--Office of the Secretary of the Treasury
(Parts 0--50)
Subtitle B--Regulations Relating to Money and Finance
I Monetary Offices, Department of the Treasury (Parts
51--199)
II Fiscal Service, Department of the Treasury (Parts
200--399)
IV Secret Service, Department of the Treasury (Parts
400--499)
V Office of Foreign Assets Control, Department of the
Treasury (Parts 500--599)
VI Bureau of Engraving and Printing, Department of the
Treasury (Parts 600--699)
VII Federal Law Enforcement Training Center, Department of
the Treasury (Parts 700--799)

[[Page 365]]

VIII Office of International Investment, Department of the
Treasury (Parts 800--899)
IX Federal Claims Collection Standards (Department of the
Treasury--Department of Justice) (Parts 900--999)
X Financial Crimes Enforcement Network, Department of
the Treasury (Parts 1000--1099)

Title 32--National Defense

Subtitle A--Department of Defense
I Office of the Secretary of Defense (Parts 1--399)
V Department of the Army (Parts 400--699)
VI Department of the Navy (Parts 700--799)
VII Department of the Air Force (Parts 800--1099)
Subtitle B--Other Regulations Relating to National
Defense
XII Defense Logistics Agency (Parts 1200--1299)
XVI Selective Service System (Parts 1600--1699)
XVII Office of the Director of National Intelligence (Parts
1700--1799)
XVIII National Counterintelligence Center (Parts 1800--1899)
XIX Central Intelligence Agency (Parts 1900--1999)
XX Information Security Oversight Office, National
Archives and Records Administration (Parts 2000--
2099)
XXI National Security Council (Parts 2100--2199)
XXIV Office of Science and Technology Policy (Parts 2400--
2499)
XXVII Office for Micronesian Status Negotiations (Parts
2700--2799)
XXVIII Office of the Vice President of the United States
(Parts 2800--2899)

Title 33--Navigation and Navigable Waters

I Coast Guard, Department of Homeland Security (Parts
1--199)
II Corps of Engineers, Department of the Army (Parts
200--399)
IV Saint Lawrence Seaway Development Corporation,
Department of Transportation (Parts 400--499)

Title 34--Education

Subtitle A--Office of the Secretary, Department of
Education (Parts 1--99)
Subtitle B--Regulations of the Offices of the
Department of Education
I Office for Civil Rights, Department of Education
(Parts 100--199)
II Office of Elementary and Secondary Education,
Department of Education (Parts 200--299)
III Office of Special Education and Rehabilitative
Services, Department of Education (Parts 300--399)

[[Page 366]]

IV Office of Career, Technical and Adult Education,
Department of Education (Parts 400--499)
V Office of Bilingual Education and Minority Languages
Affairs, Department of Education (Parts 500--599)
[Reserved]
VI Office of Postsecondary Education, Department of
Education (Parts 600--699)
VII Office of Educational Research and Improvement,
Department of Education (Parts 700--799)
[Reserved]
Subtitle C--Regulations Relating to Education
XI [Reserved]
XII National Council on Disability (Parts 1200--1299)

Title 35 [Reserved]

Title 36--Parks, Forests, and Public Property

I National Park Service, Department of the Interior
(Parts 1--199)
II Forest Service, Department of Agriculture (Parts 200--
299)
III Corps of Engineers, Department of the Army (Parts
300--399)
IV American Battle Monuments Commission (Parts 400--499)
V Smithsonian Institution (Parts 500--599)
VI [Reserved]
VII Library of Congress (Parts 700--799)
VIII Advisory Council on Historic Preservation (Parts 800--
899)
IX Pennsylvania Avenue Development Corporation (Parts
900--999)
X Presidio Trust (Parts 1000--1099)
XI Architectural and Transportation Barriers Compliance
Board (Parts 1100--1199)
XII National Archives and Records Administration (Parts
1200--1299)
XV Oklahoma City National Memorial Trust (Parts 1500--
1599)
XVI Morris K. Udall Scholarship and Excellence in National
Environmental Policy Foundation (Parts 1600--1699)

Title 37--Patents, Trademarks, and Copyrights

I United States Patent and Trademark Office, Department
of Commerce (Parts 1--199)
II U.S. Copyright Office, Library of Congress (Parts
200--299)
III Copyright Royalty Board, Library of Congress (Parts
300--399)
IV Assistant Secretary for Technology Policy, Department
of Commerce (Parts 400--599)

Title 38--Pensions, Bonuses, and Veterans' Relief

I Department of Veterans Affairs (Parts 0--199)
II Armed Forces Retirement Home (Parts 200--299)

[[Page 367]]

Title 39--Postal Service

I United States Postal Service (Parts 1--999)
III Postal Regulatory Commission (Parts 3000--3099)

Title 40--Protection of Environment

I Environmental Protection Agency (Parts 1--1099)
IV Environmental Protection Agency and Department of
Justice (Parts 1400--1499)
V Council on Environmental Quality (Parts 1500--1599)
VI Chemical Safety and Hazard Investigation Board (Parts
1600--1699)
VII Environmental Protection Agency and Department of
Defense; Uniform National Discharge Standards for
Vessels of the Armed Forces (Parts 1700--1799)
VIII Gulf Coast Ecosystem Restoration Council (Parts 1800--
1899)

Title 41--Public Contracts and Property Management

Subtitle A--Federal Procurement Regulations System
[Note]
Subtitle B--Other Provisions Relating to Public
Contracts
50 Public Contracts, Department of Labor (Parts 50-1--50-
999)
51 Committee for Purchase From People Who Are Blind or
Severely Disabled (Parts 51-1--51-99)
60 Office of Federal Contract Compliance Programs, Equal
Employment Opportunity, Department of Labor (Parts
60-1--60-999)
61 Office of the Assistant Secretary for Veterans'
Employment and Training Service, Department of
Labor (Parts 61-1--61-999)
62--100 [Reserved]
Subtitle C--Federal Property Management Regulations
System
101 Federal Property Management Regulations (Parts 101-1--
101-99)
102 Federal Management Regulation (Parts 102-1--102-299)
103--104 [Reserved]
105 General Services Administration (Parts 105-1--105-999)
109 Department of Energy Property Management Regulations
(Parts 109-1--109-99)
114 Department of the Interior (Parts 114-1--114-99)
115 Environmental Protection Agency (Parts 115-1--115-99)
128 Department of Justice (Parts 128-1--128-99)
129--200 [Reserved]
Subtitle D--Other Provisions Relating to Property
Management [Reserved]
Subtitle E--Federal Information Resources Management
Regulations System [Reserved]
Subtitle F--Federal Travel Regulation System
300 General (Parts 300-1--300-99)
301 Temporary Duty (TDY) Travel Allowances (Parts 301-1--
301-99)

[[Page 368]]

302 Relocation Allowances (Parts 302-1--302-99)
303 Payment of Expenses Connected with the Death of
Certain Employees (Part 303-1--303-99)
304 Payment of Travel Expenses from a Non-Federal Source
(Parts 304-1--304-99)

Title 42--Public Health

I Public Health Service, Department of Health and Human
Services (Parts 1--199)
IV Centers for Medicare & Medicaid Services, Department
of Health and Human Services (Parts 400--599)
V Office of Inspector General-Health Care, Department of
Health and Human Services (Parts 1000--1999)

