FAQs: Publishing NASA STI

Frequently Asked Questions: Publishing NASA Scientific and Technical Information (STI)
(From the Agency STI Program Office   –   September 2007)

Use the following links to find questions by category, or use the Find feature in the Edit menu to quickly search for any text.

+ Definition of STI + Journal Articles
+ NASA Form 1676 and Other Required Reviews + Miscellaneous
+ Specific Situations + More Information
+ Copyright / Trademark / Inventions  

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Definition of STI
  1. What is STI?
  2. What are examples of NASA STI that require approval?

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NASA Form 1676 and Other Required Reviews

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Specific Situations

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Journal Articles
  1. Can I release to the public a journal article that has been submitted to the publisher?
  2. What is the difference between a preprint and a reprint?

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Miscellaneous
  1. What do I do if, after publication or release, someone states that the technical content in a NASA document is incorrect?
  2. What is the blanket availability authorization (BAA) option on the NASA Form (NF) 1676 and how do I use it? [Updated June 2009]

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More Information
  1. What review and approval are needed for older STI documents that are now being sent to NASA STI Support Services for dissemination or archive?
  2. Where can I get more information and help?

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1.  What is STI?

Scientific and technical information (STI) is defined in NASA Policy Directive (NPD) 2200.1C. STI is the results (the analysis of facts and data, and the resulting conclusions) of basic and applied scientific, technical, and related engineering research and development.

Examples include preliminary and final meeting/conference papers, presentation slides, journal articles, abstracts, extended abstracts, books and book chapters, STI Report Series (Technical Publications, Technical Memoranda, Contractor Reports, Special Publications, Technical Translations, Conference Publications), STI documents on public Web sites, and theses and dissertations related to an employee’s official work.

“NASA STI” is STI derived from NASA activities, including those generated by NASA-sponsored or -funded research and development and related efforts, where NASA has the right to publish or otherwise disseminate the STI. NASA STI may be produced directly by NASA or under NASA contracts, grants, and agreements.

See also http://www.sti.nasa.gov/publish-sti for more information.

Specific  examples  of  information  that  is  not  considered  STI  and  is  exempt  from  the  STI  definition are listed here. In addition to those examples listed, software and raw and processed mission data and data sets are not considered to be STI.

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2.  What are examples of NASA STI that require approval?

The required approval for NASA STI is the Document Availability Authorization (DAA), NASA Form 1676.

Approval is required when NASA STI is released outside the Agency (external release) or internally made available to foreign nationals either by NASA or on NASA’s behalf.

Release of NASA STI by another entity (such as submission of STI directly to a peer-reviewed journal by a non-NASA grantee, for example) does not require DAA approval. In other words, if NASA releases or disseminates the STI, the NF-1676 is required. If a contractor or grantee releases or disseminates the STI on their own behalf, as allowed in their contract or grant, the NF-1676 is not required.

Examples of NASA STI that require approval before release by, or for, NASA or when foreign nationals might have access due to release by, or for, NASA include:

A.  STI Authored or Coauthored by a NASA Civil Servant

  • Abstracts, extended abstracts (and in addition, the subsequent papers or presentations associated with these)
  • Preliminary and final meeting/conference papers
  • Presentation slides
  • Journal articles (initial copy submitted to a journal for review, called preprints)
  • Books and book chapters
  • STI Series Reports (TM [Technical Memorandum], TP [Technical Publication], CP [Conference Publication], SP [Special Publication], CR [Contractor Report], and TT [Technical Translation])
  • Document for a Web site that has not previously been DAA approved.
  • Other STI as defined in NPR 2200.2D; this means that any STI that meets the definition of STI regardless of the type of media (technical videos, CD-ROMs, DVDs, oral presentations that are documented in transcript form) that involve technical content that is more substantial than explanations involved for public affairs release.
  • Thesis or dissertation, if NASA publishes or disseminates it.

[NOTE: If the thesis or dissertation is submitted to the college or university and subsequently disseminated by the college or university, such as through University Microfilms, even if the graduate training was funded by NASA, a DAA is not required. However, if NASA receives a copy of the thesis or dissertation and wishes to republish it, then a DAA is required.]