Title 43--Public Lands: Interior

Subtitle A--Office of the Secretary of the Interior
(Parts 1--199)
Subtitle B--Regulations Relating to Public Lands
I Bureau of Reclamation, Department of the Interior
(Parts 400--999)
II Bureau of Land Management, Department of the Interior
(Parts 1000--9999)
III Utah Reclamation Mitigation and Conservation
Commission (Parts 10000--10099)

Title 44--Emergency Management and Assistance

I Federal Emergency Management Agency, Department of
Homeland Security (Parts 0--399)
IV Department of Commerce and Department of
Transportation (Parts 400--499)

Title 45--Public Welfare

Subtitle A--Department of Health and Human Services
(Parts 1--199)
Subtitle B--Regulations Relating to Public Welfare
II Office of Family Assistance (Assistance Programs),
Administration for Children and Families,
Department of Health and Human Services (Parts
200--299)
III Office of Child Support Enforcement (Child Support
Enforcement Program), Administration for Children
and Families, Department of Health and Human
Services (Parts 300--399)
IV Office of Refugee Resettlement, Administration for
Children and Families, Department of Health and
Human Services (Parts 400--499)
V Foreign Claims Settlement Commission of the United
States, Department of Justice (Parts 500--599)

[[Page 369]]

VI National Science Foundation (Parts 600--699)
VII Commission on Civil Rights (Parts 700--799)
VIII Office of Personnel Management (Parts 800--899)
IX Denali Commission (Parts 900--999)
X Office of Community Services, Administration for
Children and Families, Department of Health and
Human Services (Parts 1000--1099)
XI National Foundation on the Arts and the Humanities
(Parts 1100--1199)
XII Corporation for National and Community Service (Parts
1200--1299)
XIII Administration for Children and Families, Department
of Health and Human Services (Parts 1300--1399)
XVI Legal Services Corporation (Parts 1600--1699)
XVII National Commission on Libraries and Information
Science (Parts 1700--1799)
XVIII Harry S. Truman Scholarship Foundation (Parts 1800--
1899)
XXI Commission on Fine Arts (Parts 2100--2199)
XXIII Arctic Research Commission (Part 2301)
XXIV James Madison Memorial Fellowship Foundation (Parts
2400--2499)
XXV Corporation for National and Community Service (Parts
2500--2599)

Title 46--Shipping

I Coast Guard, Department of Homeland Security (Parts
1--199)
II Maritime Administration, Department of Transportation
(Parts 200--399)
III Coast Guard (Great Lakes Pilotage), Department of
Homeland Security (Parts 400--499)
IV Federal Maritime Commission (Parts 500--599)

Title 47--Telecommunication

I Federal Communications Commission (Parts 0--199)
II Office of Science and Technology Policy and National
Security Council (Parts 200--299)
III National Telecommunications and Information
Administration, Department of Commerce (Parts
300--399)
IV National Telecommunications and Information
Administration, Department of Commerce, and
National Highway Traffic Safety Administration,
Department of Transportation (Parts 400--499)

Title 48--Federal Acquisition Regulations System

1 Federal Acquisition Regulation (Parts 1--99)

[[Page 370]]

2 Defense Acquisition Regulations System, Department of
Defense (Parts 200--299)
3 Health and Human Services (Parts 300--399)
4 Department of Agriculture (Parts 400--499)
5 General Services Administration (Parts 500--599)
6 Department of State (Parts 600--699)
7 Agency for International Development (Parts 700--799)
8 Department of Veterans Affairs (Parts 800--899)
9 Department of Energy (Parts 900--999)
10 Department of the Treasury (Parts 1000--1099)
12 Department of Transportation (Parts 1200--1299)
13 Department of Commerce (Parts 1300--1399)
14 Department of the Interior (Parts 1400--1499)
15 Environmental Protection Agency (Parts 1500--1599)
16 Office of Personnel Management, Federal Employees
Health Benefits Acquisition Regulation (Parts
1600--1699)
17 Office of Personnel Management (Parts 1700--1799)
18 National Aeronautics and Space Administration (Parts
1800--1899)
19 Broadcasting Board of Governors (Parts 1900--1999)
20 Nuclear Regulatory Commission (Parts 2000--2099)
21 Office of Personnel Management, Federal Employees
Group Life Insurance Federal Acquisition
Regulation (Parts 2100--2199)
23 Social Security Administration (Parts 2300--2399)
24 Department of Housing and Urban Development (Parts
2400--2499)
25 National Science Foundation (Parts 2500--2599)
28 Department of Justice (Parts 2800--2899)
29 Department of Labor (Parts 2900--2999)
30 Department of Homeland Security, Homeland Security
Acquisition Regulation (HSAR) (Parts 3000--3099)
34 Department of Education Acquisition Regulation (Parts
3400--3499)
51 Department of the Army Acquisition Regulations (Parts
5100--5199)
52 Department of the Navy Acquisition Regulations (Parts
5200--5299)
53 Department of the Air Force Federal Acquisition
Regulation Supplement (Parts 5300--5399)
[Reserved]
54 Defense Logistics Agency, Department of Defense (Parts
5400--5499)
57 African Development Foundation (Parts 5700--5799)
61 Civilian Board of Contract Appeals, General Services
Administration (Parts 6100--6199)
63 Department of Transportation Board of Contract Appeals
(Parts 6300--6399)

[[Page 371]]

99 Cost Accounting Standards Board, Office of Federal
Procurement Policy, Office of Management and
Budget (Parts 9900--9999)

Title 49--Transportation

Subtitle A--Office of the Secretary of Transportation
(Parts 1--99)
Subtitle B--Other Regulations Relating to
Transportation
I Pipeline and Hazardous Materials Safety
Administration, Department of Transportation
(Parts 100--199)
II Federal Railroad Administration, Department of
Transportation (Parts 200--299)
III Federal Motor Carrier Safety Administration,
Department of Transportation (Parts 300--399)
IV Coast Guard, Department of Homeland Security (Parts
400--499)
V National Highway Traffic Safety Administration,
Department of Transportation (Parts 500--599)
VI Federal Transit Administration, Department of
Transportation (Parts 600--699)
VII National Railroad Passenger Corporation (AMTRAK)
(Parts 700--799)
VIII National Transportation Safety Board (Parts 800--999)
X Surface Transportation Board (Parts 1000--1399)
XI Research and Innovative Technology Administration,
Department of Transportation (Parts 1400--1499)
[Reserved]
XII Transportation Security Administration, Department of
Homeland Security (Parts 1500--1699)

Title 50--Wildlife and Fisheries

I United States Fish and Wildlife Service, Department of
the Interior (Parts 1--199)
II National Marine Fisheries Service, National Oceanic
and Atmospheric Administration, Department of
Commerce (Parts 200--299)
III International Fishing and Related Activities (Parts
300--399)
IV Joint Regulations (United States Fish and Wildlife
Service, Department of the Interior and National
Marine Fisheries Service, National Oceanic and
Atmospheric Administration, Department of
Commerce); Endangered Species Committee
Regulations (Parts 400--499)
V Marine Mammal Commission (Parts 500--599)
VI Fishery Conservation and Management, National Oceanic
and Atmospheric Administration, Department of
Commerce (Parts 600--699)

[[Page 373]]

Alphabetical List of Agencies Appearing in the CFR

(Revised as of January 1, 2017)

CFR Title, Subtitle or
Agency Chapter

Administrative Committee of the Federal Register 1, I
Administrative Conference of the United States 1, III
Advisory Council on Historic Preservation 36, VIII
Advocacy and Outreach, Office of 7, XXV
Afghanistan Reconstruction, Special Inspector 5, LXXXIII
General for
African Development Foundation 22, XV
Federal Acquisition Regulation 48, 57
Agency for International Development 2, VII; 22, II
Federal Acquisition Regulation 48, 7
Agricultural Marketing Service 7, I, IX, X, XI
Agricultural Research Service 7, V
Agriculture Department 2, IV; 5, LXXIII
Advocacy and Outreach, Office of 7, XXV
Agricultural Marketing Service 7, I, IX, X, XI
Agricultural Research Service 7, V
Animal and Plant Health Inspection Service 7, III; 9, I
Chief Financial Officer, Office of 7, XXX
Commodity Credit Corporation 7, XIV
Economic Research Service 7, XXXVII
Energy Policy and New Uses, Office of 2, IX; 7, XXIX
Environmental Quality, Office of 7, XXXI
Farm Service Agency 7, VII, XVIII
Federal Acquisition Regulation 48, 4
Federal Crop Insurance Corporation 7, IV
Food and Nutrition Service 7, II
Food Safety and Inspection Service 9, III
Foreign Agricultural Service 7, XV
Forest Service 36, II
Grain Inspection, Packers and Stockyards 7, VIII; 9, II
Administration
Information Resources Management, Office of 7, XXVII
Inspector General, Office of 7, XXVI
National Agricultural Library 7, XLI
National Agricultural Statistics Service 7, XXXVI
National Institute of Food and Agriculture 7, XXXIV
Natural Resources Conservation Service 7, VI
Operations, Office of 7, XXVIII
Procurement and Property Management, Office of 7, XXXII
Rural Business-Cooperative Service 7, XVIII, XLII
Rural Development Administration 7, XLII
Rural Housing Service 7, XVIII, XXXV
Rural Telephone Bank 7, XVI
Rural Utilities Service 7, XVII, XVIII, XLII
Secretary of Agriculture, Office of 7, Subtitle A
Transportation, Office of 7, XXXIII
World Agricultural Outlook Board 7, XXXVIII
Air Force Department 32, VII
Federal Acquisition Regulation Supplement 48, 53
Air Transportation Stabilization Board 14, VI
Alcohol and Tobacco Tax and Trade Bureau 27, I
Alcohol, Tobacco, Firearms, and Explosives, 27, II
Bureau of
AMTRAK 49, VII
American Battle Monuments Commission 36, IV
American Indians, Office of the Special Trustee 25, VII

[[Page 374]]

Animal and Plant Health Inspection Service 7, III; 9, I
Appalachian Regional Commission 5, IX
Architectural and Transportation Barriers 36, XI
Compliance Board
Arctic Research Commission 45, XXIII
Armed Forces Retirement Home 5, XI
Army Department 32, V
Engineers, Corps of 33, II; 36, III
Federal Acquisition Regulation 48, 51
Bilingual Education and Minority Languages 34, V
Affairs, Office of
Blind or Severely Disabled, Committee for 41, 51
Purchase from People Who Are
Broadcasting Board of Governors 22, V
Federal Acquisition Regulation 48, 19
Career, Technical and Adult Education, Office of 34, IV
Census Bureau 15, I
Centers for Medicare & Medicaid Services 42, IV
Central Intelligence Agency 32, XIX
Chemical Safety and Hazardous Investigation 40, VI
Board
Chief Financial Officer, Office of 7, XXX
Child Support Enforcement, Office of 45, III
Children and Families, Administration for 45, II, III, IV, X, XIII
Civil Rights, Commission on 5, LXVIII; 45, VII
Civil Rights, Office for 34, I
Council of the Inspectors General on Integrity 5, XCVIII
and Efficiency
Court Services and Offender Supervision Agency 5, LXX
for the District of Columbia
Coast Guard 33, I; 46, I; 49, IV
Coast Guard (Great Lakes Pilotage) 46, III
Commerce Department 2, XIII; 44, IV; 50, VI
Census Bureau 15, I
Economic Analysis, Bureau of 15, VIII
Economic Development Administration 13, III
Emergency Management and Assistance 44, IV
Federal Acquisition Regulation 48, 13
Foreign-Trade Zones Board 15, IV
Industry and Security, Bureau of 15, VII
International Trade Administration 15, III; 19, III
National Institute of Standards and Technology 15, II
National Marine Fisheries Service 50, II, IV
National Oceanic and Atmospheric 15, IX; 50, II, III, IV,
Administration VI
National Telecommunications and Information 15, XXIII; 47, III, IV
Administration
National Weather Service 15, IX
Patent and Trademark Office, United States 37, I
Productivity, Technology and Innovation, 37, IV
Assistant Secretary for
Secretary of Commerce, Office of 15, Subtitle A
Technology Administration 15, XI
Technology Policy, Assistant Secretary for 37, IV
Commercial Space Transportation 14, III
Commodity Credit Corporation 7, XIV
Commodity Futures Trading Commission 5, XLI; 17, I
Community Planning and Development, Office of 24, V, VI
Assistant Secretary for
Community Services, Office of 45, X
Comptroller of the Currency 12, I
Construction Industry Collective Bargaining 29, IX
Commission
Consumer Financial Protection Bureau 5, LXXXIV; 12, X
Consumer Product Safety Commission 5, LXXI; 16, II
Copyright Royalty Board 37, III
Corporation for National and Community Service 2, XXII; 45, XII, XXV
Cost Accounting Standards Board 48, 99
Council on Environmental Quality 40, V
Court Services and Offender Supervision Agency 5, LXX; 28, VIII
for the District of Columbia
Customs and Border Protection 19, I
Defense Contract Audit Agency 32, I

[[Page 375]]