  • Any STI that will be released to, or accessible by, a foreign national. This means that an STI status, briefing, informal analyses, or review presentation/paper/report intended for internal use only to teams or partners, IF a foreign national will have access.
EXCEPTION: Information that is for internal use only and will NOT be accessible to a foreign national does not require DAA review. However, internal-use-only documents are intended for use by the recipients only and must carry the following disclaimer:
For Internal Use Only. This document has not received a NASA Document Availability Authorization (DAA) review to determine to whom it may be disseminated or released. Prior to external release, or if it is to be accessed internally by a foreign national, DAA review is required. Please refer to NASA Form 1676 for review requirements.

B.  STI Generated Under Contract/Grants/Cooperative Agreements That Require DAA Approval by Persons Other than NASA Civil Servants

  • Any interim or final report deliverable that NASA will release externally or when a foreign national will be given access.
  • IMPORTANT CLARIFICATION: Some NASA contracts and grants allow the contractor or grantee to directly publish or release NASA-funded research and development information themselves without NASA’s prior approval. In these cases, the contractor or grantee is not required to do a DAA. See also #8 below.

  • Any STI authored by a non-NASA civil servant that is to be archived and disseminated by the NASA STI Support Services.
  • EXCEPTION: If the STI submitted to STI Support Services is intended for NASA internal use only and is intended to have access only by NASA Personnel Only, no DAA is required.

    REMINDER: For any documents received at STI Support Services without an approved DAA, STI Support Services will notify the Center that a DAA is required; if the Center takes no action, after a 30-day waiting period the STI will be processed, but limited to NASA Personnel Only until the Center clarifies the correct distribution required.

    EXCEPTION: A thesis or dissertation that is submitted to the college or university and subsequently disseminated by the college or university, such as through University Microfilms, if the dissemination of the work is not done as part of the author’s official duties with NASA (i.e., by NASA), even if the graduate training was funded by NASA, does not require a DAA.

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3.  What is a DAA or NASA Form 1676 Review, and is it required?

NPR 2200.2D, section 6.2.5, requires this review before any STI is released or disseminated by, or for, NASA outside of the Agency or internally when foreign nationals may have access. Get NASA Form 1676.

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4.  What technical review requirements exist for NASA STI prior to release by, or for, NASA outside of (external to) the Agency?

NASA STI requires, at a minimum, a technical or peer review, as indicated below

Document Type
Minimum Review Requirement
NASA STI Report Series*
 
TP
Technical review by committee of peers or expert single reviewer
TM
Review by technical management
CR
Review by NASA technical management or expert reviewer
CP
Review by technical management
SP
Professional review controlled by HQ Office or NASA Center
TT
No technical review; some printing authorization required; permission to use copyrighted information must be obtained
Non-STI Report Series Publications
Minimum review by technical management and proofreading review

* NASA STI Report Series [TM (Technical Memorandum), TP (Technical Publication), CP (Conference Publication), SP (Special Publication), CR (Contractor Report), and TT (Technical Translation)].
See NPR 2200.

NASA highly recommends a higher level of technical review whenever possible. See “Guidance and Levels of Technical Review for NASA STI.” In addition, check with your supervisor to see if your Center requires a higher level of technical review than the minimum.

IMPORTANT: Some NASA STI also meets the definition of the OMB (Office of Management and Budget) “Influential” and “Highly Influential” categories of information, under Section 515, “OMB Guidelines for Ensuring and Maximizing the Quality, Objectivity, Utility, and Integrity of Information Disseminated by Federal Agencies” and NASA’s implementation of these requirements, “Guidance and Levels of Technical Review for NASA STI.”
“Influential” scientific, financial, or statistical information is defined as NASA STI that, when disseminated, will have, or does have, clear and substantial impact on important public policies or important private sector decisions. If the STI meets the OMB Guidelines, higher level technical reviews are required by law. Contact hq-infoquality@nasa.gov, when the document is in the planning stage or early in the draft stage. Remember that any NASA STI that is released to a public Web site for public comment or review, including for this higher level of peer review, must have an approved DAA to ensure that it does not contain restricted or limited Sensitive But Unclassified (SBU) information.

As stated previously, NASA STI also requires a Document Availability Authorization (DAA, NASA Form 1676) review, as specified in section 6.2.5. of NPR 2200.2D prior to release or presentation, in addition to any required technical or peer review.

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5.  Who at NASA has to review my document prior to release?