Defense Department 2, XI; 5, XXVI; 32,
Subtitle A; 40, VII
Advanced Research Projects Agency 32, I
Air Force Department 32, VII
Army Department 32, V; 33, II; 36, III;
48, 51
Defense Acquisition Regulations System 48, 2
Defense Intelligence Agency 32, I
Defense Logistics Agency 32, I, XII; 48, 54
Engineers, Corps of 33, II; 36, III
National Imagery and Mapping Agency 32, I
Navy Department 32, VI; 48, 52
Secretary of Defense, Office of 2, XI; 32, I
Defense Contract Audit Agency 32, I
Defense Intelligence Agency 32, I
Defense Logistics Agency 32, XII; 48, 54
Defense Nuclear Facilities Safety Board 10, XVII
Delaware River Basin Commission 18, III
Denali Commission 45, IX
District of Columbia, Court Services and 5, LXX; 28, VIII
Offender Supervision Agency for the
Drug Enforcement Administration 21, II
East-West Foreign Trade Board 15, XIII
Economic Analysis, Bureau of 15, VIII
Economic Development Administration 13, III
Economic Research Service 7, XXXVII
Education, Department of 2, XXXIV; 5, LIII
Bilingual Education and Minority Languages 34, V
Affairs, Office of
Career, Technical and Adult Education, Office 34, IV
of
Civil Rights, Office for 34, I
Educational Research and Improvement, Office 34, VII
of
Elementary and Secondary Education, Office of 34, II
Federal Acquisition Regulation 48, 34
Postsecondary Education, Office of 34, VI
Secretary of Education, Office of 34, Subtitle A
Special Education and Rehabilitative Services, 34, III
Office of
Career, Technical, and Adult Education, Office 34, IV
of
Educational Research and Improvement, Office of 34, VII
Election Assistance Commission 2, LVIII; 11, II
Elementary and Secondary Education, Office of 34, II
Emergency Oil and Gas Guaranteed Loan Board 13, V
Emergency Steel Guarantee Loan Board 13, IV
Employee Benefits Security Administration 29, XXV
Employees' Compensation Appeals Board 20, IV
Employees Loyalty Board 5, V
Employment and Training Administration 20, V
Employment Standards Administration 20, VI
Endangered Species Committee 50, IV
Energy, Department of 2, IX; 5, XXIII; 10, II,
III, X
Federal Acquisition Regulation 48, 9
Federal Energy Regulatory Commission 5, XXIV; 18, I
Property Management Regulations 41, 109
Energy, Office of 7, XXIX
Engineers, Corps of 33, II; 36, III
Engraving and Printing, Bureau of 31, VI
Environmental Protection Agency 2, XV; 5, LIV; 40, I, IV,
VII
Federal Acquisition Regulation 48, 15
Property Management Regulations 41, 115
Environmental Quality, Office of 7, XXXI
Equal Employment Opportunity Commission 5, LXII; 29, XIV
Equal Opportunity, Office of Assistant Secretary 24, I
for
Executive Office of the President 3, I
Environmental Quality, Council on 40, V
Management and Budget, Office of 2, Subtitle A; 5, III,
LXXVII; 14, VI; 48, 99

[[Page 376]]

National Drug Control Policy, Office of 2, XXXVI; 21, III
National Security Council 32, XXI; 47, 2
Presidential Documents 3
Science and Technology Policy, Office of 32, XXIV; 47, II
Trade Representative, Office of the United 15, XX
States
Export-Import Bank of the United States 2, XXXV; 5, LII; 12, IV
Family Assistance, Office of 45, II
Farm Credit Administration 5, XXXI; 12, VI
Farm Credit System Insurance Corporation 5, XXX; 12, XIV
Farm Service Agency 7, VII, XVIII
Federal Acquisition Regulation 48, 1
Federal Aviation Administration 14, I
Commercial Space Transportation 14, III
Federal Claims Collection Standards 31, IX
Federal Communications Commission 5, XXIX; 47, I
Federal Contract Compliance Programs, Office of 41, 60
Federal Crop Insurance Corporation 7, IV
Federal Deposit Insurance Corporation 5, XXII; 12, III
Federal Election Commission 5, XXXVII; 11, I
Federal Emergency Management Agency 44, I
Federal Employees Group Life Insurance Federal 48, 21
Acquisition Regulation
Federal Employees Health Benefits Acquisition 48, 16
Regulation
Federal Energy Regulatory Commission 5, XXIV; 18, I
Federal Financial Institutions Examination 12, XI
Council
Federal Financing Bank 12, VIII
Federal Highway Administration 23, I, II
Federal Home Loan Mortgage Corporation 1, IV
Federal Housing Enterprise Oversight Office 12, XVII
Federal Housing Finance Agency 5, LXXX; 12, XII
Federal Housing Finance Board 12, IX
Federal Labor Relations Authority 5, XIV, XLIX; 22, XIV
Federal Law Enforcement Training Center 31, VII
Federal Management Regulation 41, 102
Federal Maritime Commission 46, IV
Federal Mediation and Conciliation Service 29, XII
Federal Mine Safety and Health Review Commission 5, LXXIV; 29, XXVII
Federal Motor Carrier Safety Administration 49, III
Federal Prison Industries, Inc. 28, III
Federal Procurement Policy Office 48, 99
Federal Property Management Regulations 41, 101
Federal Railroad Administration 49, II
Federal Register, Administrative Committee of 1, I
Federal Register, Office of 1, II
Federal Reserve System 12, II
Board of Governors 5, LVIII
Federal Retirement Thrift Investment Board 5, VI, LXXVI
Federal Service Impasses Panel 5, XIV
Federal Trade Commission 5, XLVII; 16, I
Federal Transit Administration 49, VI
Federal Travel Regulation System 41, Subtitle F
Financial Crimes Enforcement Network 31, X
Financial Research Office 12, XVI
Financial Stability Oversight Council 12, XIII
Fine Arts, Commission on 45, XXI
Fiscal Service 31, II
Fish and Wildlife Service, United States 50, I, IV
Food and Drug Administration 21, I
Food and Nutrition Service 7, II
Food Safety and Inspection Service 9, III
Foreign Agricultural Service 7, XV
Foreign Assets Control, Office of 31, V
Foreign Claims Settlement Commission of the 45, V
United States
Foreign Service Grievance Board 22, IX
Foreign Service Impasse Disputes Panel 22, XIV
Foreign Service Labor Relations Board 22, XIV
Foreign-Trade Zones Board 15, IV

[[Page 377]]

Forest Service 36, II
General Services Administration 5, LVII; 41, 105
Contract Appeals, Board of 48, 61
Federal Acquisition Regulation 48, 5
Federal Management Regulation 41, 102
Federal Property Management Regulations 41, 101
Federal Travel Regulation System 41, Subtitle F
General 41, 300
Payment From a Non-Federal Source for Travel 41, 304
Expenses
Payment of Expenses Connected With the Death 41, 303
of Certain Employees
Relocation Allowances 41, 302
Temporary Duty (TDY) Travel Allowances 41, 301
Geological Survey 30, IV
Government Accountability Office 4, I
Government Ethics, Office of 5, XVI
Government National Mortgage Association 24, III
Grain Inspection, Packers and Stockyards 7, VIII; 9, II
Administration
Gulf Coast Ecosystem Restoration Council 2, LIX; 40, VIII
Harry S. Truman Scholarship Foundation 45, XVIII
Health and Human Services, Department of 2, III; 5, XLV; 45,
Subtitle A,
Centers for Medicare & Medicaid Services 42, IV
Child Support Enforcement, Office of 45, III
Children and Families, Administration for 45, II, III, IV, X, XIII
Community Services, Office of 45, X
Family Assistance, Office of 45, II
Federal Acquisition Regulation 48, 3
Food and Drug Administration 21, I
Indian Health Service 25, V
Inspector General (Health Care), Office of 42, V
Public Health Service 42, I
Refugee Resettlement, Office of 45, IV
Homeland Security, Department of 2, XXX; 5, XXXVI; 6, I; 8,
I
Coast Guard 33, I; 46, I; 49, IV
Coast Guard (Great Lakes Pilotage) 46, III
Customs and Border Protection 19, I
Federal Emergency Management Agency 44, I
Human Resources Management and Labor Relations 5, XCVII
Systems
Immigration and Customs Enforcement Bureau 19, IV
Transportation Security Administration 49, XII
HOPE for Homeowners Program, Board of Directors 24, XXIV
of
Housing and Urban Development, Department of 2, XXIV; 5, LXV; 24,
Subtitle B
Community Planning and Development, Office of 24, V, VI
Assistant Secretary for
Equal Opportunity, Office of Assistant 24, I
Secretary for
Federal Acquisition Regulation 48, 24
Federal Housing Enterprise Oversight, Office 12, XVII
of
Government National Mortgage Association 24, III
Housing--Federal Housing Commissioner, Office 24, II, VIII, X, XX
of Assistant Secretary for
Housing, Office of, and Multifamily Housing 24, IV
Assistance Restructuring, Office of
Inspector General, Office of 24, XII
Public and Indian Housing, Office of Assistant 24, IX
Secretary for
Secretary, Office of 24, Subtitle A, VII
Housing--Federal Housing Commissioner, Office of 24, II, VIII, X, XX
Assistant Secretary for
Housing, Office of, and Multifamily Housing 24, IV
Assistance Restructuring, Office of
Immigration and Customs Enforcement Bureau 19, IV
Immigration Review, Executive Office for 8, V
Independent Counsel, Office of 28, VII
Independent Counsel, Offices of 28, VI

[[Page 378]]

Indian Affairs, Bureau of 25, I, V
Indian Affairs, Office of the Assistant 25, VI
Secretary
Indian Arts and Crafts Board 25, II
Indian Health Service 25, V
Industry and Security, Bureau of 15, VII
Information Resources Management, Office of 7, XXVII
Information Security Oversight Office, National 32, XX
Archives and Records Administration
Inspector General
Agriculture Department 7, XXVI
Health and Human Services Department 42, V
Housing and Urban Development Department 24, XII, XV
Institute of Peace, United States 22, XVII
Inter-American Foundation 5, LXIII; 22, X
Interior Department 2, XIV
American Indians, Office of the Special 25, VII
Trustee
Endangered Species Committee 50, IV
Federal Acquisition Regulation 48, 14
Federal Property Management Regulations System 41, 114
Fish and Wildlife Service, United States 50, I, IV
Geological Survey 30, IV
Indian Affairs, Bureau of 25, I, V
Indian Affairs, Office of the Assistant 25, VI
Secretary
Indian Arts and Crafts Board 25, II
Land Management, Bureau of 43, II
National Indian Gaming Commission 25, III
National Park Service 36, I
Natural Resource Revenue, Office of 30, XII
Ocean Energy Management, Bureau of 30, V
Reclamation, Bureau of 43, I
Safety and Enforcement Bureau, Bureau of 30, II
Secretary of the Interior, Office of 2, XIV; 43, Subtitle A
Surface Mining Reclamation and Enforcement, 30, VII
Office of
Internal Revenue Service 26, I
International Boundary and Water Commission, 22, XI
United States and Mexico, United States
Section
International Development, United States Agency 22, II
for
Federal Acquisition Regulation 48, 7
International Development Cooperation Agency, 22, XII
United States
International Joint Commission, United States 22, IV
and Canada
International Organizations Employees Loyalty 5, V
Board
International Trade Administration 15, III; 19, III
International Trade Commission, United States 19, II
Interstate Commerce Commission 5, XL
Investment Security, Office of 31, VIII
James Madison Memorial Fellowship Foundation 45, XXIV
Japan-United States Friendship Commission 22, XVI
Joint Board for the Enrollment of Actuaries 20, VIII
Justice Department 2, XXVIII; 5, XXVIII; 28,
I, XI; 40, IV
Alcohol, Tobacco, Firearms, and Explosives, 27, II
Bureau of
Drug Enforcement Administration 21, II
Federal Acquisition Regulation 48, 28
Federal Claims Collection Standards 31, IX
Federal Prison Industries, Inc. 28, III
Foreign Claims Settlement Commission of the 45, V
United States
Immigration Review, Executive Office for 8, V
Independent Counsel, Offices of 28, VI
Prisons, Bureau of 28, V
Property Management Regulations 41, 128
Labor Department 2, XXIX; 5, XLII
Employee Benefits Security Administration 29, XXV
Employees' Compensation Appeals Board 20, IV
Employment and Training Administration 20, V
Employment Standards Administration 20, VI

[[Page 379]]

Federal Acquisition Regulation 48, 29
Federal Contract Compliance Programs, Office 41, 60
of
Federal Procurement Regulations System 41, 50
Labor-Management Standards, Office of 29, II, IV
Mine Safety and Health Administration 30, I
Occupational Safety and Health Administration 29, XVII
Public Contracts 41, 50
Secretary of Labor, Office of 29, Subtitle A
Veterans' Employment and Training Service, 41, 61; 20, IX
Office of the Assistant Secretary for
Wage and Hour Division 29, V
Workers' Compensation Programs, Office of 20, I, VII
Labor-Management Standards, Office of 29, II, IV
Land Management, Bureau of 43, II
Legal Services Corporation 45, XVI
Library of Congress 36, VII
Copyright Royalty Board 37, III
U.S. Copyright Office 37, II
Local Television Loan Guarantee Board 7, XX
Management and Budget, Office of 5, III, LXXVII; 14, VI;
48, 99
Marine Mammal Commission 50, V
Maritime Administration 46, II
Merit Systems Protection Board 5, II, LXIV
Micronesian Status Negotiations, Office for 32, XXVII
Military Compensation and Retirement 5, XCIX
Modernization Commission
Millennium Challenge Corporation 22, XIII
Mine Safety and Health Administration 30, I
Minority Business Development Agency 15, XIV
Miscellaneous Agencies 1, IV
Monetary Offices 31, I
Morris K. Udall Scholarship and Excellence in 36, XVI
National Environmental Policy Foundation
Museum and Library Services, Institute of 2, XXXI
National Aeronautics and Space Administration 2, XVIII; 5, LIX; 14, V
Federal Acquisition Regulation 48, 18
National Agricultural Library 7, XLI
National Agricultural Statistics Service 7, XXXVI
National and Community Service, Corporation for 2, XXII; 45, XII, XXV
National Archives and Records Administration 2, XXVI; 5, LXVI; 36, XII
Information Security Oversight Office 32, XX
National Capital Planning Commission 1, IV
National Commission for Employment Policy 1, IV
National Commission on Libraries and Information 45, XVII
Science
National Council on Disability 5, C; 34, XII
National Counterintelligence Center 32, XVIII
National Credit Union Administration 5, LXXXVI; 12, VII
National Crime Prevention and Privacy Compact 28, IX
Council
National Drug Control Policy, Office of 2, XXXVI; 21, III
National Endowment for the Arts 2, XXXII
National Endowment for the Humanities 2, XXXIII
National Foundation on the Arts and the 45, XI
Humanities
National Geospatial-Intelligence Agency 32, I
National Highway Traffic Safety Administration 23, II, III; 47, VI; 49, V
National Imagery and Mapping Agency 32, I
National Indian Gaming Commission 25, III
National Institute of Food and Agriculture 7, XXXIV
National Institute of Standards and Technology 15, II
National Intelligence, Office of Director of 5, IV; 32, XVII
National Labor Relations Board 5, LXI; 29, I
National Marine Fisheries Service 50, II, IV
National Mediation Board 29, X
National Oceanic and Atmospheric Administration 15, IX; 50, II, III, IV,
VI
National Park Service 36, I
National Railroad Adjustment Board 29, III