First, you must have your document technically reviewed. Your supervisor, or in the case of a document received from a contractor or grantee, the contracting officer’s technical representative (COTR) or grants officer, will help you determine what type of technical or peer review you should have. Second, you must have a required dissemination review, which in NASA is called the Document Availability Authorization (DAA) review. This review is initiated via NASA Form 1676. Follow the required approvals as specified in “Approvals” under Instructions. This determines if your content has any export control, intellectual property, patent, or other Sensitive But Unclassified (SBU) restrictions. See also NPR 1600.1.

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6.  What documents fall under the OMB definition of "Influential" and "Highly Influential" and what reviews are required?

From time to time, a NASA STI document may meet the definition of “Influential” or “Highly Influential” work as defined under Section 515, “OMB Guidelines for Ensuring and Maximizing the Quality, Objectivity, Utility, and Integrity of Information Disseminated by Federal Agencies” (see http://www.whitehouse.gov/omb/ fedreg/iqg_oct1notice.html). NASA has implemented this requirement in policy stated in “NASA Guidelines for Quality of Information.” These categories of important information require an additional level of external peer review and public scrutiny. If you believe that your work meets one of these definitions, contact hq-infoquality@nasa.gov, early in the preparation process, to determine what additional reviews are required. Remember that before you post any STI document on a public Web site, even for the higher level of public comment or review, you must obtain a DAA review to ensure that no restricted or limited information is inappropriately released.

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7.  Does my document have to be reviewed via the DAA to put it on a NASA Web site?

Yes, if the document contains STI and the NASA Web site is available to the public or if the internal NASA Web site will have access by foreign nationals.

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8.  If my STI is not a document (such as a film, CD-ROM, DVD, video, etc.), do I still need to have it reviewed?

Yes, if the content includes STI and it will be released externally by, or for, NASA or have access by foreign nationals as a result of the release by, or for, NASA.

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9.  If a NASA grantee or contractor publishes or releases a document containing STI themselves (not for NASA or on behalf of NASA) from work they have done on a NASA-funded or -sponsored contract or grant, do they have to go through the DAA process?

Not normally. Many contracts and grants, if they do not include a pre-review clause, allow the contractor and grantee to freely publish the results of their work funded by NASA as long as they comply with applicable U.S. statutes and regulations, such as export control and intellectual property requirements, etc. [The DAA is the NASA process for ensuring such compliance.] When the contractor or grantee delivers a document to NASA (such as a final contractor or grant report) and NASA decides to publish or release it (or present it where a foreign national may have access), then it must go through the NASA DAA process. If the contract or grant does have a pre-review clause, then NASA must approve all STI before it is released by NASA or the contractor or grantee.

In the case of an onsite (co-located with NASA civil servants) contractor or grantee seeking to disseminate STI, NASA must determine if the contractor or grantee is releasing the information on behalf of NASA or on behalf of his or her own company to determine if the document needs to have a DAA review.

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10.  I am doing a paper for a book, publisher, or professional society, and have been asked to submit my information via their Web site, which has a series of options for me to select regarding copyright. How do I know which option to choose?

Most publishers will ask you to assign copyright. However, Government authors (civil servants) cannot receive copyright in their works. You cannot assign what you don’t own, thus meaning that in the U.S. there is no copyright to assign. Also, many of the publishers’ agreements are not always up to date. Talk to your Center patent or intellectual property attorney about what is the correct statement to choose, and if none of them are correct, he/she will give you one to use or talk to the publisher.

If you are involved with a joint work (see also #24 below), then NASA counsel will help you inform the publisher that you did the work as part of your duties in co-authorship with a non-Government author and request that they note you contributed to the work.

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11.  Is a "Government employee" a civil servant and/or a contractor?

A “Government employee” is a civil servant.

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12.  Can I use proprietary information in my document?

Yes, but you must clearly mark the document with the highest level of the proprietary information. Written permission must be obtained from the authorized owner of the proprietary information before including it.

Remember, that classified information and documents MUST be handled within your Center’s classified files and not input into the NF-1676 system

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13.  If a document is restricted and at some point in time that restriction changes, whose responsibility is it to change that restriction on the document?

The originating NASA Center for a NASA document is responsible for marking and subsequently re-marking (or downgrading or upgrading) a NASA document if a change occurs and re-sending the document and written indication of the change to NASA STI Support Services. In a rare situation, a NASA Center may give STI Support Services permission in writing to cross out or cover over the original restrictive marking. STI Support Services must note this permission in the permanent record for that document.

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14.  What is the definition of NASA "internal" distribution of STI?

Internal NASA distribution of STI is a distribution to NASA personnel, contractors, grantees, or partners who are not foreign nationals and with the understanding that the STI is not permitted to be redistributed. If foreign nationals will have access to the information, even if the distribution is limited, a DAA review of the STI is required.

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15.  If an abstract, final paper, and presentation slides are all required for an external release, do all three require separate DAA approval prior to release?

Yes. If the abstract is submitted first (i.e., sent for approval to submit a full paper or presentation), then it requires a DAA. After that, the final paper also requires a DAA. In a situation in which a full paper and the full presentation on which it is based are completed at the same time, they can be approved using the same DAA, but both the presentation and paper must be accompany the DAA that is approving them.

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16.  If a NASA employee is taking full-time graduate work that is funded by NASA and has to deliver regular presentations to the university or college, is a DAA required for this situation?

If the presentation is not part of the student’s official duties as a NASA employee and the information will not be disseminated by, or for, NASA, no DAA approval is needed.

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17.  If an author releases his/her document before it has been approved via NF-1676, what is necessary to correct this situation?

This is considered a misrelease. If an author does not have his/her document approved prior to release, any consequences for inappropriately releasing information fall on the author. Because a misrelease can jeopardize authorship claims and have other substantial ramifications, NASA policy is for the author to get document approval via NF-1676 prior to release by, or for, NASA, or internal access is provided to a foreign national by or for NASA.

Misreleased documents must be reviewed via NF-1676 as soon as possible to determine if any inappropriate information was released. If so, it is the responsibility of the originating NASA Center in coordination with the author and his/her line organization to recall any information that was inappropriately released, or determine if recall constitutes a threat of additional exposure. If no inappropriate information was released, then the document can be approved with the date of the approved NF-1676 (not a prior release date) and this date goes into the official file and into the STI database and repository.

The Center should indicate on the NF-1676 in these situations, in block 9 (Aug. ‘06 or later form), if the document is now officially approved or disapproved in the blocks given, use the current date under "DATE" (do not pre-date this block with an earlier date), and in the "REASON" indicate “DAA approved [or disapproved] after document release.” You may indicate when the document was originally released under "Date Document Published/Released" to help STI Support Services know that these are "after-the-fact" approvals so that the STI Program can track this category of documents.

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18.  Do I need to do an NF-1676 to present information at a closed or internal meeting with a foreign entity (who employs foreign nationals) who is also a NASA partner?

Yes. Agency legal counsel has determined that the need to comply with U.S. statutory requirements takes precedence and this is provided for via the NF-1676 approval process.

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19.  I had an earlier technical presentation reviewed via NF-1676 for another conference. If I present exactly the same paper at a different conference, does it need to be re-reviewed?

You need to do a modified NF-1676 (click the block “Modified”) to update the information regarding to what conference you are submitting your paper. Indicate that the same publication was previously approved to speed the process. A point to ask yourself may be why you would be presenting exactly the same information to a different conference. Normally, authors include additional information for different situations and that information would need to be reviewed prior to submitting to the conference.

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20.  I am a NASA civil servant and previously released my document in the NASA STI Series to the public. Now I see that it is being offered for sale by one of the large book seller sites. Is this permissible?

Works authored by NASA civil servants are in the public domain and are freely available to all. Documents authored by Government employees that are in the public domain are not covered by copyright in the United States. NASA is not entitled to control the downstream use or dissemination of uncopyrighted NASA STI, therefore, if someone wishes to obtain copies of NASA STI and sell it in the United States, they can do so. There is no legal prohibition on this type of activity.

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21.  Can a civil servant assert copyright?

If the work was done for NASA as part of your official duties, you cannot assert copyright in the U.S. You may be able to do so in other countries, depending on their copyright law. Consult your Center patent or intellectual property counsel, however, the U.S. Government may obtain copyright protection in other countries depending on the treatment of government works by the national copyright law of the particular country.

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22.  If I am a contractor or a grantee, can I assert copyright on my work for NASA?

Yes. However, the scope of rights will depend on the language in the specific contract or grant at issue. Contracts, grants, and cooperative agreements often permit the contractor, grantee, or recipient to retain and assert copyright in reports and other publications if they are first produced in the performance of the work under the agreement, e.g., works containing or based on data first produced under a NASA contract, grant, or agreement and published in academic, technical or professional journals, symposia proceedings, or similar works. When copyright is asserted, the contractor or grantee must include a copyright notice and acknowledgment of U.S. Government sponsorship (including contract or grant number) of the work when it is published.