[[Page 380]]

National Railroad Passenger Corporation (AMTRAK) 49, VII
National Science Foundation 2, XXV; 5, XLIII; 45, VI
Federal Acquisition Regulation 48, 25
National Security Council 32, XXI
National Security Council and Office of Science 47, II
and Technology Policy
National Telecommunications and Information 15, XXIII; 47, III, IV
Administration
National Transportation Safety Board 49, VIII
Natural Resources Conservation Service 7, VI
Natural Resource Revenue, Office of 30, XII
Navajo and Hopi Indian Relocation, Office of 25, IV
Navy Department 32, VI
Federal Acquisition Regulation 48, 52
Neighborhood Reinvestment Corporation 24, XXV
Northeast Interstate Low-Level Radioactive Waste 10, XVIII
Commission
Nuclear Regulatory Commission 2, XX; 5, XLVIII; 10, I
Federal Acquisition Regulation 48, 20
Occupational Safety and Health Administration 29, XVII
Occupational Safety and Health Review Commission 29, XX
Ocean Energy Management, Bureau of 30, V
Oklahoma City National Memorial Trust 36, XV
Operations Office 7, XXVIII
Overseas Private Investment Corporation 5, XXXIII; 22, VII
Patent and Trademark Office, United States 37, I
Payment From a Non-Federal Source for Travel 41, 304
Expenses
Payment of Expenses Connected With the Death of 41, 303
Certain Employees
Peace Corps 2, XXXVII; 22, III
Pennsylvania Avenue Development Corporation 36, IX
Pension Benefit Guaranty Corporation 29, XL
Personnel Management, Office of 5, I, XXXV; 5, IV; 45,
VIII
Human Resources Management and Labor Relations 5, XCVII
Systems, Department of Homeland Security
Federal Acquisition Regulation 48, 17
Federal Employees Group Life Insurance Federal 48, 21
Acquisition Regulation
Federal Employees Health Benefits Acquisition 48, 16
Regulation
Pipeline and Hazardous Materials Safety 49, I
Administration
Postal Regulatory Commission 5, XLVI; 39, III
Postal Service, United States 5, LX; 39, I
Postsecondary Education, Office of 34, VI
President's Commission on White House 1, IV
Fellowships
Presidential Documents 3
Presidio Trust 36, X
Prisons, Bureau of 28, V
Privacy and Civil Liberties Oversight Board 6, X
Procurement and Property Management, Office of 7, XXXII
Productivity, Technology and Innovation, 37, IV
Assistant Secretary
Public Contracts, Department of Labor 41, 50
Public and Indian Housing, Office of Assistant 24, IX
Secretary for
Public Health Service 42, I
Railroad Retirement Board 20, II
Reclamation, Bureau of 43, I
Refugee Resettlement, Office of 45, IV
Relocation Allowances 41, 302
Research and Innovative Technology 49, XI
Administration
Rural Business-Cooperative Service 7, XVIII, XLII
Rural Development Administration 7, XLII
Rural Housing Service 7, XVIII, XXXV
Rural Telephone Bank 7, XVI
Rural Utilities Service 7, XVII, XVIII, XLII
Safety and Environmental Enforcement, Bureau of 30, II
Saint Lawrence Seaway Development Corporation 33, IV

[[Page 381]]

Science and Technology Policy, Office of 32, XXIV
Science and Technology Policy, Office of, and 47, II
National Security Council
Secret Service 31, IV
Securities and Exchange Commission 5, XXXIV; 17, II
Selective Service System 32, XVI
Small Business Administration 2, XXVII; 13, I
Smithsonian Institution 36, V
Social Security Administration 2, XXIII; 20, III; 48, 23
Soldiers' and Airmen's Home, United States 5, XI
Special Counsel, Office of 5, VIII
Special Education and Rehabilitative Services, 34, III
Office of
State Department 2, VI; 22, I; 28, XI
Federal Acquisition Regulation 48, 6
Surface Mining Reclamation and Enforcement, 30, VII
Office of
Surface Transportation Board 49, X
Susquehanna River Basin Commission 18, VIII
Technology Administration 15, XI
Technology Policy, Assistant Secretary for 37, IV
Tennessee Valley Authority 5, LXIX; 18, XIII
Thrift Supervision Office, Department of the 12, V
Treasury
Trade Representative, United States, Office of 15, XX
Transportation, Department of 2, XII; 5, L
Commercial Space Transportation 14, III
Contract Appeals, Board of 48, 63
Emergency Management and Assistance 44, IV
Federal Acquisition Regulation 48, 12
Federal Aviation Administration 14, I
Federal Highway Administration 23, I, II
Federal Motor Carrier Safety Administration 49, III
Federal Railroad Administration 49, II
Federal Transit Administration 49, VI
Maritime Administration 46, II
National Highway Traffic Safety Administration 23, II, III; 47, IV; 49, V
Pipeline and Hazardous Materials Safety 49, I
Administration
Saint Lawrence Seaway Development Corporation 33, IV
Secretary of Transportation, Office of 14, II; 49, Subtitle A
Transportation Statistics Bureau 49, XI
Transportation, Office of 7, XXXIII
Transportation Security Administration 49, XII
Transportation Statistics Bureau 49, XI
Travel Allowances, Temporary Duty (TDY) 41, 301
Treasury Department 2, X;5, XXI; 12, XV; 17,
IV; 31, IX
Alcohol and Tobacco Tax and Trade Bureau 27, I
Community Development Financial Institutions 12, XVIII
Fund
Comptroller of the Currency 12, I
Customs and Border Protection 19, I
Engraving and Printing, Bureau of 31, VI
Federal Acquisition Regulation 48, 10
Federal Claims Collection Standards 31, IX
Federal Law Enforcement Training Center 31, VII
Financial Crimes Enforcement Network 31, X
Fiscal Service 31, II
Foreign Assets Control, Office of 31, V
Internal Revenue Service 26, I
Investment Security, Office of 31, VIII
Monetary Offices 31, I
Secret Service 31, IV
Secretary of the Treasury, Office of 31, Subtitle A
Thrift Supervision, Office of 12, V
Truman, Harry S. Scholarship Foundation 45, XVIII
United States and Canada, International Joint 22, IV
Commission
United States and Mexico, International Boundary 22, XI
and Water Commission, United States Section
U.S. Copyright Office 37, II
Utah Reclamation Mitigation and Conservation 43, III
Commission
[[Page 382]]

Veterans Affairs Department 2, VIII; 38, I
Federal Acquisition Regulation 48, 8
Veterans' Employment and Training Service, 41, 61; 20, IX
Office of the Assistant Secretary for
Vice President of the United States, Office of 32, XXVIII
Wage and Hour Division 29, V
Water Resources Council 18, VI
Workers' Compensation Programs, Office of 20, I, VII
World Agricultural Outlook Board 7, XXXVIII

[[Page 383]]

List of CFR Sections Affected

All changes in this volume of the Code of Federal Regulations (CFR) that
were made by documents published in the Federal Register since January
1, 2012 are enumerated in the following list. Entries indicate the
nature of the changes effected. Page numbers refer to Federal Register
pages. The user should consult the entries for chapters, parts and
subparts as well as sections for revisions.
For changes to this volume of the CFR prior to this listing, consult the
annual edition of the monthly List of CFR Sections Affected (LSA). The
LSA is available at www.fdsys.gov. For changes to this volume of the CFR
prior to 2001, see the ``List of CFR Sections Affected, 1949-1963, 1964-
1972, 1973-1985, and 1986-2000'' published in 11 separate volumes. The
``List of CFR Sections Affected 1986-2000'' is available at
www.fdsys.gov.