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23.  Can NASA disseminate copyrighted work done on its behalf?

Ordinarily, the Government (e.g., NASA) receives a government-purpose license (also called Federal-purpose license) in the copyrighted work. The program or project office must provide written notification to the responsible Center technical publications office of instances in which documents containing a copyright notice are provided without a license authorizing public distribution.

Under most contracts, grants, and agreements, a government-purpose license includes the right to “use, modify, reproduce, release copies to the public, perform publicly, and display publicly, a copyright work, or authorize others to do so, for governmental purpose.” Under a government-purpose license, the Government may use the work within the Government without restriction, and may release or disclose the work outside the Government for government purposes. Under Section 203 of the Space Act, it is a governmental purpose to “provide for the widest practicable and appropriate dissemination of information” concerning NASA’s activities and their results. Thus, public distribution of the results of work funded by NASA is a governmental purpose. However, although NASA may publicly release copyrighted works in which it has a government-purpose license, these works are still protected by copyright, and recipients of the works must comply with the copyright law, e.g., they may not further copy or distribute the copyrighted work without permission of the copyright owner.

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24.   What is a joint work?

A joint work is a document that is jointly authored by a Government (civil servant) and non-Government author. Non-Government would be a contractor, grantee, or other person.

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25.  Who can assert copyright in a joint work?

Normally, the non-Government author can assert copyright.

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26.  Can I use copyrighted work in my paper?

You can use copyright information in your paper if you get the permission of the copyright owner. (A copyright owner is the owner of the exclusive rights in a copyright.) A copyright provides the copyright owner the exclusive right to, or authorize others to, reproduce copyrighted work; prepare derivative works based upon the copyrighted work; distribute copies of the copyrighted work to the public; perform the copyrighted work publicly; and display the copyrighted work publicly. Others are restricted from exercising the exclusive rights reserved to the copyright owner without the copyright owner’s permission. You must include a copyright notice or acknowledgment (which the copyright holder will give you) in your document.

If you are granted permission by the copyright holder to use copyrighted material in connection with a NASA-sponsored meeting or conference, use the following disclaimer:

“Copyright © (year of first publication) (Name of copyright owner). NASA has been granted permission to publish and disseminate this work as part of (name of conference publication). All other rights retained by the copyright owner.”

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27.  Where can I get more information on copyright?

For additional information, contact the NASA Headquarters or your Center’s Patent or Intellectual Property Counsel. You may also want to review the Basic Guide to Copyrights. (See also the CENDI Frequently Asked Questions About Copyright at http://www.cendi.gov/publications/04-8copyright.html.)

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28.  Do I have to disclose my invention via the Electronic Invention Disclosure (http://invention.nasa.gov) before I publish my document?

If your invention has significant technical merit or commercial potential, you should disclose it to your Center patent counsel before you publish. This is because once you publish, you have only 1 year to file for a U.S. patent and will eliminate any possibility to obtain foreign patent protection. In other words, you may jeopardize your ability to obtain protection for your potential invention.

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29.  Can I use a tradename or trademark in my document?

We do not recommend you use trademarks or trade names because NASA considers it improper to advertise, endorse, or criticize commercial products or services in publications. First, try to describe them generically. If you cannot do this, use them as an adjective and credit the owner. An example is “Kevlar 49 aramid fibers, manufactured by E.I. du Pont de Nemours and Co., Inc.” It is also a good idea when you do this to put on the back of the title page the following disclaimer:

“Trade names and trademarks are used in this report for identification only. Their usage does not constitute an official endorsement, either expressed or implied, by the National Aeronautics and Space Administration.”

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30.  Can I release to the public a journal article that has been submitted to the publisher?

First, you must have the journal article that will be submitted (often called a “preprint”) to the publisher technically reviewed and reviewed via the DAA process using NASA Form 1676. If the article is determined to be unclassified and unrestricted, you can release the original journal article to the public. You may not, however, be able to release the full text of the article that has been published by the journal (often called a “reprint”) if they added content and asserted copyright.

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31.  What is the difference between a preprint and a reprint?

A preprint is the STI that is submitted to a journal, publisher, or conference proceedings publisher but has not yet been accepted. It should be in final form when it is sent from NASA. NASA has the rights to disseminate a preprint to the public.