2012

14 CFR
77 FR
Page
Chapter V
1204.500--1204.509 (Subpart 5) Authority citation revised.........60620
Authority citation correctly revised...........................65099
1204.506 Removed..................................................60620
1212 Authority citation revised...................................60621
1212.100 Amended..................................................60621
1212.101 (e) and (h) amended; (i) removed.........................60621
1212.200--1212.205 (Subpart 1212.2) Heading revised...............60621
1212.200 Heading and introductory text revised; (b) and (c)
amended....................................................60621
1212.201 Heading and (e) revised; (c)(1) and (2)(iv) amended......60621
1212.203 (a) and (b)(2) amended...................................60621
1212.300 Introductory text amended................................60621
1212.400 (b) through (e) redesignated as (c) through (f); new (b)
added; (a) introductory text, new (c)(1) and new (3)
amended....................................................60621
1212.500 (b) amended..............................................60621
1212.501 (a)(1)(i), (ii) and (2)(ii)(D) amended...................60621
1212.601 (b) amended..............................................60621
1212.603 Amended..................................................60621
1212.605 (a) amended..............................................60621
1212.701 Heading revised; introductory text, (a) and (c) amended
60621
1212.702 Redesignated as 1212.703; new 1212.702 added.............60622
1212.703 Redesignated as 1212.704; new 1212.703 redesignated from
1212.702; heading revised; (a) introductory text and (b)
amended....................................................60622
1212.704 Redesignated as 1212.705; new 1212.704 redesignated from
1212.703; heading revised; (a) introductory text, (3) and
(4) amended; (a)(5) added; (b) removed.....................60622
1212.705 Redesignated as 1212.706; new 1212.705 redesignated from
1212.704; (a)(1) revised; (a)(3), (7), (12) and (c)
amended....................................................60622
1212.706 Redesignated as 1212.707; new 1212.706 redesignated from
1212.705...................................................60622
1212.707 Redesignated from 1212.706...............................60622
1215 Authority citation revised....................................6952
1215.100 Revised...................................................6952
1215.101 Revised...................................................6952
1215.102 Revised...................................................6952
1215.103 Revised...................................................6952
1215.105 Revised...................................................6952
1215.106 Revised...................................................6952

[[Page 384]]

1215.108 Revised...................................................6953
1215.109 Revised...................................................6953
1215.112 Revised...................................................6953
1215.113 Revised...................................................6953
1215.114 Revised...................................................6953
1215.115 Revised...................................................6954
1215 Appendix A revised............................................6954
1216.300--1216.311 (Subpart 1216.3) Revised........................3103
1240 Authority citation revised...................................27366
1240.100 Revised..................................................27366
1240.101 Revised..................................................27366
1240.102 (g) revised..............................................27366
1240.104 (a) revised..............................................27366
1240.105 Revised..................................................27366
1240.108 (a) revised..............................................27367
1240.110 Heading revised; existing text designated as (a); (b)
and (c) added..............................................27367
1240.111 Revised..................................................27367
1240.112 Revised..................................................27367
1240.113 Revised..................................................27367
1240.114 Revised..................................................27367
1245.200--1245.205 (Subpart 2) Added..............................14687
1275.100 (d) and (e) revised......................................44440
1275.101 (a) and (m) revised......................................44441
1275 Appendix revised.............................................44441

2013

14 CFR
78 FR
Page
Chapter V
1203 Revised.......................................................5117
1203.100 (a) and (c)(2) introductory text amended; (c)(1)
introductory text revised...................................5117
1203.101 (c) revised...............................................5117
1203.200 (b) introductory text revised; (c) amended................5117
1203.201 (d) amended...............................................5117
1203.202 (a) introductory text, (4) and (e)(4) revised; (a)(1),
(3), (5) through (8), (b), (c)(2), (3), (d) introductory
text, (2), (e) introductory text, (1), (2), (3), (f) and
(g) amended.................................................5117
1203.203 (b)(1) and (2) revised....................................5117
1203.302 Revised...................................................5118
1203.303 Revised...................................................5118
1203.304 Amended...................................................5118
1203.305 Amended...................................................5118
1203.400 Revised...................................................5118
1203.403 Removed...................................................5118
1203.405 Amended...................................................5118
1203.406 (b) amended...............................................5118
1203.407 Revised...................................................5118
1203.408 Heading revised; introductory text, (a) and (d) amended;
(e) added...................................................5118
1203.409 (a) revised; (c) amended..................................5118
1203.410 (a), (c), (d) and (e) revised; (f) and (g) removed........5119
1203.412 (a)(3) and (5) revised; (b) amended.......................5119
1203.500 Revised...................................................5119
1203.601 Amended...................................................5120
1203.602 Revised...................................................5120
1203.603 Revised...................................................5120
1203.604 (a), (b), (c)(2), (d)(2), (3), (4), (e)(1), (3), (5) and
(g)(2) revised; (c)(1), (d)(1) and (e)(2) amended...........5120
1203.700--1203.703 (Subpart G) Removed.............................5121
1203.800 Revised...................................................5121
1203.801 Revised...................................................5121
1203.802 Revised...................................................5121
1203.803 Added.....................................................5121
1203.804 Added.....................................................5121
1203.900 Revised...................................................5122
1203.901 (d) added.................................................5122
1203.1000--1203.1003 (Subpart J) Added.............................5122
1203a Authority citation revised...................................5123
1203a.100 (a) and (b) amended......................................5123
1203a.101 (a) and (b) amended; (a)(1), (2) and (3) revised.........5123
1203a.102 (a)(1) introductory text revised; (a)(1)(iii), (2),
(3)(i) introductory text, (a), (b), (c), (ii), (b)
introductory text, (1), (4) and (c) amended.................5124
1203a.103 (a)(1), (2), (3) and (b) amended.........................5124
1203a.104 (a) and (b) amended......................................5124
1203a.105 Amended..................................................5124
1203b Authority citation revised...................................5124
1203b.100 Amended..................................................5124
1203b.101 Amended..................................................5124
1203b.102 Amended..................................................5125
1203b.103 (a)(1), (2), (b)(2) and (c) amended......................5125
1203b.104 (a) revised; (c) removed; (d) redesignated as new (c);
(b) and new (c) amended.....................................5125
1203b.105 Amended..................................................5125
1203b.106 Revised..................................................5125

[[Page 385]]