A reprint is the STI that is actually published by the journal, publisher, or conference proceedings publisher. This may differ from the preprint or “As submitted” version. If a journal, publisher, or conference proceedings publisher adds content to the “as submitted” version, they have the right to copyright the published version. Because of that, NASA does not have the right to disseminate full text of published articles without approval by the copyright holder.

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32.  What do I do if, after publication or release, someone states that the technical content in a NASA document is incorrect?

The first step is for your Center to determine via peer review or review by technical experts and/or technical management if the information is correct or incorrect.

If the information is determined to be incorrect, the next step is to see if the STI was previously defined as “Influential” or “Highly Influential” under the “NASA Guidelines for Quality of Information.” These definitions originate from OMB (Office of Management and Budget), Section 515, for data quality. Most NASA STI does not fall under these guidelines; however, if yours does, contact the NASA Information Quality Officer listed on the Web site above for information on how to proceed, because the Agency has a separate process to correct this level of information.

If your STI does not fall under the above definitions, follow the guidance cited in NPR 2200, section 4.6, as summarized below:

If the incorrect data needs to be substantially changed or updated, your Center technical publications office should issue a revised report. If it is an STI Series Report, the standard report number format is the year and number of the original report followed by the REV extension, e.g., NASA/TM-2007-123456/REV1. The current month and year should be included on the report cover and title page. The Supplemental Notes section of the Report Documentation Page (Standard Form 298) should indicate whether or not the revised report supersedes the original report.

If the error is minimal but of sufficient importance to warrant correction, your Center technical publications office should issue an erratum. [Minor typographical errors usually do not require correction.] A typical setup for an erratum is shown in NPR 2200, Appendix H. The distribution of an erratum is made in accordance with the distribution of the original report.

A corrected copy should be issued if there are numerous errors that cannot be made clear in an erratum. The standard report number format for a corrected copy is the year and number of the original report followed by "Corrected Copy" in parentheses, e.g., NASA/TM-2007-123456 (Corrected Copy). The report date is the same as the original report. Distribution is made in accordance with the original distribution.

The standards that apply to paper copy revisions also apply to electronic media. For example, a file on a website (such as on the NASA Technical Reports Server (NTRS)) should not be replaced with a revised file without indicating the appropriate revision elements and date of revision. Revision elements and date of revision should be indicated on the cover of an erratum, a corrected copy, or a revised copy. In addition, you should insert on page iii, a listing of the information that is being corrected. Distribution of revised electronic media should be in accordance with the original distribution.

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33.  What is the blanket availability authorization (BAA) option on the NASA Form (NF) 1676 and how do I use it?  [Updated June 2009]

Agency Process:

NASA allows STI from contracts, grants, projects (with discrete numbers), or tasks (with discrete numbers) that have been determined to be fundamental research to be processed under one “master” fully approved NF-1676, which is called a “master” blanket availability authorization or BAA. The basic requirements listed below must be followed to approve a BAA and to process subsequent documents in accordance with it. This guidance is provided in NPR 2190.1B, NASA Export Control Program, Appendix E.

To initiate a master BAA, a pre-review meeting at the Center must occur with appropriate Center officials to ascertain that the work is fundamental research. These appropriate Center officials should include, at a minimum, the Center contracting officer, grant officer, project manager, or task manager (depending if it is a contract, grant, project, or task); the appropriate technical reviewers who know the scope of the information; the intellectual property (copyright and/or patent) attorney; and the export control administrator.

The Center must keep on file documentation that supports the decision that all the work on the contract, grant, project, or task is fundamental research and for how long they will approve the BAA. 

Once a determination has been made that the work is fundamental research, a “master” BAA is approved via all signatures on the NF-1676. This “master” is then put on file in the NASA Center technical publications office. After this, subsequent documents may be processed by using this “master” BAA as specified in NPR 2190.1B.

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34.  What review and approval are needed for older STI documents that are now being sent to NASA STI Support Services for dissemination or archive?

For legacy STI (defined as older STI that is being sent to NASA STI Support Services for the first time) which is dated 1985 or older, the Centers may either use NF-1676 or one of the following. This is because the NF-1676 did not exist at that time.

  • PREFERRED: DAA if center elects to do one for STI dated 1985 or prior to 1985
  • NASA Form 427 (form number prior to NF-1676)
  • Other (older) form (prior to NF-427) of center dissemination approval
  • "Minimal DAA." A "minimal DAA" is defined as a DAA that states there are no export control or intellectual property restrictions and for which one center representative has signed off on the approvals to validate how the STI can be released
  • Written verification from a center that the document has been previously released and to whom (as long as the same dissemination is being requested)

For STI that is from 1986 and newer, an NF-1676 is required.

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35.  Where can I get more information and help?

For STI:

  • Contact your NASA Center’s technical publications office and/or library
  • See also http://www.sti.nasa.gov, click “Publish STI” http://www.sti.nasa.gov/publish-sti
    Here you will find a long list of detailed information, such as

    • NPR 2200.2
    • NASA SP-2006-6114, NASA Scientific and Technical Information Standards
    • NASA/SP-2005-7602/REV 1, NASA Publications Guide for Authors
    • How to Publish NASA STI: A Step-by-Step Guide
  • You can also contact the NASA STI Information Desk at e-mail help@sti.nasa.gov

For Information Quality Issues Under OMB Section 515 Regulations:

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Information Excluded From the Definition of NASA STI in NPR 2200.2

Information that is exempt from the definition of STI is:

  1. Information published in policy documents such as NASA directives and NASA Technical, Engineering, or Safety Standards (NPD 8070.6, Technical Standards)
  2. Information published as a result of mishap investigations (NPR 8621.1, NASA Procedural Requirements for Mishap Reporting, Investigating, and Recordkeeping)
  3. Proposal information marked with confidentiality notices furnished to NASA by contractors or grantees
  4. New Technology Reports (NTR)/Invention Disclosures.
    [NOTE: While NTRs are not defined as STI, STI may include information that discloses an invention so it must be handled through the appropriate NASA intellectual property counsel.]

back to #1

Section 6.2.5.

“6.2.5 A management approver and Export Control shall approve NASA STI that has been previously reviewed and approved via the DAA for one venue but is being submitted to another venue to ensure that no content has been changed.
6.2.5.1 Before NASA STI (including STI that has been received from NASA-funded contractors and grantees) may be published or otherwise disseminated external to NASA (or presented at internal meetings or conferences at which foreign nationals or those without the need to know may be present), it will be undergo DAA review to determine whether it contains information that has prohibited or restricted access.
6.2.5.2 The DAA review is intended to ensure that NASA does not inappropriately release information to which public access should be prohibited or limited.
6.2.5.3 The DAA review for STI is required whether publication is accomplished through printing, submission to external channels for publication through any media, or published electronically on systems accessible by persons or institutions outside of NASA. This review is also applicable to presentations that are to be made before professional audiences, whether or not the presentation is accompanied by written material.
6.2.5.4 Although NASA STI may be produced either directly by NASA or under NASA contracts, grants, and cooperative agreements, the DAA review process applies only to the publication and dissemination of NASA STI by NASA or for NASA.
6.2.5.5 This mandatory review also applies to such STI uploaded to public Web sites.
6.2.5.6 Unless otherwise specified in NASA contracts or grants, NASA shall not restrict its contractors and grantees from publishing NASA-funded information themselves.
6.2.5.7 In situations in which the contractor or grantee independently (that is, outside of the terms and conditions of contract, grant, or cooperative agreement) publishes STI, NASA is not considered to have published, disseminated, or presented the information, so the DAA review is not required.
6.2.5.8 Contractors or grantees shall review their information and ensure that it fulfills the following requirements as required by U.S. laws and regulations:

  1. a. Conforms with laws and regulations governing its distribution, including intellectual property rights, export control, national security.
  2. b. Complies with restrictive markings to the extent that the contractor or grantee is given access to data necessary for the performance of the contract or grant, or cooperative agreements which contains restrictive markings.

6.2.5.9 NASA may, if award is not subject to this NPR and it is requested by the contractor, grantee, or cooperative agreement participant, perform a DAA review of STI published or disseminated by contractors or grantees.
6.2.5.10 When a document is sent to STI Program without a DAA, STI Program will restrict the document to NASA personnel only and not make it publicly available.”

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Fundamental Research

"’Fundamental research’ means basic and applied research in science and engineering, the results of which ordinarily are published and shared broadly within the scientific community, as distinguished from proprietary research and from industrial development, design, production, and product utilization, the results of which ordinarily are restricted for proprietary or national security reasons." Directive 189, National Policy on the Transfer of Scientific, Technical and Engineering Information, September 21, 1985

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