1203b.107 (a)(1), (c) introductory text and (1) through (4)
amended.....................................................5125
1203b.108 (b), (c) introductory text, (2), (d) introductory text,
(1), (2) and (e) amended....................................5125
1203b.109 Amended..................................................5125
1204.401 (a) revised; (b) amended; eff. 2-21-14...................77353
1204.402 Revised; eff. 2-21-14....................................77353
1204.403 Revised; eff. 2-21-14....................................77353
1204.508 Revised; eff. 2-14-14....................................76058
1204.1000--1204.1006 (Subpart 10) Authority citation revised.......5125
1204.1000 Amended..................................................5125
1204.1001 (a) and (b) amended......................................5126
1204.1002 Amended..................................................5126
1204.1003 (a) introductory text, (1), (2), (b), (c), (d) and (e)
amended.....................................................5126
1204.1004 Amended..................................................5126
1204.1005 (a) revised; (b) and (2) amended.........................5126
1204.1006 Amended..................................................5126
1209.302 Amended..................................................20423
1209.300--1209.305 (Subpart 3) Revised............................20423
1212 Authority citation correctly revised..........................8963
1212.201 Heading and (c)(1) correctly revised; (f) correctly
redesignated as (g); new (f) correctly added................8963
1212.704 (a) correctly amended.....................................8964
1230 Revised; eff. 2-14-14........................................76059
1232 Revised; eff. 2-14-14........................................76059

2014

14 CFR
79 FR
Page
Chapter V
1201 Authority citation revised...................................18444
1201.100 Amended..................................................18444
1201.200 Revised..................................................18444
1201.300 Revised..................................................18444
1201.400--1201.402 (Subpart 4) Removed............................18444
1204.501 Amended..................................................11319
1204.503 (b), (e)(1), (2), (f)(1), (3)(i)(D), (ii), (g), (h) and
(i) amended................................................11319
1204.504 (a), (d)(1), (2), (e)(1), (3)(ii)(B), (iii), (f), (g)
and (h) amended............................................11320
1204.505 (b) amended..............................................11320
1204.509 (a) amended..............................................11320
1204.1100--1204.1104 (Subpart 11) Added...........................54903
1206 Revised......................................................46678
1214 Authority citation revised....................................7392
1214.500--1214.505 (Subpart 1214.5) Removed........................7392
1260 Authority citation revised...................................21125
Removed; interim...............................................76076
1260.4 (b)(2) revised.............................................67349
1260.10 (b)(1)(iv) added..........................................67349
1260.14 (e) added.................................................67349
1260.77 Removed...................................................21125
1267 Removed......................................................56488
1273 Authority citation revised...................................21126
Removed; interim...............................................76076
1273.50 Removed...................................................21126
1273.51 Removed...................................................21126
1274 Authority citation revised............................21126, 56488
1274.803 Removed..................................................21126
1274.804 Removed..................................................21126
1274.927 Revised..................................................56488

2015

14 CFR
80 FR
Page
Chapter V
1204.1100--1204.1104 (Subpart 11) Authority citation revised......70152
1204.1100 Revised; eff. 1-12-16...................................70152
1204.1101 Revised; eff. 1-12-16...................................70152
1204.1102 (a) revised; eff. 1-12-16...............................70152
1204.1103 Revised eff. 1-12-16....................................70152
1204.1104 Revised; eff. 1-12-16...................................70152
1216.200--1216.205 (Subpart 1216.2) Removed.......................30353
1217 Authority citation revised...................................45865
1217.103 (a)(1), (2) and (3) revised..............................45865
1245.100--1245.118 (Subpart 1) Authority citation revised.........19197
1245.100 Revised..................................................19197
1245.101 Revised..................................................19197
1245.102 (c) revised; (d) through (j) redesignated as (e) through
(k); new (d) added.........................................19197
1245.103 (a) and (b) revised......................................19198
1245.104 (a), (b) introductory text, (2), (3) introductory text,
(v), (c) and (d) revised; (e) removed; (f) redesignated as
new (e)....................................................19198

[[Page 386]]

1245.106 (c) and (d) revised......................................19199
1245.107 (b) introductory text revised............................19199
1245.108 (b) and (c) amended......................................19199
1245.110 (b) and (c) redesignated as (c) and (d); new (b) added
19199
1245.112 (a) revised..............................................19199
1245.116 (b) revised..............................................19199
1245.117 (a) revised..............................................19199
1245.300--1245.304 (Subpart 3) Authority citation revised.........42029
1245.301 (a) amended..............................................42029
1262 Authority citation revised...................................42029
1262.201 (d) amended..............................................42029
1262.202 (a) amended..............................................42029
1263 Authority citation revised...................................42029
1264 Authority citation revised...................................42029
1264.109 (c) amended..............................................42029
1264.111 (b)(4) amended...........................................42029
1264.116 (b) amended..............................................42029
1264.124 Amended..................................................42029
1266 Authority citation revised...................................42030

2016

14 CFR
81 FR
Page
Chapter V
1214 Authority citation revised...................................43041
1214.1--1214.119 (Subpart 1214.1) Removed.........................43041
1214.200--1214.207 (Subpart 1214.2) Removed.......................43041
1214.300--1214.306 (Subpart 1214.3) Removed.......................43041
1214.400--1214.404 (Subpart 1214.4) Authority citation revised....43041
1214.600--1214.610 (Subpart 1214.6) Revised.......................43041
1214.700--1214.704 (Subpart 1214.7) Revised.......................43041
1214.800--1214.813 (Subpart 1214.8) Removed.......................43042
1214.1700--1214.1707 (Subpart 1214.17) Removed....................43042
1251 Heading and authority citation revised; nomenclature changes
3709
1251.100 Revised...................................................3709
1251.102 Revised...................................................3709
1251.104 (a) and (c)(3) amended....................................3711
1251.105 (a)(1), (2), (3) and (c)(2) introductory text amended.....3711
1251.107 (a) revised...............................................3711
1251.108 Amended...................................................3711
1251.110 Added.....................................................3711
1251.111 Added.....................................................3711
1251.112 Added.....................................................3711
1251.113 Added.....................................................3711
1251.200 Revised...................................................3712
1251.202 (a)(2) amended............................................3712
1251.301 (e) redesignated as (f) and revised; new (e) added........3712
1251.302 (a) and (c)(1) revised; (c)(2) and (3) redesignated as
(c)(5) and (6); new (c)(2) and (3) added....................3712
1251.400 Revised...................................................3713
1251.503 Revised...................................................3713
1251.540 Revised...................................................3713
1251.550 (a)(2) revised............................................3713
1251.551 Revised...................................................3714
1251.570 (b) and (c) revised.......................................3714
1251.580 Added.....................................................3714
1251.581 Added.....................................................3714
1251.582 Added.....................................................3714
1274 Authority citation revised...................................35584
1274.203 (g) added................................................35584
1274.209 (e) through (l) redesignated as (f) through (m); new (e)
added......................................................35584
1274.211 (c) amended; (d)(5) added................................35584
1274.212 Heading revised; (c) added...............................35584
1274.303 Added....................................................35584
1274.304 Added....................................................35584
1274.701 (b)(5) through (8), (c) and (d) added....................35585
1274.803 Added....................................................35585
1274.944 Added....................................................35586